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Los Angeles City College Student Equity Plan November 21, 2014 LOS ANGELES CITY COLLEGE STUDENT EQUITY PLAN Table of Contents Signature Page Executive Summary Target Groups Activities Goals Resources Contact Person/Student Equity Coordinator Campus-Based Research Overview Access Indicator Definitions and Data Course Completion (Retention) Degree and Certificate Completion ESL and Basic Skills Completion Goals and Activities Access ESL and Basic Skills Completion Course Completion (Retention) Degree and Certificate Completion Transfer Budget Sources of Funding Evaluation Schedule and Process Attachments Optional () Executive Summary EXECUTIVE SUMMARY Founded in 1929, Los Angeles City College resides in one of the most diverse areas of one of the most diverse cities in the United States. Its mission is to "[empower] students from the diverse community it serves to achieve their educational and career goals by providing learnercentered pathways to success through transfer, career and technical education, and foundational skills programs." As of Fall 2013 it served a student population of 55% female and 45% male; Hispanic/Latino students make up the largest ethnic group at 46.3%, followed by white students (19.2%), Asians/Pacific Islanders (16.5%), and African Americans (12.1%). The student body is also diverse in age: 19% are under 20 years old; 32.6% are 20-24; 25.6% are 2534; 17.3% are 35-54; and 5.5% are over 55 or older. 52.6% of the student body receive financial aid; and 89.9% are U.S. citizens or permanent residents. As part of its charge in the Education and Strategic Master Plan to review and analyze disaggregated data of the student population, based on gender, ethnicity, economic status, age, and disability, COMPASS (Committee on Pathways for Student Success; also the Achieving the Dream Data Team on campus), was given the recommendation from its reporting committee, the Strategic Planning Committee (also the ATD Core Team) to develop the Student Equity Plan and to determine, using both state-guided methodologies --the 80% rule and proportionality rule--, disproportionally impacted groups of the student population under five given success indicators: access, course completion, ESL and basic skills completion, degree/certificate completion and transfer. After the data were gathered and presented, COMPASS then formed workgroups over Spring and Summer 2014, each focusing on a success indicator, each having representatives from faculty, staff, students and administrators. The workgroups concluded from its analyses the following: Access Asian; White; Male Course Completion African American Basic Skills Completion African American; Hispanic; Male; 25 to 49; 50 or older; DSPS; Economically Disadvantaged Degree/ Certificate Completion African American; Hispanic; Male; DSPS; Economically Disadvantaged Transfer African American; Hispanic; DSPS; Economically Advantaged Analyses of the data revealed that the most common disproportionally impacted subgroups are African American students (in four of the five success indicators), Hispanic students (in three of the five success indicators), male students, disabled students and those students 25-years-old or older (though the number of students in the latter two subgroups are relatively small). Data and activities concerning foster youth and veteran student populations on campus were later considered and added by the committee, as advised by the state recommendations. Furthermore, additional disaggregation of the data planned by the committee will reveal more telling details about inequity among populations. For instance, data on male students should be disaggregated by ethnicity to determine if Hispanic and African American males are more impacted than Hispanic and African American females. Data on courses and departmental degrees and certificates can determine how successful female students are in STEM majors. This data disaggregation, along with other data points, such as students on probation, students with mental health issues, etc., will be a part of future analysis on campus on the next round of research. Based on the current analyses, COMPASS developed goals that would address improvements of access and success rates of these impacted groups. The target measures are based on raising the percentage rates of these groups out of the "disproportionate impact" definitions, as set by the reference subgroups in each area. Thus, Goal A: * Asian students by 5% By 2017 the college will improve the access rates for the following disproportionally impacted groups: * White students by 4% * foster youth students by 10% * male students by 7% * veterans students by 10% Goal B: By 2017 the college will increase the course completion rate of African American students by 8%. Goal C: By 2017 the college will increase the success rates of: * Hispanic students to complete the ESL sequence by 5%, basic skills English by 3%, and basic skills Math by 7%. * African American students to complete the basic skills English sequence by 12% and the basic skills Math sequence by 16%. * male students to complete the ESL sequence by 9%. * disabled students to complete the basic skills Math sequence in the first year by 5%. * students 25 years or older to complete all ESL and basic skills sequences by 4%. * economically advantaged students (those not receiving BOG waivers and/or Pell grants) * foster youth students to complete the basic skills English and Math sequences by 10%. to complete the ESL sequence by 4%. * veteran students to complete the basic skills English and Math sequences by 10%. Goal D: By 2017 the college will increase in the degree and certificate completion rates of: * Hispanic students by 3% * African American students by 5% * male students by 3% * economically disadvantaged students by 7% * disabled students by 8% * foster youth students by 10% * veterans students by 10% Goal E: * African American students by 5% By 2017 the college will increase the transfer rates of: * Hispanic students by 7% * economically advantaged students by 4% * disabled students by 4% * foster youth students by 10% * veterans students by 10% Its findings were shared with the campus Academic Senate, the Associated Students Government, the Management Team, and the Strategic Planning Committee, which then instructed COMPASS to narrow the Plan to three activities that would best achieve these goals. After a thorough discussion, the committee came to a consensus on three activities which were presented again to the campus for approval: Access First Year Program Course Completion First Year Program; Professional Development for Faculty and Staff Basic Skills Completion First Year Program; Professional Development for Faculty and Staff Degree/Certificate Completion The Completion Agenda Transfer The Completion Agenda The Plan was approved and signed on November 6 by the campus leaders and presented again at Los Angeles Community College District for approval on November 19. Every campus committee and group involved, further ensured that the activities of the Student Equity Plan aligned with the other campus-wide plans. Thus, the activities link clearly with the strategies and target measures in the Education and Strategic Master Plan, under "Access" and "Success." Furthermore, the activities are comparable with those recommended in the recently approved Student Success and Support Program Plan (3SP), the 2014-2015 Achieving the Dream Initiatives and the 2014-2017 Basic Skills Self-Planning Matrices. In addition, the Equity's activities corresponded with the State Student Success Taskforce's recommendations, the District Strategic Plan and the recent District Academic Senate's recommendations. The activities, which have already begun in Fall 2014 as smaller programs and interventions on campus, will expand to bigger programs scheduled to be fully implemented in Fall 2015, when students of these impacted populations will receive not only full matriculation, as mandated by SB 1456, but also placement into basic skills courses and a professional development course in the first year. This cohort will also be receiving supplemental instruction in English and Math as well as participating in a student-mentor program, designed to develop learning communities of these impacted groups. By the second year, with the services of embedded counselors and continual supplemental instruction in degree programs, this cohort will be placed into degree/certificate completion and transfer pathways. During the Plan's three-year duration, faculty and staff will be given opportunities in professional development, to be culturally responsive to these disproportionally impacted populations, to be trained in identifying services for at-risk students, to be guided in the use of proper SI implementation, and to be prepared for analysis of not only quantitative data but, most significantly, qualitative data. While the quantitative data can be currently supplied by the campus Office of Institutional Effectiveness, it doesn't resolve the mitigating factors of why these subgroups are disproportionately impacted. Qualitative data, gathered from focus groups, would be able to provide some reasons for these numbers. Evaluations of these activities will go through program review processes each year for the next three years. Data will consider how many students in the subgroups were impacted, how many succeeded in access and completions in the other four areas (course, basic skills, degree/certificate and transfer), and how can improvements be made per year on the activities to increase the access and success rates of each subgroup. Monitoring of these activities will be under the purview of the Strategic Planning Committee, which is mandated to review areas of access and success on campus, as stated in the Education and Strategic Master Plan. COMPASS will continue its charge of reviewing data of these activities, receiving progress information from the persons responsible. Contacts: Jeffrey Nishimura, COMPASS Chair; Todd Scott, Dean of Academic Affairs, SPC CoChair Campus-Based Research CAMPUS-BASED RESEARCH A. ACCESS. Compare the percentage of each population group that is enrolled to the percentage of each group in the adult population within the community served. COMPASS looked at two methodologies of indicated subgroups of the student population to determine disproportionate impact. The data was provided by the campus Office of Institutional Effectiveness. Data to consider: No 80% rule was applied here, so COMPASS looked only at proportionality rates. Here, the Asian student subgroup is lower than 1.0 at 0.84, so it was determined to be disproportionally impacted in terms of college assess. The white student subgroup was also below 1.0, at 0.63. It was pointed out that ACCJC might be concerned on the accreditation side, that that college is underserving the Asian and white populations of their local community. [LACC is, incidentally, located near Koreatown and Thaitown.] The other group of disproportionate impact happens to be male students at 0.86, and this group will be seen throughout other success indicator data sets. According to the data, Hispanic and African American students have ample access to the college, proportional to the surrounding community. The committee looked at this group to see what mitigating factors could there be to explain the low ratio. However, without such qualitative data, the assumptions are unfounded. After the initial data gathering, COMPASS then received data from programs for foster youth and veteran students. Though the numbers are small and not reviewed by the committee at the time of the workgroups' analyses, they are still significant, and the college has reached out to these populations in its Guardian Scholars Program (privately funded) and its Veterans Office Program on campus. CAMPUS-BASED RESEARCH B. COURSE COMPLETION. Ratio of the number of credit courses that students by population group actually complete by the end of the term compared to the number of courses in which students in that group are enrolled on the census day of the term. Data to consider: Afr Amer 69% 0.81 This data set is pretty straightforward: The group that is most disproportionally impacted under this area is African American (at 69% and 0.81), with the highest performing and thus reference groups being Asians and whites. Furthermore, based on data, the Hispanic student population is not disproportionally impacted since they meet the 80% rule at exactly 80%; however, being the largest portion of the student body (at 12,622), they are slightly under the proportionality rule at 0.94. Overall, their number of course completion success is pretty decent. All the other data numbers, in terms of age, gender, or disability breakdown, are over 80% and bordering 1.0 in proportionality. C. ESL and BASIC SKILLS COMPLETION. Ratio of the number of students by population group who complete a degree-applicable course after having completed the final ESL or basic skills course compared to the number of those students who complete such a final course. Data to consider: From what was given by the 80% rule and proportionality, the data sets of English and Math show that African Americans and Hispanic students are most disproportionately impacted. In ESL, Hispanics are most disproportionally impacted. Also, the students between the ages of 25 to 49 and 50 and above are disproportionally impacted in all Math, English and ESL. As far as the other subgroups being reviewed, disabled students are disproportionally impacted in Math (while close to the 80% rule at 77%, they have a proportionality of 0.79) and slightly better in English (above the 80% rule at 82% but low in proportionality at 0.87). An interesting observation about the "economically advantaged" subgroup: it seems that those not receiving financial aid are most disproportionally impacted than those receiving BOG waivers. This could indicate the undocumented student population, who assume that they don't qualify for financial aid. However, without qualitative data, this reasoning is uncertain. Nevertheless, such numbers emphasize how important financial aid is to students in terms of success at these levels. D. DEGREE and CERTIFICATE COMPLETION. Ratio of the number of students by population group who receive a degree or certificate to the number of students in that group with the same informed matriculation goal. Data to consider: For this data set, LACC used the Success Scorecard Completion Rate (Student Progress and Attainment Rate – SPAR) data, which defines the cohort as students who have earned 6 units or more and enrolled in a Math or English class within three years of their initial enrollment. In a later note from OIE, it was stated that the data was "not using the informed matriculation goal as stated in the definition" by the state. In other words, the data is based not on the declaration of major, which has only been recently encouraged by the campus, in order for students to complete their comprehensive education plan. In any case, the numbers show that African American and Latino students are most disproportionally impacted, both in the 80% rule and proportionality and also those students 50-years or older (here those between 25 and 49 years of age are not). Furthermore, students with disabilities are most disproportionally impacted at 0.71 in proportionality, as well as those who receive financial aid or BOG waivers (the economically disadvantaged) at 0.52. CAMPUS-BASED RESEARCH E. TRANSFER. Ratio of the number of students by population group who complete a minimum of 12 units and have attempted a transfer level course in mathematics or English to the number of students in that group who actually transfer after one or more (up to six) years. Data to consider: Ethnicity 80% Rule Propor This data looks at one cohort year, at the ratio of students who have completed 12 units (so different from the ARCC/State Student Success measures) and have taken one transfer course in mathematics or English, to the number of students in that group who actually transfer after one or more (up to six) years. Here, Hispanic students make up the most disproportionally impacted group. African American students are at 65% in the 80% rule; but their numbers are only 17 out of 59 (very few students get to that level). Filipino students have even lower numbers in the 80% rule: 34% but with 9 out of 60 students; too low to be counted. [Asians and Whites are, again, the criterion groups.] With gender, there is no disproportionate impact. With age, however, those over 25 years or more, are most disproportionally impacted, as most students that age aren't presumably interested in continuing their degree at the four-year university level. Again, without quantitative data, it is not known for sure. Also, those receiving financial aid are below the 80% rule at 76.8% and proportionality at 0.96. So, those who are economically advantaged are not transferring as well as those who are not, another indication of undocumented students, who might be unaware of the financial opportunities under the California DREAM Act. CAMPUS-BASED RESEARCH From the analysis, the subgroups that show to be the most disproportionally impacted in the five success indicators are: * African American students (in Course Completion, Basic Skills Completion, Degree/Certificate Completion and Transfer); * Latin American students (in Basic Skills Completion, Degree/Certificate Completion and Transfer); * males (Access, Basic Skills Completion, Degree/Certificates); * those 25 years old or older (in Basic Skills Completion, Degree/Certificate Completion and Transfer); * disabled students (in Basic Skills Completion, Degree/Certificate Completion and Transfer). Add to these disproportionally impacted subgroups across the indicators: * Veterans * Foster youth The other disproportionally impacted subgroup for Access is Asian students. The other disproportionally impacted subgroup for Degree and Certificate Completion is economically disadvantaged students (those receiving BOG waivers and/or Pell grants). The other disproportionally impacted subgroup for Basic Skills ESL and Math Completion and Transfer is economically advantaged (e.g. undocumented students). The methodology provided an understanding of the groups impacted. However, the reasons behind the numbers is uncertain without a clear qualitative data process on campus. One of the activities, focusing on Professional Development, will allow the college to establish focus groups of these subgroups to offer some reasoning about the data to be considered in the evaluation. THIS PAGE IS INTENTIONALLY BLANK Goals and Activities GOALS AND ACTIVITIES A. STUDENT SUCCESS INDICATOR FOR ACCESS "Compare the percentage of each population group that is enrolled to the percentage of each group in the adult population within the community serve" GOAL A. Increase access to the following groups of disproportionally impacted students: * white * Asian * male * veterans * foster youth ACTIVITY A.1 (Please include the target date in chronological order and identify the responsible person/group for each activity) First Year Program – Outreach. Counseling staff, administration and department chairs will work in coordination with participating feeder K-12 schools to conduct outreach visits and meet individually or in small groups, all graduating seniors, specifically those in the disproportionally impacted subgroups (Asian, White, foster youth, and male), in order to provide promotion, guidance and assistance with the application to and matriculation processes at the college. Target date: Fall 2014 to Spring 2017 Responsible Persons: Vice President of Student Services, Vice President of Academic Affairs, Dean of Academic Affairs, Dean of Student Life, FY Coordinator, Outreach Coordinator, Counseling Chair This activity, which would be congruent to the college's involvement with its California Academic Partnership Program (CAPP), to establish and strengthen relationships with local feeder high schools, such as Hollywood High School. Recruitment and partnership improvement between the college and high schools has already been in process by Fall 2014 and will be carried over into the following schoolyears, with the objective of promoting the college's offerings to and guiding and assisting potential high school graduates into the college's application and matriculation processes. In the coming years, the activity will focus on first-time college students, but in particular those in the disproportionally impacted groups, as analyzed in the college's Student Equity Plan (Asian, male, and foster youth students) as well as other demographic groups (like African GOAL A. (Continued) _______________________________________________________________________________________________________________________ Americans and Hispanic students) that would benefit from such access, particularly since access impacts other success indicators, such as Course and Basic Skills Completions. The activity will increase enrollment at the college of first-time students (a demographic rate that showed a decline in 2014-2015, while rates of continuing and returning students remained steady during that period), and ensure the campus' overall commitment to the mandated SB 1456. It also addresses one of the four Achieving the Dream Initiatives, which focuses on "front door" issues. EXPECTED OUTCOME A.1.1. The number of Asian students enrolled at the college will increase by 5% over the next 3 years. EXPECTED OUTCOME A.1.2. The number of White students enrolled at the college will increase by 4% over the next 3 years. EXPECTED OUTCOME A.1.3. The number of male students enrolled at the college will increase by 7% over the next 3 years. EXPECTED OUTCOME A.1.4. The number of foster youth students enrolled at the college will increase by 10% over the next 3 years. EXPECTED OUTCOME A.1.4. The number of veteran students enrolled at the college will increase by 10% over the next 3 years. ACTIVITY A.2 (Please include the target date in chronological order and identify the responsible person/group for each activity) Target date: Summer 2014 to Spring 2017 Responsible Persons: VPSS, Dean of Admission, Dean of Academic Affairs, Matriculation Officer, FY Coordinator, Counseling Chair First Year Program – Matriculation. Counseling staff will work in coordination with Admissions, Student Life, and the Dean of Academic Affairs to conduct "one-stop days" during the summer session for local high school students, including, in particular, Asian, white, foster youth, veterans and male students, in order to get them fully matriculated and placed into sections of English and Math. This activity will be offered over the summer, to identify potential first-time college students, who have applied to the college and are not part of the Outreach program (in Activity A.1.), and get them fully matriculated into LACC before the fall semester, including placing them in English and Math courses their first year (see C.2. of the Equity Plan). A "pilot" of sorts was done on August 5 and August 7, 2014, when approximately 250 students were invited to the campus, assessed, orientated, given initial educational plans and registered into open 8 English and 8 Math sections for Fall 2014. The activity will be expanded and implemented further for 2015-2016, as required by the 3SP Plan that all first-time incoming students must be fully matriculated. Going beyond the 3SP Plan will be enrolling these fully matriculated students into basic skills English and Math the first year (as explained in C.1.). EXPECTED OUTCOME A.2.1. The number of Asian students enrolled at the college will increase by 5% over the next 3 years. EXPECTED OUTCOME A.2.2. The number of White students enrolled at the college will increase by 4% over the next 3 years. EXPECTED OUTCOME A.2.3. The number of male students enrolled at the college will increase by 7% over the next 3 years. EXPECTED OUTCOME A.2.4. The number of foster youth enrolled at the college will increase by 10% over the next 3 years. EXPECTED OUTCOME A.2.5. The number of veteran students enrolled at the college will increase by 10% over the next 3 years. GOALS AND ACTIVITIES B. STUDENT SUCCESS INDICATOR FOR COURSE COMPLETION "Ratio of the number of credit courses that students by population group actually complete by the end of the term compared to the number of courses in which students in that group are enrolled on the census day of the term" GOAL B. Increases the number of African American students successfully completing coursework and remaining enrolled at the college. ACTIVITY B.1 (Please include the target date in chronological order and identify the responsible person/group for each activity) First Year Program – PD 40 Enrollment and Completion. Along with being fully matriculated at the high schools, as defined in Activity A.1, firsttime students, particularly African American students, will be placed into a Personal Development 40 course, fulfilling their full-time load in the first semester, providing them with study skills in their corresponding English and Math courses and helping them complete their comprehensive education plans, as defined in the Student Success and Support Program Plan (3SP). Persons Responsible: VPSS, VPAA, Dean of Academic Affairs, FY Coordinator, Counseling Chair Target date: Spring 2015 to Spring 2017 This activity fulfills action plans in the ESMP, 3SP Plan, and the AtD Initiatives, so that, after abbreviated educational plans are developed for firsttime students during orientation (as defined in A.1), the students will then be enrolled in a PD 40 course, and be given guidance on developing a comprehensive educational plan by the end of their first semester, as well as gain study skills essential for the basic skills English and Math courses during the first-year. Pairing of this course with the English and Math levels, explained in C.1., which will require collaboration among counseling services and ESL and basic skills departments, will correspond in the alignment of material, whenever possible, to ensure persistence in learning. EXPECTED OUTCOME B.1.1 The rate of African American students completing their courses and persisting to the next level will increase by 8% in the next 3 years. EXPECTED OUTCOME B.1.2 The rate of foster youth students completing their courses and persisting to the next level will increase by 10% in the next 3 years. EXPECTED OUTCOME B.1.3 The rate of veteran students completing their courses and persisting to the next level will increase by 10% in the next 3 years. ACTIVITY B.2 (Please include the target date in chronological order and identify the responsible person/group for each activity) Target date: Spring 2015 to Spring 2017 Persons Responsible: VPSS, Dean of Student Life, Student Mentors/Peer2Peer/Ambassador Coordinator First Year Program – Student Mentors/Ambassadors. The Office of Student Life will provide a Student-Mentor/Ambassador program for first-time students, in particular for African American, foster youth, Veteran and disabled students and those with mental issues, to engage them into college life and provide learning communities in their first year of studies. The activity will be part of the Office of Student Life, which will group students in this disproportionally impacted cohort of incoming freshmen and provide them with campus-wide activities, information about services, meet-ups, and learning communities throughout the school year. It has been known on campus as a Peer2Peer program, but the program can evolve into an Ambassador Program model, like those at the universities. EXPECTED OUTCOME B.2.1 The rate of African American students completing their courses and persisting to the next level will increase by 8% in the next 3 years. EXPECTED OUTCOME B.2.2 The rate of foster youth students completing their courses and persisting to the next level will increase by 10% in the next 3 years. EXPECTED OUTCOME B.2.3 The rate of veteran students completing their courses and persisting to the next level will increase by 10% in the next 3 years. ACTIVITY B.3 (Please include the target date in chronological order and identify the responsible person/group for each activity) Professional Development for Faculty and Staff Training: The Chair of Staff & Organizational Development and Vice President of Academic Affairs will develop and implement professional development training for faculty and staff members to be more culturally responsive to the challenges those in the disproportionally impacted groups face in the classroom. Part of the training will be to provide identify those students who are struggling through their courses and provide information on campus services that will guide them into course completion. Other training will be on data research, particularly to gather qualitative data, to correspond with the quantitative data gathering to be analyzed for improvement on course success. Target date: Spring 2015 to Spring 2017 Persons Responsible: VPAA, Staff & Organizational Development Chair This activity aligns with the campus' Student Success and Support Program Plan, which advises on "ally" programs for faculty and staff to understand the needs and challenges of the disproportionally impacted groups. These would include culturally responsive training and "Vet Net" (addressing the concerns of veteran students returning to school). Another program, which concerns the gathering of qualitative data, has always been an essential need of the college. There have been several attempts on campus to develop focus group teams, starting in 2013, but a leader or a coordinator might be necessary to train faculty and staff to gather such data on a regular basis; furthermore, as one of the Achieving the Dream Initiatives, faculty and staff must become familiar with data analysis as a process of program review of their programs and student success. Further training on customer service for staff will also be provided, to ensure quality information and guidance to students, particularly those "at risk" of failing or dropping out. EXPECTED OUTCOME B.3.1 The rate of African American students completing their courses and persisting to the next level will increase by 8% in the next 3 years. EXPECTED OUTCOME B.3.2 The rate of foster youth students completing their courses and persisting to the next level will increase by 10% in the next 3 years. EXPECTED OUTCOME B.3.3 The rate of veteran students completing their courses and persisting to the next level will increase by 10% in the next 3 years. C. STUDENT SUCCESS INDICATOR FOR ESL AND BASIC SKILLS COMPLETION "Ratio of the number of students by population group who complete a degree-applicable course after having completed the final ESL or basic skills course to the number of those students who complete such a final course" GOAL C. * Increase the number of Hispanic students, who take basic skills courses (ESL, English and Math), to successfully complete all basic skills sequences in their first year, and go on to degree-applicable course pathways. * Increase the number of male students, who take basic skills ESL courses, to successfully complete their basic skills sequence in their first year and go on to degree-applicable course pathways. * Increase the number of African American students, who take basic skills courses (English and Math), to successfully complete their basic skills sequence in the first year, and go on to degree-applicable course pathways. * Increase the number of economically advantaged students (undocumented students), who take basic skills ESL courses to successfully complete all basic skills sequence in the first year and go on to degree-applicable course pathways. * Increase the number of disabled students in basic skills Math courses to successfully complete that basic skills sequence in the first year and go on to degree-applicable course pathways. * Increase the number of students 25 years or older who take basic skills courses (ESL, English and Math) to successfully complete all basic skills sequence in the first year and go on to degree-applicable course pathways. * Increase the number of foster youth students in basic skills English and Math courses to successfully complete that basic skills sequence in the first year and go on to degree-applicable course pathways. * Increase the number of veteran students in basic skills English and Math courses to successfully complete that basic skills sequence in the first year and go on to degree-applicable course pathways. ACTIVITY C.1 (Please include the target date in chronological order and identify the responsible person/group for each activity) First Year program – ESL and Basic Skills English and Math Placement within the First Year: With the guidance of counselors, first-time students, in particular, African American, Hispanic, males, economically advantaged, 25 years or older, disabled, foster youth and veterans, will be enrolled into sections of ESL and basic skills English and Math for the Fall semester, along with a PD 40 course and a possible fourth course to fulfill ________________________________________________________________________________________________________________________ a fulltime load. Enrollment in the ESL and basic skills level will continue in the Winter and Spring semesters, with the goal of completing the sequences within the first year. Target date: Fall 2014 to Spring 2017 Persons Responsible: VPAA, FY Coordinator, Matriculation Chair, English/ESL Department Chair, Math Department Chair This activity, which refers to A.2 and B.1 of this plan, will fulfill the activities set forth in the ESMP and AtD Initiatives, to get students, in particular, Hispanics and African Americans, enrolled in ESL and basic skills English and Math courses the first year, as most students can't enroll in the required courses because of priority restrictions or lack of available sections or avoid taking these courses until later, when they are at most risk of not completing their education. It will also be advised, before matriculation, for student mentors and counselors to provide refresher programs to potential incoming students, so that they might be placed at a higher basic skills level, thus giving them more of a chance to persist through the basic skills sequences. Attempts to place a cohort of students into basic skills English and Math the first year began in 2013-2014, and continued in 2014-2015. EXPECTED OUTCOME C.1.1 The persistence and completion rate of African American students in basic skills English sequences will increase by 12% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of African American students in basic skills Math sequences will increase by 16% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.2 The persistence and completion rate of Hispanic students in the ESL sequence will increase by 5% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of Hispanic students in the basic skills English sequence will increase by 3% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of Hispanic students in the basic skills Math sequence will increase by 7% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.3 The persistence and completion rate of male students placed in the ESL sequence will increase by 9% in 3 years, meeting statewide remedial rate averages. ________________________________________________________________________________________________________________________ EXPECTED OUTCOME C.1.4 The persistence and completion rate of disabled students in the basic skills Math sequences will increase by 5% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.5 The persistence and completion rate of students receiving financial aid in the ESL and basic skills English and Math sequences will increase by 4% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.6 The persistence and completion rate of students 25 or older placed in any level of ESL and basic skills English and Math sequences will increase by 4% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.7 The persistence and completion rate of foster youth students in any level of ESL and basic skills English, and Math sequences will increase by 10% in the next 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.1.8 The persistence and completion rate of veteran students in any level of ESL and basic skills English, and Math sequences will increase by 10% in the next 3 years, meeting statewide remedial rate averages. ACTIVITY C.2 (Please include the target date in chronological order and identify the responsible person/group for each activity) Target date: Fall 2014 to Spring 2017 Persons Responsible: VPAA, SI Coordinator, English/ESL and Math Departments Chairs First Year program – Supplemental Instruction within the First Year: Basic skills courses and DSPS, GSP, and Veterans Office tutoring services will increase Supplemental Instruction in basic skills English and Math courses to improve success through the basic skills sequences, in particular those students in disproportionally impacted groups (African American, Hispanic, males, disabled, foster youth and veterans). ________________________________________________________________________________________________________________________ This activity will provide Supplemental Instruction to those enrolled in basic skills English and Math sections, in particular those coming through the one-stop days. This activity will be for a cohort that would contain subgroups that are disproportionally impacted, such as African American, Hispanic, males, economically advantaged, 25 years or older, disabled, foster youth and veterans. For Fall 2014 there were 16 sections opened for approximately 250 students. The SI tutors will be monitored by a SI Coordinator, who will be in contact with participating department faculty and tutoring centers on campus (the Writing Center, STEMP Lab, the Pi Shoppe, DSPS Tutoring Lab, GSP and Veteran Office Services) to ensure a uniform process of monitoring and evaluating the program. EXPECTED OUTCOME C.2.1 The persistence and completion rate of African American students in basic skills English sequences will increase by 12% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of African American students in basic skills Math sequences will increase by 16% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.2 The persistence and completion rate of Hispanic students in the ESL sequence will increase by 5% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of Hispanic students in the basic skills English sequence will increase by 3% in 3 years, meeting statewide remedial rate averages. The persistence and completion rate of Hispanic students in the basic skills Math sequence will increase by 7% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.3 The persistence and completion rate of male students placed in the ESL sequence will increase by 9% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.4 The persistence and completion rate of disabled students in the basic skills Math sequences will increase by 5% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.5 The persistence and completion rate of students receiving financial aid in the ESL and basic skills English and Math sequences will increase by 4% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.6 The persistence and completion rate of students 25 or older placed in any level of ESL and basic skills English and Math sequences will increase by 4% in 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.7 The persistence and completion rate of foster youth students in any level of ESL and basic skills English, and Math sequences will increase by 10% in the next 3 years, meeting statewide remedial rate averages. EXPECTED OUTCOME C.2.8 The persistence and completion rate of veteran students in any level of ESL and basic skills English, and Math sequences will increase by 10% in the next 3 years, meeting statewide remedial rate averages. D. STUDENT SUCCESS INDICATOR FOR DEGREE AND CERTIFICATE COMPLETION "Ratio of the number of students by population group who receive a degree or certificate to the number of students in that group with the same informed matriculation goal" GOAL D. Increase in number of disproportionally impacted students, who will successfully receive a degree or certificate that aligns with their informed matriculation goal: * Hispanic * African American * male * foster youth * economically advantaged * veterans ACTIVITY D.1 (Please include the target date in chronological order and identify the responsible person/group for each activity) Completion Agenda – Supplemental Instruction. Departments with degrees and certificates will offer course and DSPS tutoring service through Supplemental Instruction to improve completion rates in those programs of the disproportionally impacted populations (including African American students, Hispanic students, disabled students, male students and those students 50 years or older). Target date: Fall 2015 to Spring 2017 Persons Responsible: VPAA, SI Coordinator, Department Chairs This activity will provide Supplemental Instruction to those enrolled in courses in high-producing departments and, in particular, programs that endorse degree and certificate completion, like the STEM Academy. The SI tutors will be monitored by department faculty and STEM Academy director, who will be in contact with participating department instructors to ensure a uniform process of monitoring and evaluation of the SI activity. ________________________________________________________________________________________________________________________ EXPECTED OUTCOME D.1.1 The completion rate for African American students receiving degrees or certificates will increase at the college by 5% in 3 years. EXPECTED OUTCOME D.1.2 The completion rate for Hispanic students receiving degrees or certificates will increase at the college by 3% in 3 years. EXPECTED OUTCOME D.1.3 The completion rate for male students receiving degrees or certificates will increase at the college by 3% in 3 years. EXPECTED OUTCOME D.1.4 The completion rate for economically advantaged students receiving degrees or certificates will increase at the college by 7% in 3 years. EXPECTED OUTCOME D.1.5 The completion rate of disabled students receiving degrees or certificates will increase by 3% in the next 3 years. EXPECTED OUTCOME D.1.6 The completion rate of foster youth students receiving degrees or certificates will increase by 10% in the next 3 years. EXPECTED OUTCOME D.1.7 The completion rate of veteran students receiving degrees or certificates will increase by 10% in the next 3 years. ACTIVITY D.2 (Please include the target date in chronological order and identify the responsible person/group for each activity) Completion Agenda – Embedded Counseling. Programs with degrees and certificates will offer services and training to faculty and staff to provide embedded counseling to disproportionally impacted groups of students who are potential degree/certificate candidates, as identified by their unit loads. Target Date: Fall 2015 to Spring 2017 ________________________________________________________________________________________________________________________ Persons Responsible: VPSS, Department Chairs, Counseling Chair This activity will review the degree programs to determine output over three years and will receive funding for dedicated instructors and programs, which guide students in the program to degrees and certificates, particularly those students in the disproportionally impacted groups. EXPECTED OUTCOME D.2.1 The completion rate for African American students receiving degrees or certificates will increase at the college by 5% in 3 years. EXPECTED OUTCOME D.2.2 The completion rate for Hispanic students receiving degrees or certificates will increase at the college by 3% in 3 years. EXPECTED OUTCOME D.2.3 The completion rate for male students receiving degrees or certificates will increase at the college by 3% in 3 years. EXPECTED OUTCOME D.2.4 The completion rate for economically advantaged students receiving degrees or certificates will increase at the college by 7% in 3 years. EXPECTED OUTCOME D.2.5 The completion rate of disabled students receiving degrees or certificates will increase by 3% in the next 3 years. EXPECTED OUTCOME D.2.6 The completion rate of foster youth students receiving degrees or certificates will increase by 10% in the next 3 years. EXPECTED OUTCOME D.2.7 The completion rate of veteran students receiving degrees or certificates will increase by 10% in the next 3 years. E. STUDENT SUCCESS INDICATOR FOR TRANSFER "Ratio of the number of students by population group who complete a minimum of 12 units and have attempted a transfer level course in mathematics or English to the number of students in that group who actually transfer after one or more (up to six) years" GOAL E. Increase in number of disproportionally impacted students, who will successfully receive AA-T degrees or transfer to a four-year university, which aligns with their informed matriculation goal: * Hispanic * African American * 25 or older (numbers are small) * economically advantaged (numbers are small) * disabled (numbers are small) * foster youth * Veterans ACTIVITY E.1 (Please include the target date in chronological order and identify the responsible person/group for each activity) Completion Agenda – Embedded Counseling. Counselors, the Transfer Center and the Ralph Bunche Scholars program will work together to identify students in these disproportionally impacted subgroups, who are close to transfer based on their unit load, and coordinate counseling services with departments to encourage the potential students to transfer to four-year universities. Persons Responsible: VPSS, Department Chairs, Counseling Chair, Transfer Center Director, Ralph Bunche Scholars Director, STEM Academy Director Target Date: Fall 2015 to Spring 2017 This activity will encouraged the use of embedded counseling in department programs and service programs, and provide training to faculty and staff and counseling services to disproportionally impacted students, in particular, African American, Hispanic, 25-years-or-older, disabled, economically advantaged (undocumented), foster youth and veterans, to guide them into transferring to four-year universities. __________________________________________________________________________________________________________________ EXPECTED OUTCOME E.1.1 The transfer rate for African American students will increase at the college by 5% in 3 years. EXPECTED OUTCOME E.1.2 The transfer rate for Hispanic students will increase at the college by 7% in 3 years. EXPECTED OUTCOME E.1.3 The transfer rate for economically disadvantaged students will increase at the college by 4% in 3 years. EXPECTED OUTCOME E.1.4 The transfer rate for disabled students will increase at the college by 4% in 3 years. EXPECTED OUTCOME E.1.5 The transfer rate for foster youth students will increase at the college by 7% in 3 years. EXPECTED OUTCOME E.1.6 The transfer rate for veteran students will increase at the college by 7% in 3 years. Budget SOURCES OF FUNDING I. The First Year Program (Activities A.1, A.2, B.1, B.2, C.1, C.2): This activity requires collaboration of existing sources and new positions to ensure that the rates of outreach, enrollment, and course and basic skills successes of these disproportionally impacted groups increase, as measured by the Equity Plan's expected outcome and the targets listed in the Education and Strategic Master Plan. The following positions, excluding those already established on campus, have been identified as essential for an effective program: First Year (FY) Coordinator * Monitoring the schedule of potential new students through the first year program * Responsible for coordinating a team of counselors, staff, and those involved with outreach, supplemental instruction, and student mentors, including the Vice Presidents of Student Services and Academic Affairs; * Reports equity information to Dean of Academic Affairs, and the Vice Presidents of Student Services and Academic Affairs on updates of the first time cohorts and how they fare with the measures listed in the Equity Plan and the ESMP. Adjunct Outreach Staff/Counselors (7+) * Strong emphasis on seniors interested in STEM-majors/careers; thus, STEM specialist is needed for this population * Responsible for reaching out to the high schools and encouraging potential new students to apply to the college, informing them of the opportunities and services on campus that will improve the students success. Such populations targeted would be those in the disproportionally impacted subgroups. * Reports equity information to Outreach Coordinator Counselors (fulltime and adjunct): Counselors receiving release time or hired full time to serve a particular population in order to guide them through the first year completion. They would: * Complete educational plans of students, first abbreviated plans during orientation and then comprehensive plans at the end of the PD 40 course within the first semester * Provide services and information of opportunities, including financial aid and child care services, that the student might qualify. * 4+ adjuncts plan out first-year pathways of cohort to complete basic skills sequences * Learning Specialist (2 recommended) is essential for disabled students, as well as counselors/directors for foster youth and veteran programs * Provide guidance for "at risk" students, in particular those in the disproportionally impacted subgroups, such as foster youth, veterans, disabled * Report equity information to Counseling Chair and VPSS Supplemental Instruction (SI) Coordinator * Responsible for coordinating meetings with SI Mentors and English/ESL/Math Department Chairs on training SI Mentors and informing participating instructors * Monitoring the SI program, the schedules of the Mentors, and acts as liaison between mentors and instructors * Reports equity information to Dean of Academic Affairs and the Vice President of Academic Affairs Supplemental Instruction Mentors * Meet weekly with students to improve their success in course and basic skills sequences * Complete training of the SI program and build relation with instructors and chairs of ESL, English, and Math departments * Assign assignments to ensure the students' knowledge in the skills at that level * Report equity information to SI Coordinator on a monthly basis Student Mentor/Peer2Peer/Ambassador Coordinator * Reports equity information to Dean of Student Life * Responsible for coordinating and scheduling meetings with students, English/ESL/Math Department Chairs, and Student Mentors/Ambassador to build learning communities Student/Peer2Peer Mentors/Ambassadors * Meet weekly with students to provide information for students * Build relation with students and departments for learning communities * Participate in monthly gatherings and study groups with students * Report to Peer2Peer/Ambassador Coordinator on a monthly basis. * Provide non-academic advice and identify students who might need additional services Student Services Assistant * Helps programs with disabled, veteran and foster youth populations to ensure proper accommodations and services are received. Child Care Coordinator: Should be year-round position * Reports equity information to FY Coordinator * Provide child care services on campus to students impacted by inequity Child Care Assistant (2) * Ensure services are extended year-round and throughout the day for students in afternoon courses * Assist in child care services to students impacted by inequity Other costs to the program would be for events and activities: * Orientation Set-up and Transportations * Training for SI Mentors, Peer2Peer Mentors and Counselors * Supplies, including Book Vouchers for Student Mentors * Travel expenses 2. The Completion Agenda (Activities D.1, D.2, E.1): After the First Year program, the cohort will have completed the ESL and basic skills English and Math sequences and move into pathways toward degree, certificates, or transfer to a four-year university. Counselors embedded in programs (like the Transfer Center, Ralph Bunche Scholars, STEM Academy) and departments, which have potential of being high producing, would serve students, who have achieved enough units toward completion or transfer. Students will also continue being served under Supplemental Instruction in departments and programs to improve on their success toward completion. STEM Academy Director: This position is modeled after one already implemented on campus as of March 2014. It is to scale up to a full program, like the MESA program at East LA College, to accommodate a large cohort looking to transfer. The duties of the director would be to: * ensure MESA requirements are met, develop on- and off-campus partnerships and initiatives, interface with relevant LACC committees and administration, provide leadership, and diversity/equity training to STEM/MESA staff * oversee the execution of the mission of STEM and (future) MESA * recruit industry support, create internships, and collaborate with campus grant writers; * Reports equity information to STEM Department Chairs and the Vice President of Academic Affairs * spend significant portion of time face-to-face with students, individually and in small and large groups, developing soft and technical skills for industry and transfer, and helping them plan and meet their career goals STEM Academy Assistant Director * Aids in the duties of the STEM Director STEM Counselors: * Guiding students, particularly those in disproportionally impacted subgroups, such as African American, Hispanic, disabled, foster youth, and veteran students toward STEM degrees/certificates and transfer science programs. Thus, must be knowledgeable in STEM majors and careers. * Embedded into the departments * Reports equity information to STEM Academic Director and Counseling Chair STEM Scholars/MESA Learning Center (tutor/SI) Coordinator: This position should align with the SI Coordinator in the First Year Program. Should be year-round position. * Doubles as Summer Bridge and Summer/Winter Math Bootcamp Program Coordinator * Coordinates training of SI mentors for the STEM departments * Reports equity information to STEM Academic Director SI Trainers/Tutors: This service should align with the SI Coordinator in the First Year Program. * Provide services for students in the STEM programs * Include online services for evenings and weekends * Report equity information to Si Coordinator Fabrication Lab Tech Supervisor: Should be year-round position * Educates students on lab use and procedures * Responsible for supervising students in tech labs and ensure safety when instructors aren't present * Reports equity information to STEM Director Fabrication Lab Tech Assistant: The Lab requires one faculty or lab tech person and a student worker to be present to use heavy machinery for safety reasons. This would be the student worker that would lead a group of student workers in the lab. STEM computer lab technician and web/social media manager * Maintains computers and computer updates of lab * Assists in the lab for students and tutors Ralph Bunche Scholars Assistant: * Spends significant portion of time face-to-face with students, and in small and large groups, to assist with transfer, and help students plan and meet their career goals * Assists the Ralph Bunche Scholars Director with coordinating activities and workshops on transfers for students in the disproportionally impacted subgroups * Reports equity information to Ralph Bunche Scholars Director Transfer Counselor: * Reports equity information to Ralph Bunche Scholars Director and Transfer Center Director * Focuses on students from the impacted subgroups to guide them to transfer and pathway options at four-year universities (as UCLA's Transfer Alliance Program) Other costs to the program would be for events and activities: * Workshops on transfer and job opportunities after degree or certificate completion * Transportation and field trips for students to four-year universities * Supplies, including books, materials and software * Travel/Conference expenses * Summer Programs/Bridge * Stipends for participating faculty 3. Professional Development Training for Faculty and Staff (Activity B.3): This third activity will provide workshop and training opportunities for faculty and staff that would help improve their knowledge of challenges and services of "at risk" students. Some workshops would include: * Culturally Responsiveness Training: For staff and faculty to guide students not only in the ethnically diverse backgrounds, but also in foster youth programs, veteran programs, homeless services, and disabled services, as well as students with mental health issues, defined as LGBT, and other populations of the Equity Plan. * Services Improvements for Classified Staff: This workshop for staff members would provide information and approaches that best serve the needs of students in these disproportionally impacted subgroups, to retain them in the college and assist in guiding them toward success. * Data Research and Analysis: This training might include hiring a data research analyst, who can develop and manage membership databases for counseling, grant application and reporting, and student support for campus programs (such as STEM Academy, Guardian Scholars, OSS, and Ralph Bunche), coordinate focus groups with students in the disproportionally impacted subgroups to document their challenges and provide qualitative data, so that the college can utilize the information for specific cohorts with specific services. Important note: Allocation of the activities are decided and approved by the Budget Committee and senior staff, with input from those involved. The Equity Plan does not guarantee full funding of positions, which can be altered, adjusted, reduced or expanded to fit the needs of the college. Other funds available to the campus might be used to support these activities. Regular adjustments to the allocation might also be necessary to improve the activities' outcomes. Evaluation Schedule and Process EVALUATION SCHEDULE AND PROCESS Evaluations of the three activities will go through program review processes already established on campus and measured on targets, listed in the Education and Strategic Master Plan (ESMP). Target outcome measures are set to improve the percentages of the disproportionally impacted subgroups in the given indicators up to the 80% and proportionality standards over the next three years. The goals are to raise the groups out of the" disproportionate impact" definitions. Monitoring of these activities will be under the purview of the Strategic Planning Committee (SPC), which will be reviewing these areas of access and success, as mandated in the Education and Strategic Master Plan (ESMP). COMPASS will continue its charge of reviewing the data of these activities, as defined in the target measures of the ESMP. Corresponding with the monitoring of these activities will be the Plan's fulfillment of its goals in alignment with the college's commitments to its ESMP, Achieving the Dream Initiatives, Student Success and Support Program Plan, the 2014-2017 Basic Skills Self-Planning Matrices, the District's Strategic Plan and the State's Student Success Taskforce Recommendations. The First Year Program (Activities A.1, A.2, B.1, B.2, C.1, C.2): Before Fall 2014, COMPASS evaluated the number of newly matriculated students in 2014-2015 as part of its data analyses and committee's duties. From the data analyses and, under the direction of SPC, the college employs coordinators, counselors and staff, under the guidance of the First Year Coordinator, the Vice President of Student Services and the Vice President of Academic Affairs, to reach out to students in the local high schools, particularly those in the disproportionally impacted groups, and, by Spring 2015, guide these students into applying to the college and then through the matriculation process. By Fall 2015, the First Year Coordinator and Outreach Coordinator will report any equity-related information to COMPASS, which then informs SPC on the number of first-time students in the indicated disproportionally impacted groups, who, comparable to previous years, have been fully matriculated and enrolled in ESL and basic skills English and Math. From such analysis, SPC will strategize on improvements, based on the data and target measures, to be implemented by the next school year. Budget allocation will also be reported yearly to SPC to monitor the effectiveness of the program and the sources and if any adjustments to the allocation of sources is necessary. At the end of Fall 2015/At the end of Spring 2016, COMPASS will gather and analyze data on the persistence rate of first time students, who were defined in the disproportionally impacted groups and were placed in the ESL and Basic Skills English and Math sequences in the first semester. [This will be the first cohort under the new activity.] Analyses toward the measure and semester reports from the FY Coordinator, are then provided to SPC for ways of improvement in course completion. By next year, 2015-2016, COMPASS will gather and analyze data on the completion rate of ESL and basic skills English and Math sequences from this disproportionally impacted cohort. COMPASS will then report to SPC to determine ways of improving the rates toward the given target measures. At the beginning of Spring 2016, COMPASS will gather and analyze data on the persistence rate in the ESL and basic skills English and Math sequences of first-time students, who were in the disproportionally impacted groups and placed in a Personal Development course in the first semester, compared to students not enrolled in a PD course. COMPASS will report its research findings to SPC, along with semester reports from the FY Coordinator. SPC will determine ways of improving the rates of disproportionally impacted groups toward the given target measures, in terms of matriculation, course completion and basic skills completion. In Fall 2014, the SI program in the ESL and basic skills courses was implemented as part of the First Year program. Through Fall 2015, data on the number of FY disproportionally impacted groups of students will be gathered by COMPASS: how many attended the SI sections, how many participated in assignments in the corresponding English, ESL and Math courses, how successful were the students in their English, ESL and Math courses (i.e. how many completed the sequence). COMPASS will then report the data to SPC, along with semester reports from the SI Coordinator, so that SPC will be able to analyze and determine ways of improving the course completion, according to the ESMP target measures. The evaluation process will be repeated the following semester and in 2016-2017 for persistence and basic skills completion rates. Budget allocation also is reported to SPC to ensure the effectiveness of the program and its sources and if any adjustments to the allocation of sources is necessary. In Fall 2015, the Peer2Peer Program will be implemented as part of the First Year program. Throughout the semester, data on the number of disproportionally impacted groups of students in the Peer2Peer program are gathered by COMPASS: how many attended the student mentor sections, how many participated in workshops and learning groups, how successful were the students in their English, ESL and Math courses (i.e. how many completed the sequence). COMPASS will then report the data to SPC, along with information provided by the Peer2Peer Coordinator and Dean of Student Life, to analyze and determine ways of improving the course completion and basic skills completion rates, according to the ESMP target measures. The evaluation process is then repeated in Spring 2016 and throughout 2016-2017 for persistence and basic skills completion rates. Budget allocation also is reported to SPC in the Fall and Spring semesters to ensure the effectiveness of the program and its sources and if any adjustments to the allocation is necessary. The Completion Agenda Program (Activities D.1, D.2, E.1): In Fall 2016, the FY cohort, disaggregated in the disproportionally impacted subgroups, is tracked for persistence into the Completion Agenda Program, beyond the First Year. Data on those in the cohort placed into Degree/Certificate/ Transfer pathways, like the STEM Academy, will be provided to COMPASS in the Fall and monitored by SPC throughout the semester in terms of course completion and persistence to award completion or transfer. At the end of Fall/Spring semester, data on the persistence, completion, and transfer rates of those receiving SI Mentor services and counseling services are reported to COMPASS for analyses. This data will also be part of the completion rates of the STEM and degree/transfer departments programs through program review. COMPASS reports to SPC at the end of each semester about the measures of degree/certificate completion and transfer, along with semester reports from STEM Academy Director, Ralph Bunche Scholars Director, and Transfer Center Director, to analyze and recommend improvements to the activity. Budget allocation also is reported to SPC in the Fall and Spring semesters to ensure the effectiveness of the program and its sources and if any adjustments to the allocation is necessary. Professional Development for Faculty and Staff (Activity B.3): Starting in Spring 2015, the Staff & Organizational Development presents a series of monthly training for faculty and staff in the areas of cultural responsiveness and service improvements. Training will include speakers, group work, and data analyses on identifying the challenges of students in these disproportionally impacted groups and ways of improving their success rates. Per the end of the month/semester, data on the number of faculty and staff participation in these training sessions are reported by Staff & Organizational Development to COMPASS and then to SPC for ways of improving participation rates. Budget allocation also is reported to SPC in the Fall and Spring semesters to ensure the effectiveness of the program and if any adjustments to the allocation is necessary. Attachments ATTACHMENTS Reports on the Workgroups and committee's discussions on the data and Equity Plan are presented on the LACC COMPASS website. A PowerPoint on the initial Plan was developed and presented to Academic Senate, Management Team, Associated Student Governance, and Strategic Planning Committee; it is also posted on the COMPASS website. Drafts of the Equity Plan are also on the website, along with the final version, reducing the number of activities from 23 to three. Other documents and handouts were created to help the college understand the process and development of the Equity Plan, including a Plans Grid, seen on the next page. The grid aligns the campus activities with the various plans on campus (the Student Equity Plan, the Education and Strategic Master Plan, the Student Success and Support Programs Plan, the Achieving the Dream Initiatives, the Basic Skills Self-Planning Matrices) as well as the District Strategic Master Plan and the State Student Success Taskforce Recommendations. A handout briefly describing the data analyses and the disproportionally impacted subgroups, the initial activities and its final form was developed, seen after the grid. Finally, a complete breakdown of the activities, sources, budgets, and timelines (including evaluation schedules) is at the end of this report. Equity ESMP 3SP AtD BSMatrices District SP State SSI \| Access \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| K-12 Outre \| A.1. \| 1.3 \| Recruit \| 3 \| \| 1.1 \| 1.1,2.3,7.4 \| \| Orientation \| A.2. \| 1.2 \| 1 Stop \| 2 \| B.I.a. \| 1.1,1.2 \| 2.2,8.2 \| \| Online Orien \| \| 1.2 \| X \| \| 2012 Matr \| 1.1,1.1 \| 2.3 \| \| Financial Aid \| \| \| 1 Stop \| \| \| 1.1 \| 3.2,3.3,8.1 \| \| Preassess Bridge \| \| \| PAWS \| \| D.V.c. \| 1.3,2.2 \| 2.4 \| \| Assessment \| A.2. \| 1.2 \| 1 Stop \| 2 \| A.III.a. \| 1.2,1.3 \| 2.2,8.2 \| \| Ed Plan \| A.2. \| 1.2 \| 1 Stop \| 2 \| B.III.b. \| 1.2,1.3 \| 2.2,3.1,3.4,4.1,8.2 \| \| Welc Week \| \| \| X \| \| \| 2.1 \| 2.4 \| \| Course \| \| \| \| \| \| \| \| \| Umoja \| \| 2.3 \| Ally Prog \| 1,4 \| C.I.d.,C.II. \| 2.1,2.2,2.3,2.4 \| 2.4,4.1,7.4,8.1 \| \| Prereqs \| \| \| X \| \| A.III.a,D.III.a \| 2.2 \| 4.1,5.1?,5.2? \| \| PD 40 \| B.1. \| \| X \| \| A.III.b,B.III.c \| 2.1,2.4 \| 2.4 \| \| Early Alert \| \| 2.1,2.2,2.3 \| X \| \| B.I.c. \| 2.1,2.4 \| 2.3,2.4 \| \| Student mentor \| B.2. \| \| \| \| D.IV.g. \| 2.1,2.4 \| 2.4 \| \| Cultural Comp \| B.3. \| 2.3 \| Ally Prog \| 1,4 \| C.I.d.,C.II. \| 2.4,3.3 \| 6.1,6.2 \| \| Book Program \| \| \| \| 1 \| D.II.a. \| 2.1 \| 2.4,6.1,6.2 \| \| Basic Skills \| \| \| \| \| \| \| \| \| Redesign NC/C \| \| \| \| 4 \| B.IV.b,D.II.c \| 2.4 \| 3.1,4.1,5.1,5.2 \| \| Cut Scores \| \| \| X \| \| \| 2.2,2.3 \| 5.2? \| \| Enroll ENL/Math \| C.1. \| 1.2, 2.2 \| \| 2 \| A.III.a,B.III.b \| 1.3,2.4 \| 3.4,5.2 \| \| SI \| C.2. \| \| \| \| A.III.b. \| 2.1,2.4 \| 2.4,8.1,8.3 \| \| Online tutor \| \| \| \| \| D.I.c. \| 2.1,2.4 \| 2.3,2.4 \| \| FYE \| A1,A2,B1,B2,C1,C2 \| 2.2 \| X \| \| D.V.b. \| 2.1,2.2,2.3,2.4 \| 2.4,7.4,8.1,8.3 \| \| Degree \| \| \| \| \| \| \| \| \| 2nd year \| D.1.,D.2. \| \| \| \| \| 2.2,2.3,2.4 \| 2.5,4.1.,7.2,7.4,8.1 \| \| SI \| D.1. \| \| \| \| \| 2.4 \| 8.1 \| \| Tutoring \| \| \| \| \| D.I.a \| 2.4 \| 8.1 \| \| Embd Counseling \| D.2. \| 2.1 \| Act Plan it \| 2 \| B.III,D.III.b,D.V.b \| 2.4 \| 4.1 \| \| Web Update \| \| 4.2 \| \| 1 \| \| 2.1,2.4 \| 2.3 \| \| STEM Acad/MESA \| \| 2.3 \| \| \| \| 2.4 \| 4.1,7.4,8.2 \| \| Paired class \| \| \| \| \| D.V.a, D.II.a-b \| \| 4.1 \| \| Transfer \| \| \| \| \| \| \| \| \| 2nd year \| E.1. \| \| \| \| \| 2.2,2.4 \| 2.5,4.1,7.2,7.4 \| \| Embd Counseling \| E.1. \| 2.1 \| X \| 4 \| B.III,D.III.b,D.V.b \| 2.4 \| 4.1 \| \| Web Update \| \| 4.2 \| \| 1 \| \| 2.1,2.4 \| 2.3 \| \| Other activties \| \| \| \| \| \| \| \| \| Data based Impr \| X \| 3.1,4.1 \| X \| X \| X (A.I.b.) \| 3.1 \| 7.3,7.4,8.1 \| \| Gov structure \| \| 3.1 \| \| X (2012-3) \| \| 3.2 \| 7.1 \| \| Effective budget \| X \| 4.3 \| \| \| \| 4.1 \| X \| \| Commun/partner \| \| 4.5 \| \| 1 \| \| 4.3 \| 4.1,5.2 \| \| \| Equity \| ESMP \| 3SP \| AtD \| BSMatrices \| District SP \| State SSI \| Original List of Activities (and the subgroups they serve) Access * Activity A.2.: One-Stop Days -- Matriculation (Asian, white, male, foster youth) * Activity A.1.: K-12 Partnership (Asian, white, male, foster youth) * Activity A.3.: Online Orientation (foster youth, veteran) * Activity B.1.: Umoja team (African American) Course Completion * Activity B.2.: One-Stop Days -- PD 40 course (African American) * Activity B.4.: Early Alert (African American) * Activity B.3.: Student Mentor (P2P) (African American) * Activity B.5.: Kognito Training (foster youth, veteran) * Activity C.1.: Dev Ed Redesign (age 25 or older, 50 or older) ESL and Basic Skills Completion * Activity C.2.: One-Stop Days -- Financial Aid in Orientation (econ. advantage, foster youth, veterans) * Activity C.4.: Supplemental Instruction in Basic Skills English and Math and DSPS (African American, Hispanic, age 25 or older, 50 or older, male, disabled, econ. advantage, foster youth, veterans) * Activity C.3.: One-Stop Days -- Enrollment in English and Math (Hispanic, African American, male, disabled, econ. advantage, foster youth, veterans) * Activity C.5: Online tutoring (disabled, Veteran) * Activity D.1.: Umoja Program (African American) Degree or Certificate Completion * Activity D.2.: Second year MESA/Stem Academy Pathway (Hispanic) * Activity D.4.: Supplemental Instruction in Department Programs (African American, Hispanic, males, disabled) * Activity D.3.: Embedded Counseling in Departments (African American, Hispanic, males, 50 or older, foster youth, Veterans) * Activity D.5.: Website Update for CTE Program (econ. advantage) * Activity E.1.: Umoja Program (African American) Transfer * Activity E.2.: Second year MESA/Stem Academy Pathway (Hispanic) * Activity E.4.: Supplemental Instruction in Department Programs (African American, Hispanic, males, disabled) * Activity E.3.: Embedded Counseling in Departments (African American, Hispanic, males, 50 or older, foster youth, Veterans) * Activity E.5.: Website Update for CTE Program (econ. advantage) Updated List of Activities (and the population they serve) Access * Activity A.2.: One-Stop Days -- Matriculation (Asian, white, male, foster youth, veterans) Course Completion * Activity A.1.: K-12 Partnership (Asian, white, male, foster youth) * Activity B.1.: Umoja team (African American) * Activity B.3.: Student Mentor (P2P) (African American, foster youth, veteran) * Activity B.2.: One-Stop Days -- PD 40 course (African American, foster youth, veteran) ESL and Basic Skills Completion * Activity C.2.: One-Stop Days -- Enrollment in English and Math (Hispanic, African American, male, foster youth, veteran) * Activity C.1.: One-Stop Days -- Financial Aid in Orientation (econ. advantage, foster youth, veteran) * Activity C.3.: Supplemental Instruction in Basic Skills English and Math (African American, Hispanic, male, 25 or 49, 50 or older, disabled, econ. advantaged, foster youth, veteran) Degree/Certificate Completion * Activity C.4.: Student Mentor (P2P) (African American, Hispanic) * Activity D.1.: Embedded Counseling in Departments (African American, Hispanic, male, 50 or older, disabled, econ. advantaged, foster youth, veterans) * Activity D.3.: Student Mentor (P2P) (African American, Hispanic, male, 50 or older, disabled, econ. advantaged, foster youth, veterans) * Activity D.2.: Supplemental Instruction in Degree Courses (African American, Hispanic, male, 50 or older, disabled, econ. advantaged, foster youth, veterans) Transfer * Activity E.1.: Embedded Counseling in Departments (African American, Hispanic, 25 or older, disabled, econ. disadvantage, foster youth, veteran) In a shorter list, three activities (with success indicators)… First Year Program (Access, Course, Basic Skills Completion) * Full Matriculation (high schools and one-stop days) * K-12 Outreach * Enrollment into Basic Skills English/ESL/Math/PD 40 in the first semester * Supplemental Instruction in Basic Skills English/ESL/Math courses * Completion of Basic Skills English/ESL/Math sequence in the first year * Student Mentor Program in the First Year * Embedded Counseling in Department Programs Second Year Program (Course, Degree/Certificate, Transfer) * Supplemental Instruction in Department Courses Professional Development Training for Faculty and Staff (Course) * Student Mentor Program in the Second Year * Advising Training (Culturally Responsive, Ally Programs) * Data Training (Focus Groups, Qualitative Data)
National Housing Trust Fund Interim Rule Summary 24 CFR parts 91 and 93 Office of Affordable Housing Programs 6/19/2015 This document is a summary of the program requirements for the National Housing Trust Fund (HTF) and is provided as a resource. It does not contain a complete list of all the requirements applicable to the HTF. A full copy of the HTF Interim Rule can be accessed on the HTF website at, https://www.hudexchange.info/htf. TABLE OF CONTENTS EXECUTIVE SUMMARY Purpose: The National Housing Trust Fund (HTF) is a new affordable housing production program that will complement existing Federal, State, and local efforts to increase and preserve the supply of decent, safe, and sanitary affordable housing for extremely low-income (ELI) and very low-income households (VLI), including homeless families. Statutory Background: The HTF was established under Title I of the Housing and Economic Recovery Act of 2008, Section 1131 (Public Law 110-289). Section 1131 of HERA amended the Federal Housing Enterprises Financial Safety and Soundness Act of 1992 (12 U.S.C. 4501 et seq.) (Act) to add a new section 1337, entitled "Affordable Housing Allocation" and a new section 1338, entitled "Housing Trust Fund." Publication of Program Rules: HUD published the proposed HTF formula Rule (FR-5246-P-01) on December 4, 2009 and the proposed program Rule (FR-5246-P-02) on October 29, 2010. On January 30, 2015, HUD published an interim program Rule (FR-5246-I-03). The interim rule provides the guidelines for States to implement the HTF. Grantees: HTF is a formula grant program, which is to be administered by States. This includes the 50 States, Washington DC, the Commonwealth of Puerto Rico, and each of the insular areas. A State may choose to administer its own program or choose a qualified State-designated entity to administer the HTF funds on its behalf. A list of HTF grantees can be found on the HTF website. Program Requirements: The HTF funds will be distributed by formula. Grantees are required to use at least 80 percent of each annual grant for rental housing; up to 10 percent for homeownership housing; and up to 10 percent for the grantee's reasonable administrative and planning costs. HTF funds may be used for the production or preservation of affordable housing through the acquisition, new construction, reconstruction, and/or rehabilitation of non-luxury housing with suitable amenities. All HTF-assisted rental housing must meet a minimum affordability period of 30 years. All HTF-assisted homeownership housing must meet the minimum affordability period of 10, 20 or 30 years based on the amount of HTF investment in the unit. Eligible activities and expenses include: * Site improvements and development hard costs; * Real property acquisition; * Related soft costs; * Financing costs; * Demolition; * Relocation assistance; * Reasonable administrative and planning costs. * Operating cost assistance for rental housing (≤ 30 percent of grant); and More Information: HUD is developing guidance and training to assist grantees and program partners in designing and implementing their programs. For more information on HTF, visit https://www.hudexchange.info/htf. 24 CFR PART 93 SUBPART A- GENERAL Overview- § 93.1 Each year, HUD will allocate the amount made available for the HTF based on the formula established in the interim rule. The amount available for allocation is the amount set aside by Fannie Mae and Freddie Mac for the HTF during their fiscal year (January 1- December 31). Deposits to the HTF are due within 60 days of the end of their fiscal year. HUD will publish a notice in the Federal Register announcing HTF allocations for the 50 States, the District of Columbia (DC), the Commonwealth of Puerto Rico (Puerto Rico), and each of the insular areas. SUBPART B- FORMULA ALLOCATION Formula Allocation and Factors- §§ 93.50-93.51 The amount to be allocated by formula to each State and DC is determined using the most recent U.S. Census Bureau data available for the same year for these geographic areas. Allocation amounts to the 50 States, DC, and Puerto Rico will be calculated using the sum of four need factors (weighted by priority) multiplied by the cost of producing housing in the State relative to the national average. The four need factors are: - The ratio of the shortage of standard rental units both affordable and available to extremely low-income (ELI) renter households in the State to the aggregate shortage of standard rental units both affordable and available to ELI renter households in all the States (weight 0.5); - The ratio of the shortage of standard rental housing both affordable and available to very lowincome (VLI) renter households in the State to the aggregate shortage of standard rental units both affordable and available to VLI renter households in all the States (weight 0.125); - The ratio of ELI renter households in the State living with either incomplete kitchen or plumbing facilities, more than one person per room, or paying more than 50 percent of income for housing costs to the aggregate of number of ELI households with these characteristics in all States (weight 0.25); and - The ratio of VLI renter households in the State paying more than 50 percent of income on rent relative to the aggregate number of VLI renter households with this characteristic in all States (weight 0.125). Because the data described above is not available for insular areas, their allocations will be determined by multiplying the funds available times the ratio of renter households in each insular area to the total number of renter households in the 50 States, DC, Puerto Rico and the insular areas. Minimum Allocations- § 93.52 The statute requires that each State and DC receive a minimum allocation of $3 million. Provided that the amount available for allocation is sufficient, each State and DC will receive the minimum grant. If funds are available after each State and DC receives its minimum allocation, Puerto Rico and each insular area will receive an allocation. If HTF funds are insufficient to provide the minimum grant to each State and DC, HUD will publish a notice in the federal register for public comment, describing an alternative method for allocating grants. Reallocations by Formula- § 93.54 Any amounts that become available for reallocation (i.e., grant reductions, recaptured funds, etc.) shall be added to amounts for formula allocation in the succeeding fiscal year. Any reallocation of funds must be made only among all participating States, except those States from which the funds were recaptured or reduced. SUPPART C- PARTICIPATION AND SUBMISSION REQUIREMENTS Participation and Submission Requirements- §§ 93.100- 93.101 Only States or State-designated entities may be the HTF grantee. This includes the 50 States, Washington DC, the Commonwealth of Puerto Rico, and each of the insular areas. A State must notify HUD in writing of its intention to become an HTF grantee for the first year of HTF funding no later than 30 days after HUD's publication of the formula allocation amounts. In order to receive its grant, a State must include the HTF allocation plan in its submission of the consolidated plan in accordance with 24 CFR Part 91. The HTF grantee may directly fund projects or may choose to fund projects through one or more subgrantees. Only units of general local government and State agencies may be HTF subgrantees. A subgrantee that is a unit of general local government must have a consolidated plan and include an HTF allocation plan in its consolidated plan. The HTF allocation plan for a State agency subgrantee must be included in the State's HTF allocation plan. States and subgrantees must solicit public comment on the proposed HTF allocation plan. Projects must be selected in accordance with the State's or subgrantee's HTF allocation plan, as applicable. The grantee must ensure that their subgrantees comply with all HTF requirements and other applicable laws, and carry out the State's responsibilities. 24 CFR PART 91- CONSOLIDATED SUBMISSIONS FOR CPD PROGRAMS Consolidated Program Year- § 91.10 All of the Community Planning and Development programs, including the HTF, shall be administered by the State or subgrantee on a single consolidated program year which is established by the jurisdiction. Strategic Plans- § 91.215 (b)(2) and § 91.315 (b)(2) Under the affordable housing section of the strategic plan, the State and subgrantee (s) shall identify specific objectives that describe proposed accomplishments they hope to achieve. They must also specify the number of ELI and VLI households to whom rental housing and homeownership assistance will be provided as defined in 24 CRF 93.302 and 24 CFR 93.304 over a specific time period. Action Plans- § 91.220 and 91.320 Each State and subgrantee must submit an HTF allocation plan as part of its annual action plan submission. The plan must describe how the State or subgrantee will distribute its HTF funds, including how it will use the funds to address its priority housing needs, what activities may be undertaken with those funds, and how recipients and projects will be selected to receive those funds. A subgrantee's HTF allocation plan must be consistent with the State's HTF requirements and HTF allocation plan. Subgrantee's HTF Allocation Plan- § 91.220(l)(5) If a jurisdiction is selected by the State to be a subgrantee, its HTF allocation plan must be consistent with the State's HTF requirements and include the following: - The plan must identify priority factors for funding that shall include the following: geographic distribution (where HTF funding will be directed in the ensuing program year), the applicant's capacity, the extent to which rents are affordable to ELI households, the duration of affordability periods in rental projects, location of existing affordable housing, and other merits of the applications in meeting the jurisdiction's priority housing needs (such as housing accessible to transit or employment centers, sustainable or green building features, and housing that serves special needs populations); - A description of eligible activities and eligibility requirements for recipients; - A certification by each recipient that HTF-assisted housing will comply with HTF requirements; - Performance goals that are consistent with the subgrantee's and State's proposed accomplishments; - Rehabilitation standards that HTF-assisted project must meet as required by 24 CFR 93.301(b); - Resale and Recapture guidelines, if HTF funds will be used for first-time homebuyers. These resale or recapture guidelines must be submitted and approved by HUD separate from the consolidated plan or action plan; - The HTF affordable homeownership limits it will use when assisting first-time homebuyers. If the subgrantee does not use HUD-issued limits, the limits must be determined in accordance with 24 CFR 93.305 and approved by the State; - Any preferences or limitations to a particular segment of the ELI or VLI population must be described in the action plan and are subject to 24 CFR 93.350 and 24 CFR 93.303; and - Requirements and conditions under which existing project debt may be refinanced. State's HTF Allocation Plan- § 91.320(k)(5) The State's HTF allocation plan must describe the distribution of the HTF funds, and establish the application requirements and the criteria for selection of applications submitted by eligible recipients that meet the State's priority housing needs. In addition, the plan must establish the maximum per-unit development subsidy limit for housing assisted with HTF funds. States are required to determine subsidy limits for all areas of the State; subgrantees must use the State-determined limits. If the HTF funds will be used for first-time homebuyers, it must identify the applicable resale and recapture provisions. The plan must also reflect the State's decision to distribute HTF funds through grants to subgrantees and/or directly to applications submitted by eligible recipients. If the State selects applications submitted by eligible recipients, the plan must include the following: - Provide priority for funding based on: geographic diversity (as defined by the State in the consolidated plan), the applicant's capacity, the extent to which the project has Federal, State, or local project-based rental assistance so that rents are affordable to ELI families, the duration of affordability periods in rental projects, and other merits of the applications in meeting the State's priority housing needs (such as housing accessible to transit or employment centers, sustainable or green building features, and housing that serves special needs populations), and applicant's non-federal leveraging resources; - A description of eligible activities and eligibility requirements for recipients; - A certification by each recipient that HTF-assisted housing will comply with HTF requirements; - Performance goals and benchmarks that are consistent with State's proposed accomplishments; - Rehabilitation standards that HTF-assisted project must meet as required by 24 CFR 93.301(b)(1); - Resale and Recapture guidelines, if HTF funds will be used for first-time homebuyers. These resale or recapture guidelines must be submitted and approved by HUD separate from the consolidated plan or action plan; - The HTF affordable homeownership limits that it will use when assisting first-time homebuyers – if the State does not use HUD-issued limits, the limits must be determined in accordance with 24 CFR 93.305; - Any preferences or limitations to a particular segment of the ELI or VLI population must be described in the action plan and are subject to 24 CFR 93.350 and 24 CFR 93.303(d)(3); and - Requirements and conditions under which existing project debt may be refinanced. Performance Reports- § 91.520 The State and subgrantee must submit annual reports that describe the HTF program's accomplishments and the extent to which they complied with their approved HTF allocation plan and the requirements of 24 CFR part 93. 24 CFR PART 93 SUBPART D- PROGRAM REQUIREMENTS Site and Neighborhood Standards- § 93.150 HTF grantees must administer its HTF program in a manner that provides housing that is suitable to facilitate and further full compliance with applicable provisions of the Civil Rights Act of 1964, the Fair Housing Act and HUD regulations. The site and neighborhoods standards at § 93.150 apply to new construction of rental projects receiving HTF funds. Income Determinations- § 93.151 To ensure that the income targeting requirements are met, grantees must verify that each family occupying an HTF-assisted unit is income-eligible by determining the family's annual income. When determining eligibility, the grantee may use either of the two allowable income definitions, annual income as defined at 24 CFR 5.609 1 or adjusted gross income as defined in IRS Form 1040 2 . Only one definition can be applied to each HTF-assisted program or project. The methods for determining and 1 For the complete definition of annual income under 24 CFR 5.609, visit http://www.ecfr.gov/cgi-bin/textidx?rgn=div5&node=24:184.108.40.206.5#se24.1.5_1609 2 For the complete definition of adjusted gross income on the IRS form 1040, visit http://www.irs.gov/Credits-&Deductions/Individuals/Earned-Income-Tax-Credit/Helpful-Definitions-and-Acronyms calculating annual income for tenants and homebuyers are also addressed in the full text of the interim rule. SUBPART E- ELIGIBLE AND PROHIBITED ACTIVITIES Eligible Activities- § 93.200 HTF funds may be used for the production, preservation, and rehabilitation of affordable rental housing and affordable housing for first-time homebuyers. Eligible activities include acquisition (including assistance to homebuyers, including manufactured housing), new construction, reconstruction, or rehabilitation of non-luxury housing with suitable amenities. HTF housing must be permanent housing. Grantees must use at least 80 percent of its annual grant for rental housing and up to 10 percent for homeownership housing. Eligible activities include the following: - Real property acquisition; - Site improvements; - Conversion; - Demolition; - Financing costs; - Relocation costs; - Operating costs and operating cost reserves (≤ 30 percent of each grant); and - Reasonable administrative and planning cost. *No more than one third of each annual allocation may be provided as operating cost assistance to rental housing being acquired, rehabilitated or newly constructed with HTF funds. Forms of Assistance to Project- § 93.200(b) - Equity investments; - Interest-bearing loans or advances; - Non-interest bearing loans or advances; - Interest subsidies; - Deferred payment loans; - Grants; or - Other forms of assistance approved by HUD. Cost Allocation for Multi-Unit Projects- § 93.200(c) For multi-unit projects, only the actual HTF-eligible development costs may be charged to the HTF program. Calculations for eligible development costs will depend on whether units are comparable or non-comparable in terms of size, features and number of bedrooms. This section of the rule describes how to calculate costs. After project completion, the number of designated HTF-assisted units may be reduced only in accordance with the exception authority provided under this section. Terminated Projects- § 93.200(d) An HTF-assisted project that is terminated before completion or does not meet the requirements for affordable housing constitutes an ineligible activity. The grantee must repay any HTF funds invested in an ineligible activity or project to its HTF account from which the funds were drawn. Eligible Project Costs- § 93.201 HTF may be used to pay the following eligible costs: - Development hard costs; - Acquisition costs; - Refinancing costs; - Related soft costs; - Relocation costs; and - Operating cost assistance and operating cost assistance reserves (≤ 30 percent of annual grant); - Costs related to payment of loans. Operating Cost Assistance and Reserves- § 93.201(e) HTF funds may be used to pay for operating cost assistance and operating cost assistance reserves for rental housing that is acquired, rehabilitated, reconstructed, or newly constructed with HTF funds. The grantee has the flexibility to provide up to one third of each annual grant for operating cost assistance and operating cost assistance reserves. The following conditions apply: - Eligible costs include insurance, utilities, real property taxes and maintenance and scheduled payments to a reserve for replacement of major systems; - Eligible costs must be calculated using the method described in this section; - Operating cost assistance can ONLY be provided if the HTF-assisted units do not have projectbased assistance; - Operating costs assistance must be based on the underwriting of the project and must be specified in the written agreement between grantee and recipient; - For reserves funded with non-appropriated HTF funds (i.e., the allocations from Fannie Mae and Freddie Mac): o The assistance must be calculated using HUD methodology. o The reserve may be funded for the amount estimated to be necessary for the entire period of affordability at the time of executing written agreement. - For reserves funded with appropriated HTF funds: o The assistance must be calculated using HUD methodology. o For each grant, assistance is limited to the amount necessary for a period of up to five years. - Funding for operating cost assistance may be provided in addition to funding an initial operating deficit reserve, which is a reserve to meet any shortfall in project income during the period of project rent-up (not to exceed 18 months). Administrative and Planning Costs- § 93.202 The grantee may use up to 10 percent of the HTF grant and program income receipted (combined sum total) to pay for reasonable administrative and planning costs of the HTF program. HTF Funds and Public Housing- § 93.203 HTF funds may be used for rehabilitation or construction of public housing units that are part of the Choice Neighborhoods 3 program or that will receive Low Income Housing Tax Credits (LIHTCs). In these projects, new construction of public housing units developed with HTF funds is limited to replacement of units that were removed as part of a Choice Program grant, or as part of a mixed-financed development authorized by section 35 of the Housing Act of 1937. Any HTF unit that is developed as public housing must receive Public Housing Operating Fund assistance (and may receive Public Housing Capital Fund assistance) under section 9 of the 1937 Act. HTF-assisted public housing units that receive Public Housing Operating or Capital Funds may not receive HTF operating cost assistance or operating cost assistance reserves. HTF funds can also be used in Rental Assistance Demonstration (RAD 4 ) projects involving rehabilitation of existing public units that will be converted under RAD, or for new construction of units in a RAD project. Prohibited Activities and Fees- § 93.204 HTF funds may not be used to: - Provide assistance to a project previously assisted with HTF funds during the affordability period, except when providing assistance to a homebuyer to acquire housing previously assisted with HTF funds, or for renewal of operating cost assistance or an operating cost reserve; o Additional HTF funds may be committed to a project up to one year after project completion but the total assistance is subject to the State's maximum per-unit development subsidy limit. - Pay for the acquisition of property owned by the grantee; - Pay delinquent taxes, fees, or charges on properties to be assisted with HTF funds; - Pay for political activities, advocacy, lobbying, counseling services (except for housing counseling), travel expenses (other than those eligible under § 93.202(b)), or preparing or providing advice on tax returns; - Pay for administrative, outreach, or other costs to manage and operate the grantee's HTF funds; or - Pay for any cost that is not eligible under § 93.201 and § 93.202. Fees § 93.204(b) Grantees may not charge (and must prohibit subgrantees and recipients from charging) servicing, origination, or other fees to cover the cost of administering the HTF program. Grantees may charge owners of rental projects reasonable annual fees for monitoring compliance during the affordability 3 For more information on Choice Neighborhoods, visit http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housing/programs/ph/cn 4 For more information on RAD, visit http://portal.hud.gov/hudportal/HUD?src=/RAD period. Grantees may also charge nominal application fees (although these fees are not an eligible HTF cost) to eligible recipients, to discourage frivolous applications. All such fees are applicable credits under 2 CFR Part 200, subpart E. Project owners are prohibited from charging fees that are not customary in rental housing (e.g., laundry room access fees). In addition, project owners may charge reasonable application fees to prospective tenants or fees for services such as transportation or meals, as long as the services are voluntary and the fees are charged for services provided. Parking fees are permitted only if they are customary for rental housing projects in the neighborhood. SUBPART F- INCOME TARGETING Income Targeting- § 93.250 The HTF sets income targeting requirements based on the annual amount of HTF funds available. - In any fiscal year in which the total HTF funds available are less than $1 billion, the grantee must target 100 percent of its HTF funds for the benefit of ELI families or families with incomes at or below the poverty line, whichever is greater; - When the total HTF funds available are equal to or exceed $1 billion, the grantee must use at least 75 percent of its HTF funds for the benefit of ELI families or families with incomes at or below the poverty line, whichever is greater; and - Any grant funds not used to serve ELI families must be used for the benefit of VLI families. SUBPART G- PROJECT REQUIREMENTS Maximum Per-Unit Subsidy Amount- § 93.300(a) The grantee must establish limits on the maximum amount of HTF funds that may be invested per unit for development of non-luxury housing, with adjustments for the number of bedrooms and the geographic location of the project. These limits must be reasonable. The grantee must include these limits in its annual action plan and update the limits annually. Underwriting and Subsidy Layering- § 93.300(b) Before committing funds to a project, the grantee must evaluate the project in accordance with guidelines it has adopted for determining a reasonable level of profit or return on a recipient's investment in a project. It must also ensure the following: - Grantee may invest only what is necessary to provide quality affordable housing that is financially viable for, at a minimum, the affordability period required by the regulations; - Grantee examines the sources and uses of funds (including any operating cost assistance and reserves or project-based rental assistance) for the project and determine that these costs are reasonable and will not provide a profit or return on the recipient's investment that exceeds the grantee's standards; and - Grantee conducts an assessment of the current market conditions, experience and capacity of recipient, and firm written financial commitments for the project. Note: A market analysis is not required for HTF-funded downpayment assistance. PROPERTY STANDARDS Property Standards-§ 93.301 Projects are eligible to receive HTF funds only if the housing will meet the applicable property standards upon completion. New Construction Projects- § 93.301(a) All HTF-assisted new construction projects must meet all applicable State and local codes, ordinances, and zoning requirements. In the absence of those codes, the housing must meet the International Residential Code or International Building Code (as applicable). All new construction projects must also meet the following requirements: - The accessibility requirements of 24 CFR part 8; 28 CFR parts 35 and 36; and 24 CFR 100.205 as applicable; - The energy efficiency standards established pursuant to section 109 of the Cranston-Gonzalez National Affordable Housing Act; - Where relevant, the housing must be constructed to mitigate the impact of potential disasters, in accordance with applicable State and local codes, ordinances, and requirements, or other requirements established by HUD; - The grantee must review and approve written cost estimates and ensure that construction contracts describe the work to be undertaken in sufficient detail; and - The grantee must conduct progress and final inspections to ensure that work is done in accordance to applicable codes and construction contracts. Rehabilitation Projects- § 93.301(b) Grantees must establish rehabilitation standards for all HTF-assisted housing rehabilitation activities. The standards must describe the methods and materials and the applicable codes that the housing must meet at project completion. The rehabilitation standards must address each of the following: - If the housing is occupied, it must be free of all life-threatening deficiencies; - For rental housing, the grantee must estimate the remaining useful life of major systems; - For multi-family projects with 26 units or more, the grantee must determine the useful life of major system through a capital needs assessment and require a replacement reserve when the useful life of systems is less than the affordability period. - For homeownership housing, the grantee must ensure that each of the major systems has a remaining useful life for a minimum of five years or repair or replace the system; - The housing must meet the lead-based paint requirements at 24 CFR part 35; - The housing meet the accessibility requirements of 24 CFR part 8; 28 CFR parts 35 and 36; and 24 CFR 100.205 as applicable; and 24 CFR 100.205 as applicable; and other improvements that are not required by the regulations or statute that permit use by a person with disability; - Where relevant, the housing must be rehabilitated to mitigate the impact of potential disasters, in accordance with applicable State and local codes, ordinances, and requirements, or other requirements established by HUD; - All housing must meet State and local codes, ordinances, and requirements or, in the absence of those codes, the International Existing Building Code of the International Code Council; - All housing must be decent, safe, sanitary and in good repair as described at 24 CFR 5.703. HUD will establish the minimum deficiencies that must be corrected under the grantee's rehabilitation standards based on inspectable items and inspectable areas from the HUD prescribed physical inspection procedures (Uniform Physical Condition Standards) pursuant to 24 CFR 5.705; - The grantee must review and approve written cost estimates and ensure that construction contracts and work will meet the rehabilitation standards; and - The grantee must conduct initial, progress and final inspections to ensure work is done in accordance to work write-ups. Acquisition of Standard Rental Housing- § 93.301(c)(1) and (2) If the housing acquired was newly constructed or rehabilitated less than 12 months before the commitment of HTF assistance, then it must meet the property standards at § 93.301(a) for new construction or § 93.301(b) for rehabilitation projects, as applicable. All other existing housing that is older than 12 months before the commitment of HFT assistance must meet the property standards at § 93.301(b) for rehabilitation projects. Acquisition of Existing Homeownership Housing- § 93.301(c)(3) All existing homeownership housing acquired with HTF funds must be decent, safe, sanitary, and in good repair. In addition, the housing must meet all applicable State and local standards and code requirements and be free of deficiencies identified by HUD based on inspectable items and inspected areas from HUD's inspection procedures (Uniform Physical Condition Standards) pursuant to 24 CFR 5.705. If the housing does not meet these standards, then it must be rehabilitated and must meet § 93.301(c)(3) or it cannot be assisted with HTF funds. Manufactured Housing- § 93.301(d) All new manufactured housing (including housing that replaces an existing substandard unit) must meet the following requirements: - Meet the Manufactured Home Construction and Safety Standards at 24 CFR part 3280 and comply with applicable State and local laws or codes, or the manufacturer's written instructions for installation of manufactured housing units in the absence of such laws or codes; - Must be on a permanent foundation; - Be connected to permanent utility hook-ups; and - Be located on land owned by the HTF-assisted owner or on land with a lease equal to the applicable affordability period. All existing manufactured housing must meet the following requirements: - The foundation and anchoring of all rehabilitated manufactured housing must meet all applicable State and local codes, ordinances, and requirements or in the absence of those codes, the Model Manufactured Home Installation Standards at 24 CFR part 3285; and - Manufactured housing that is rehabilitated must meet the standards at § 93.301(b). Ongoing Property Condition Standards- § 93.301(e) For all rental housing, the grantee must establish property standards to ensure property owners maintain units as decent, safe, and sanitary, and in good repair that apply throughout the affordability period. The ongoing property standards must include all inspectable items and inspectable areas specified by HUD based on the HUD physical inspection procedures (UPCS). In addition, the ongoing property standards must address health and safety, lead based-paint, frequency of inspection, corrective or remedial actions, and inspection procedures during the affordability period as specified in the regulation. Environmental Review- § 93.301(f) All new construction, acquisition or acquisition rehabilitation activities (including manufactured housing) must meet the applicable environmental requirements specified in 24 CFR 93.301(f) for historic preservation, archaeological resources, farmland, airport zones, Coastal Barrier Resource System, coastal zone management, floodplains, wetlands, explosives and hazards, contamination, noise, endangered species, wild and scenic rivers, safe drinking water, and sole source aquifers. Note: HTF is not subject to 24 CFR part 58 but in the administration of HTF, HUD is required to comply with the National Environmental Protection Act. Therefore, the interim rule establishes environmental review standards for HTF, which are included in the property standards section. These standards are substantively the same or very similar to the requirements of 24 CFR part 58. HUD expects to issue guidance on the implementation of these standards. QUALIFICATION AS AFFORDABLE HOUSING: RENTAL HOUSING Eligible Tenants and Rents- § 93.302(a) and (b) HTF-assisted units must be occupied by income-eligible households. HTF rents include utilities and are set at 30 percent of the income of a household at either 30 percent or 50 percent of area median income, adjusted for the number of bedrooms in the unit. If the unit receives Federal or State projectbased rental subsidy, the maximum rent is the rent allowable under that rental subsidy program as long as the tenant pays no more than 30 percent of tenant's adjusted income. Initial Rents and Utility Allowances- § 93.302(c) The grantee must establish maximum monthly allowances for utilities and services and annually review and approve rents proposed by HTF-assisted project owners. If the tenant is paying the utilities, the grantee must ensure that the rents do not exceed the maximum rent minus the monthly utility allowance. Periods of Affordability- § 93.302(d) HTF-assisted units must meet the affordability requirements for a period of not less than 30 years, which begins at project completion. The grantee may impose longer periods of affordability. The affordability requirements must be imposed and recorded in accordance with State recordation laws. The grantee may use preemptive rights to purchase the housing before foreclosure or deed in lieu of foreclosure to preserve affordability. The affordability restrictions may be terminated upon foreclosure or transfer in lieu of foreclosure; in those situations the grantee is obligated to repay all HTF funds invested in the project. Tenant Income and Over-income Tenant- § 93.302(e) and (f) Project owners must determine tenant eligibility by calculating the household's annual income using one the two definitions of income, 24 CFR part 5.609 or the IRS Form 1040. Income determinations are conducted at initial occupancy and the project owner must re-examine each tenant's annual income each year during the period of affordability. A project owners who re-examines a tenant's annual income through self-certification statements must examine the source documentation of the income of each tenant every 6 th year of the affordability period. For HTF units that also receive project-based rental assistance, annual income must be reexamined based on the rules applicable to the project-based assistance. HTF-assisted units continue to qualify as affordable housing despite a temporary noncompliance caused by increases in the income of existing tenants. When that occurs, grantees must make every effort to bring the units back into compliance as soon as is feasible. Fixed and Floating HTF Units- § 93.302(g) In a project containing both HTF-assisted and other units, the grantee must designate fixed or floating HTF units at the time of project commitment in the written agreement and the actual HTF units must be identified not later than the time of project completion. Fixed units remain the same throughout the affordability period and floating units are changed to maintain compliance with the requirements of this section during the affordability period. Tenant Protections and Selection- § 93.303 There must be a written lease between the tenant and owner of HTF-assisted rental housing for a period of not less than 1 year, unless a shorter period is mutually agreed upon. Prohibited Lease Terms- § 93.303(b) The lease may not contain any of the following provisions: - Agreement to be sued; - Treatment of property; - Excusing owner from responsibility; - Waiver of notice to be sued; - Waiver of legal proceedings; - Waiver of a jury trial; - Waiver of right to appeal court decision; - Tenant chargeable with cost of legal actions regardless of outcome; and - Mandatory supportive services. Termination of Tenancy- § 93.303(c) An owner may not terminate the tenancy or refuse to renew the lease of a tenant of HTF-assisted rental housing, except for serious or repeated violation of the terms and conditions of the lease or for violation of applicable Federal, State or local law, or for other good cause. To terminate or refuse to renew tenancy, the owner must provide written notice to the tenant specifying the grounds for the action and providing a specific period for vacating that is consistent with State or local law. Tenant Selection- § 93.303(d) An owner of HTF-assisted rental housing must comply with the affirmative marketing requirements established by the grantee pursuant to § 93.350, and adopt and follow written tenant selection policies and criteria that: - Limit the housing to income-eligible families; - Are reasonably related to the applicant's ability to perform the obligations of the lease; - Limit eligibility or give preference to a particular segment of the population if permitted in its written agreement with the grantee (and only if described in the grantee's consolidated plan) and preference is established in accordance with the requirements further detailed in this section; - Do not exclude applicants with vouchers under the Section 8 Tenant-based Assistance: Housing Choice Voucher program or HOME Tenant-based Rental Assistance; - Give prompt written notification to any rejected applicant describing the grounds for any rejection. - Provide for the selection of tenants from a written waiting list in the chronological order of their applications, insofar as is practicable; and QUALIFICATION AS AFFORDABLE HOUSING: HOMEOWNERSHIP Homeownership Activities- § 93.304 The grantee is permitted to use no more than 10 percent of its annual HTF grant to fund housing that is for purchase by first-time homebuyers and must meet the following requirements: - Housing must be single family housing as defined at § 93.2; - Housing must be modest as defined at § 93.305; - Homebuyer must be income-eligible at the time the contract is signed; - Housing must be the principal residence of the family throughout the affordability period; - Family is required to complete a program on financial education and homeownership counseling from a HUD-approved counseling agency; - Housing must meet the affordability requirements in accordance with the grantee's resale or recapture requirements (provisions must be HUD approved); - Single family properties with more than one unit must comply with the special consideration requirements for these types of projects, as applicable; - Housing under a lease-purchase program must comply with lease-purchase deadlines or be converted to rental housing and operated as such; - Housing not under contract within 9 months of the date of completion of construction or rehabilitation must be converted to rental and operated as such; - Grantees may use preemptive rights to preserve previously HTF-assisted housing but must ensure that housing is in good repair and sold to a new income-eligible first-time homebuyer and that the total amount of HTF assistance (original and additional HTF funds) does not exceed the per-unit subsidy limits. Additional HTF funds may not be used if the mortgage in default was funded with HTF funds; - Homebuyer assistance may be provided through lending institutions, but the grantee must verify that the family is income-eligible, qualifies as a first-time homebuyer and the unit is inspected for compliance with applicable property standards; - Grantee must determine that first mortgage financing fees are reasonable and prohibit lenders from charging fees (e.g. origination fees) to obtain the HTF assistance; and - Grantee must have written policies for underwriting standards, anti-predatory lending and the refinancing of loans. Modest Housing- § 93.305 Housing that is HTF-assisted must meet the definition of modest housing as follows: - The purchase price of single family housing does not exceed 95 percent of median purchase price for the area for newly constructed or standard housing; and - The grantee may use the HTF affordable homeownership limits published by HUD, or may calculate its own limits using the HUD-prescribed methodology and include the limits annually in its action plan for HUD review. Resale Requirements- § 93.305(b)(1) The grantee must establish the resale or recapture requirements that HTF-assisted housing must meet and include them in its annual action plan. If resale provisions are imposed on HTF-assisted housing, the property must meet the affordability requirements for not less than 30 years. If the housing is sold, transferred, or is no longer the principal residence of original buyer during the period of affordability, the following applies: - Subsequent purchaser must be income-eligible, qualify as a first-time homebuyer, and use the property as their principal residence; - The price at resale must provide original HTF-assisted owner a fair return on investment (including the homeowner's investment and any capital improvement) and ensure that the housing will remain affordable to a reasonable range of income-eligible homebuyers; - The grantee must define fair return on investment and affordability to a reasonable range of very low income homebuyers and address how it will make the housing affordable to subsequent eligible buyers; - Affordability restrictions must be imposed and recorded; - The affordability restrictions may terminate upon foreclosure, transfer in lieu of foreclosure; and - The grantee may use preemptive rights to purchase the housing before foreclosure to preserve affordability. Recapture Requirements- § 93.305(b)(2) If recapture provisions are imposed on HTF-assisted housing, the affordability periods are based on the amount of HTF assistance provided to the homebuyer per unit as follows: - Under $30,000 : 10 years - $30,000-$50,000 : 20 years - Over $50,000: 30 years The use of recapture provisions ensure that grantees recoup all or a portion of the HTF assistance to the homebuyer if the housing ceases to be its principal residence during the period of affordability. The grantee may use one of the HUD approved recapture provisions listed below or establish its own, with HUD approval. The grantee can only recapture the direct HTF assistance to a homebuyer. Subsequent homebuyers may assume the HTF assistance for the remainder of the period of affordability if they do not receive additional HTF assistance and are income-eligible. Regardless of the provision used, the amount recaptured cannot exceed the net proceeds when recapture is triggered by a voluntary or involuntary sale. The HUD approved recapture provisions are as follows: - Recapture the entire amount of assistance; - Reduce the recapture amount on a prorated basis during the affordability period; - Share in the net proceeds in proportion to an established formula; or - Recapture proceeds remaining after HTF-assisted owner has recovered their investment, if any. SUBPART H- OTHER FEDERAL REQUIREMENTS Other Federal Requirements and Nondiscrimination; Affirmative Marketing - § 93.350 The federal requirements in 24 CFR part 5, Subpart A, are applicable to participants in the HTF program. The requirements of this subpart include: nondiscrimination and equal opportunity; disclosure requirements; debarred, suspended, or ineligible contractors; and drug-free workplace. Each grantee must adopt and follow affirmative marketing procedures and requirements as described in this section for rental projects containing five or more HTF-assisted housing units and for homeownership assistance programs. The grantee must take steps to ensure to provide information and otherwise attract eligible persons in the housing market area to the available housing without regard to race, color, national origin, sex, religion, familial status, or disability. Lead-Based Paint- § 93.351 Housing assisted with HTF funds is required to be lead safe and subject to the Lead Safe Housing Regulations at 24 CFR part 35, subparts A, B, J, K, and R. Displacement, Relocation, and Acquisition- § 93.352 The grantee must ensure that it has taken all reasonable steps to minimize the displacement of persons (families, individuals, businesses, non-profit organizations, and farms) as a result of a project assisted with HTF funds. To the extent feasible, displaced residential tenants must be provided a reasonable opportunity to lease and occupy a suitable, decent, safe, sanitary, and affordable dwelling unit in the building/complex upon completion of the project. This section contains the full content of relocation requirements that apply to HTF-assisted housing. Conflict of Interest- § 93.353 In the procurement of property and services by grantees and subgrantees, the conflict of interest provisions in 2 CFR 200.318 apply. In all cases not governed by 2 CFR 200.318, the provisions described in this section apply. Funding Accountability and Transparency Act- § 93.354 The HTF grant to the grantee and all assistance provided to subgrantees and recipients shall be considered a Federal award for purposes of the Federal Funding Accountability and Transparency Act of 2006 (31 U.S.C. 6101 note). Eminent Domain- § 93.355 HTF funds cannot be used in conjunction with property taken by eminent domain, unless eminent domain is employed only for a public use, except that, public use shall not be construed to include economic development that primarily benefits any private entity. SUBPART I- PROGRAM ADMINISTRATION Housing Trust Fund Accounts and Grant Agreements- §§ 93.400- 93.401 - HUD will establish an HTF US Treasury account for each grantee which will include the annual grant and funds reallocated to the State by formula; - Grantees may use either a separate HTF local account or a subsidiary account within its general fund as the HTF local account; - HUD will reduce or recapture funds in the HTF Treasury account that are not committed within 24 months after the date of HUD's execution of the HTF grant agreement; - HUD will reduce or recapture funds in the HTF Treasury account that are not expended within 5 years after the date of HUD's execution of the HTF grant agreement; and - Allocated formula funds will be made available pursuant to an HTF grant agreement (§ 93.401); Program Disbursement and Information System- § 93.402 - HTF funds will be managed through a computerized disbursement and information system (IDIS), which allocates, reallocates, collects and reports information on the use of HTF funds in the HTF Treasury account; - Grantees must report on the receipt and use of all program income in IDIS; - The grantee must develop and maintain a system to ensure that each recipient and subgrantee uses HTF funds in accordance with the requirements described in this section; and - Grantees must set-up and complete projects in IDIS according to specified deadlines (§ 93.402(b) and (d)). Program Income and Repayments- § 93.403 - Program income must be treated as HTF funds and must be used in accordance with the requirements described in this section; - HTF funds must be repaid if project is terminated before completion or becomes ineligible during the period of affordability (§ 93.403(b); and - HUD will instruct the grantee to make repayments either its Treasury account or its local account. Grantee Responsibilities- § 93.404(a) The grantee is responsible for managing the day-to-day operations of its HTF program and ensuring that HTF funds are used in accordance with all program requirements. The use of subgrantees or contractors does not relieve the grantee of this responsibility. The grantee must have and follow written policies, procedures, and systems, including a system for assessing risk of activities and projects and a system for monitoring entities to ensure that requirements of this part are met. Written Agreements- § 93.404(b) and (c) Before disbursing any HTF funds to any entity, the grantee must enter into a written agreement with that entity to ensure compliance with HTF requirements. The contents of the agreement may vary depending upon the role of the entity with respect to program functions and types of projects undertaken. The written agreement must contain the basic requirements by role and the minimum provisions that will be required. This section describes the minimum provisions outlined for each of the following entities: subgrantee, eligible recipient, and first-time homebuyer. Onsite Inspections- § 93.404(d) The grantee must perform onsite inspections of each HTF-assisted project at project completion. For rental housing, the property must be inspected during the period of affordability to determine that the housing complies with the applicable property standards. The rule specifies the following inspection requirements for rental housing: - The onsite inspections must occur 12 months after project completion and at least once every 3 years thereafter during the period of affordability; - Life-threatening health and safety deficiencies must be corrected immediately; - If there are observed deficiencies for any inspectable items, a follow-up onsite inspection must occur within 12 months or other reasonable timeframe established by grantee; - On an annual basis, the property owner must certify to the grantee that each building is suitable for occupancy; - The grantee must verify the information submitted by project owners. - Inspections must be based on a statistically valid sample of units appropriate for the size of the HTF-assisted project; and Financial Oversight- § 93.404(e) The grantee must examine regularly, at least annually, the financial condition of HTF-assisted rental housing with 10 or more HTF-assisted units to determine the continued financial viability of the housing and take actions to correct problems. Applicability of Uniform Administrative Requirements, Cost Principles, and Audits- § 93.405 The requirements of 2 CFR part 200 apply to HTF grantees and subgrantees with a few exceptions listed in this section. When there is a conflict between the definitions in 2 CFR part 200 and 24 CFR part 93, the definitions in part 93 govern. Audits- § 93.406 Audits of the grantee and sub-grantees must be conducted in accordance with 2 CFR part 200 subpart F. The grantee's use of HTF funds must be audited not less than annually to ensure compliance with this part. HTF recipients must provide a cost certification and annual audit to the grantee for each project assisted with HTF funds. Recordkeeping- § 93.407 Each grantee must establish and maintain sufficient records to enable HUD to determine whether the grantee has met the requirements of this subpart. At a minimum, the following records are required: - Program records; - Financial records; - Project records; - Program administration records; and - Records concerning other federal requirements. All records pertaining to each fiscal year's allocation of HTF funds must be retained in a secure location for the most recent five-year period, except as provided in this section. Performance Reports- § 93.408 Each grantee must develop and maintain a system to track the use of its HTF funds, and submit annual performance and management reports on its HTF program in accordance with 24 CFR 91.520. HUD will make the performance and management reports publicly available. SUBPART J- PERFORMANCE REVIEWS AND SANCTIONS Accountability of Recipients- § 93.450 The grantee shall review each recipient to determine compliance with the requirements of this subpart and the terms of the written agreement in accordance with the grantee's policies, procedures, and systems established. Misuse of Funds- § 93.450(a) Reimbursement is required if any recipient of HTF assistance is determined to have misused HTF funds. The grantee must require that, within 12 months after the determination of misuse, the recipient reimburse the grantee for such misused amounts and return any amounts that remain unused or uncommitted for use. Reduction for Failure to Obtain Return of Misused Funds- § 93.450(b) HUD will reduce a HTF grantee's grant in any year the grantee fails to obtain reimbursement or return of the full amount required to be reimbursed or returned to the grantee. Performance Reviews- § 93.451 HUD will review the performance of each grantee in carrying out its responsibilities, at least annually. HUD will rely primarily on information obtained from the grantee's records and reports, findings from onsite monitoring, audit reports, and information generated from IDIS. Corrective and Remedial Actions- § 93.452 If the grantee fails to demonstrate compliance in administering its HTF program, HUD will take corrective and remedial actions described in § 93.452 to prevent continuation of noncompliance, and to mitigate, to the extent possible, its adverse effect or consequences, and prevent its reoccurrence. Notice and Opportunity for Hearing; Sanctions- § 93.453 If HUD finds, after reasonable notice and opportunity for hearing, that a grantee has substantially failed to comply with any provision of this subpart, HUD shall reduce the funds in the grantee's HTF account in order to repay to HUD the amount of the HTF grant which was not used in accordance with the applicable requirements. In addition, HUD may prevent withdrawals from the grantee's HTF account, restrict the grantee's activities, remove the State from participation in allocations or reallocations of funds, or terminate any HTF assistance to the grantee. When HUD proposes to take action pursuant to this section, the respondent in the proceedings will be the grantee. Proceedings will be conducted in accordance with 24 CFR part 26.
Q&A: Why there's big potential in smaller companies September 2019 For Professional Clients only. Not for distribution to or to be relied upon by Retail Clients. Eustace Santa Barbara Giles Hargreave Giles Hargreave and Eustace Santa Barbara, Co-Managers of the Marlborough Special Situations Fund, discuss the historic outperformance of the UK's smaller companies and explain their superior long-term growth potential. How would you summarise the case for investing in UK smaller companies? GH: "Paul Marsh and Scott Evans from the London Business School published some excellent research earlier this year showing the historic outperformance of UK smaller companies compared to the FTSE All-Share. "As part of an annual exercise, they looked at the performance of the Numis Smaller Companies Index (NSCI), which is comprised of the bottom 10% by value of all companies listed on the main market of the London Stock Exchange. "When a smaller company's products or services take off, there's huge potential for growth." Giles Hargreave which is the smallest 2% of the market, excluding investment companies, then your return would have been more than double that, £15,213. By contrast, if you'd put your £1 into the FTSE All-Share it would have grown to only £991. "That's what happened in the past and you can't, of course, rely on the fact that it'll happen in the future, but we're strong believers in the superior growth potential of smaller companies. "Smaller companies tend to be younger businesses, often shaking up existing markets with innovative new products and services or opening up completely new markets. When a smaller company's products or services take off, there's huge potential for growth. "The LBS academics, whose research was published in January 1 , found that £1 invested in the companies in the NSCI in 1955 would, with dividends revinvested, have grown to £6,417 by the end of 2018. If you'd invested instead in the real minnows of the Numis 1000, "They're also likely to have a smaller team and greater flexibility, so they can be more agile and quicker to seize on a new opportunity by, for example, bringing out a new product. By contrast, large companies can be like oil tankers, it takes them a while to adjust their direction to do that. "So in our view it's arguably easier for a smaller company SPECIAL SITUATIONS FUND UPDATE: SEPTEMBER 2019 in a dynamic market to grow its market share and double its market cap from £250m to £500m than it is for a FTSE giant operating in a mature market and with a market cap of £70 billion or £80 billion to achieve the same kind of growth." How does investing in smaller companies differ from investing in large caps? ESB: "One of the key differences when you're investing in smaller companies is the sheer number of opportunities to choose from. A fund manager investing just in the FTSE 100 and the FTSE 250 is only going to have 350 companies to look at. We can select the most attractive opportunities from almost 2,000 stocks, including those listed on the Alternative Investment Market (AIM), FTSE SmallCap, FTSE Fledgling and the lower reaches of the FTSE 250. That means there are always interesting new companies coming on to our radar. "Another thing about smaller companies is that there are fewer investment analysts researching them. The mean average number of analysts covering a FTSE 100 stock is just over 20, but there 1 are far fewer covering smaller companies. There are, on average, only five analysts across the industry covering each stock in our portfolio 2 . That means there are more opportunities for investment teams like ours to uncover hidden gems with growth potential that may not yet have been fully appreciated by the wider market. "But – and it's an important but – when a small company runs into trouble, and this does happen, the share price can fall very sharply. To help manage some of that risk we have more than 160 stocks in the fund, so if one does go wrong the overall impact is potentially less serious. We believe diversifying in this way is very important in the smaller companies arena." How has the uncertainty around Brexit affected the smaller companies you invest in? GH: "There's a misconception that smaller companies are overwhelmingly focused on the domestic economy, which means they'll all have been hit hard because of the protracted uncertainty around Brexit and the effect on the UK economy. "That's simply not the case though. If you look at our fund, around half the revenues of portfolio companies come from overseas. "As an example of the increasingly global nature of many small caps, one of our top ten holdings is SDL, which is a language translation software and service provider to many of the largest companies in the world. "In 2018, 43% of their revenues were generated from the US and the rest of North and South America, 21% from Europe (excluding the UK), the Middle East and Africa, 25% from the Asia Pacific region and only 11% from the UK. 3 "Future, another one of our larger positions, is a global multi-platform media business. It owns leading titles in a number of specialist areas including technology, gaming and music. The company has established itself as the leading publisher of online tech news in the US and now generates more than half of its revenues there 4 . "We also hold a considerable number of companies that have carved out a niche for themselves, where there are few, if any, other businesses offering a similar product or service. If their customers have limited alternatives, that can give the company pricing power, which should provide a degree of protection from economic shocks associated with political events like Brexit." Generally, smaller companies are perceived to be less liquid than large caps, how do you manage this in the portfolio? ESB: "Because we hold such a diversified portfolio, even our largest positions are rarely as much as 2% of the overall value of the fund. This strategy of carefully controlling exposure to each individual company helps to manage liquidity risk. "In addition to the sharp focus Giles and I have on liquidity management, Marlborough's Risk Team conduct their own ongoing liquidity analysis on the fund, as they do with all of their funds, modelling a range of scenarios and stress-testing the portfolio." What do you look for when you're considering investing in a company? GH: "We like to see strong management running the business. Eustace and I work with a large team and between us we'll meet 25 to 30 companies a week. We like to hear them articulate the business story and see how they answer our questions. There really is no better way to gauge SPECIAL SITUATIONS FUND UPDATE: SEPTEMBER 2019 the quality of a leadership team. "It's always interesting too to see innovative products and services with the potential to disrupt markets or create new ones. "It's important to point out though that even when we like a company's story, we'll only start with a relatively small investment. Our initial positions are usually less than 1% of the fund. "In terms of what would put us off investing in a company, broadly speaking, we'll avoid 'metoo' businesses, those with weaker products and services that aren't really doing anything new or interesting and which have a lot of competitors. "We like to see management who are themselves invested in a company. So, generally, we'll also tend to avoid companies where management aren't incentivised by being shareholders themselves. "Something else we tend to be wary of is buying into a company where the share price is falling. It can be tempting, of course, when a stock suddenly becomes a lot cheaper but often there's a very good reason for the share price going south, which means there's further to go. So, we'll look very carefully before investing." How would you characterise the investment outlook? ESB: "The US-China trade war, concerns about a global economic slowdown and, of course, the lack of clarity around Brexit, all continue to weigh on investor sentiment. "Indeed, because of the political uncertainty caused by Brexit, many global investors are allocating less to the UK equity market than they have done historically. That does mean though that it now looks cheap relative to comparable markets. On simple fundamental metrics such as price-to-earnings multiples, the UK is trading at 2 close to the greatest discount seen in the last 25 years relative to other developed equity markets such as the US and Europe. 5 "It's also hard to ignore a macro environment in which interest rates remain low, as does reported inflation. If that persists, the backdrop will be supportive for equities. "In addition, equities continue to look attractive compared with fixed income investments. Around a quarter of the bonds issued by companies and governments worldwide, nearly £14 trillion worth, are currently trading on negative yields 6 . "Finally, it's worth remembering that over the medium to long term, what we believe matters when investing in UK equities is the quality of the company, rather than the political backdrop. We're continuing to identify well-managed dynamic smaller companies with strong long-term growth prospects and, because the UK market is unloved, they're often trading on highly attractive valuations." Source 1 Numis Smaller Companies Index 2019 Annual Review, 16/01/19 Source 2 Bloomberg, 12/09/19 Source 3 SDL PLC final results for year ended 31/12/2018 Source 4 Future PLC 2019 H1 Results, P.3 Source 5 Panmure Gordon, Valuation Monthly, September 2019 Source 6 Financial Times 09/09/19, FTfm supplement, P.6 Risk Warnings Capital is at risk. The value and income from investments can go down as well as up and are not guaranteed. An investor may get back significantly less than they invest. Past performance is not a reliable indicator of current or future performance and should not be the sole factor considered when selecting funds. Our funds invest for the long-term and may not be appropriate for investors who plan to take money out within five years. The fund will be exposed to stock markets. Stock market prices can move irrationally and be affected unpredictably by diverse factors, including political and economic events. The fund invests in the shares of smaller companies which are generally more volatile over shorter time periods. The fund invests mainly in the UK therefore investments will be vulnerable to sentiment in that market which may strongly affect the value of the fund. In certain market conditions some assets in the fund may be less liquid and therefore more difficult to sell at their true value or in a timely manner. Regulatory Information All views are the investment managers' own and do not necessarily represent the views or opinions of Marlborough Fund Managers. This material is for distribution to professional clients only and should not be distributed to or relied upon by any other persons. It is provided for general information purposes only and is not personal advice to anyone to invest in any fund or product. The Key Investor Information Documents and the Prospectuses for all funds are available, in English, free of charge and can be obtained directly using the contact details in this document. They can also be downloaded from www. marlboroughfunds.com. An investor must always read these before investing. Information taken from trade and other sources is believed to be reliable, although we don't represent this as accurate or complete and it shouldn't be relied upon as such. Issued by IFSL International Limited, authorised by Central bank of Ireland and incorporated in Ireland as a limited company with company no. 616854. Directors: Darren Freemantle (British), Raymond O'Neill (Irish), Wayne Green (British) and Dom Clarke (British) Registered office: IFSL International Limited, 7/8 Mount Street Upper, Dublin 2, Ireland. This document may contain FTSE data. Source: FTSE International Limited ("FTSE") FTSE 2019. "FTSE" is a trademark of the London Stock Exchange Group companies and is used by FTSE International Limited under licence. All rights in the FTSE indices and / or FTSE ratings vest in FTSE and/or its licensors. Neither FTSE nor its licensors accept any liability for any errors or omissions in the FTSE indices and / or FTSE ratings or underlying data. No further distribution of FTSE Data is permitted without FTSE's express written consent. IFSL International Limited, 7/8 Mount Street Upper, Dublin 2, Ireland Broker Support: +44 (0)1204 589 336 Email: firstname.lastname@example.org Website: www.ireland.marlboroughfunds.com Administrator: HSBC Securities Services (Ireland) DAC, 1 Grand Canal Square, Grand Canal Harbour, Dublin 2, Ireland SPECIAL SITUATIONS FUND UPDATE: SEPTEMBER 2019 3
PROSPECTIVE STUDY OF THE TOURISM INDUSTRY STRATEGY IN THE NEW NORMAL ERA Dian Kagungan, Faculty of Social and Political Sciences, Universitas Lampung Karomani, Faculty of Social and Political Sciences, Universitas Lampung Devi Yulianti, Faculty of Social and Political Sciences, Universitas Lampung Intan Fitri Meutia, Faculty of Social And Political Sciences, Universitas Lampung Yulia Neta, Faculty of Law, Universitas Lampung Anna Gustina Zainal, Faculty of Social And Political Sciences, Universitas Lampung ABSTRACT Tourism is one of the most threatened sectors due to the Corona Virus pandemic. Concerning the Covid-19 pandemic, the Lampung Provincial Government needs to address the threatening factors to formulate a policy strategy for rebuilding the tourism industry in the new normal era. The location of this research is Lampung Provincial Government, Tanggamus Government, and Pesawaran district government. The method used is qualitative descriptive obtained through interviews and FGD, with a quantitative data approach. This study's results indicate the tourism industry development strategy in Pesawaran Regency and Tanggamus Regency consisting of four components: attraction, accessibility, amenities, and additional services (ancillary). The long-term objective of this research: to produce a model of tourism industry development policy based on local wisdom through synergistic cooperation between Lampung Provincial, Tanggamus Regency, and Pesawaran Regency Government. The Lampung government has not issued strategic policy in the tourism sector affected by Covid-19. However, the Department of Tourism and Economic Creative Lampung Province must prepare a scenario to accelerate their cover of the tourism industry based on a SWOT analysis as research advice. The scenarios include local tourists' local wisdom; prepare environmentally, health, and safety insight; increase capacity, knowledge, and public awareness. The Lampung government this not issued a strategic policy in the tourism sector affected by Covid-19. Keywords: Tourism, Strategy, Swot, New Normal. INTRODUCTION The tourism sector is one of the largest contributors to the economy in Indonesia. Tourism is one of the sectors that have an important role in developing a country because tourism is considered to directly contribute more to the revenue of the area where the tourist attraction is located (Meiwany, 2018). The tourism sector can be used as one of the leading sectors to obtain foreign exchange, job creation, and poverty alleviation. The same explanation was also conveyed (Lumaksono et al.) that the tourism sector plays an important role in the Indonesian economy, both as a source of foreign exchange receipts and job creation and opportunities to strive (Wijayanto, 2013). Currently, tourism is one of the most threatened sectors due to the Coronavirus pandemic, no exception in Lampung Province, precisely in Pesawaran and Tanggamus Regency, which are strategic areas of Lampung tourism development center. Some attractions in Lampung also feel the impact on making these tourist attractions have to experience a temporary closure until the deadline that cannot be determined. This resulted in a weak economy in Lampung, which impacted the stop of tourism development in Lampung Province, which ultimately impacted the welfare of the local community. Indonesian tourist visits from 2014 to 2019 continue to increase. In 2014 the number of domestic and foreign tourists was 4.4 million, and in 2019, the number of foreign tourists reached 10.7 million. Foreign tourist visits since 2014 have continued to increase while the highest number of domestic tourist visits was in 2018, which reached 13.8 million. The tourism sector is very likely to provide economic growth due to the availability of various tourism potentials and local government support in the form of regulation (Nurhadi, 2014). Lampung Province's tourism development and development objectives are as the leading tourist destinations in Indonesia that become locomotives for development and provide welfare improvement to the community, with tourism strategies: (1) to improve domestic and foreign tourism promotion, (2) tofoster and coordinate with districts/cities, establishing tourism sector as a priority for regional development, (3) encouraging investor interest to: invest in Lampung area, and (4) increasing the participation of the community and cultural arts of Lampung. However, since the covid-19, Indonesia has three implications related to the COVID-19 pandemic, namely tourism, trade, and investment sectors (Pakpahan, 2020). The covid-19 pandemic conditions provide uncertainty for the tourism industry. It affects visitors as well as managers. People are asked to be at home only to have the consequences of declining mobility and fulfill the need for tourism (Djausal, 2020). The government's efforts in dealing with the impact of the Covid-19 Lampung government follow the Central Government's instructions. The Ministry of Tourism and Creative Economy (Kemenparekraf) took several strategic steps to address the impact of the spread of coronavirus or Covid-19 for tourism and creative economy actors in the country. Based on the circular from the Office of Creative Economic Tourism Lampung Province, 9 districts/cities have temporarily closed their tourist attractions. Among others, for Bandar Lampung City, Taman Wisata dan Satwa Lembah Hijau, Pesawaran Regency of East Lampung Regency closed all tourist attractions until an unspecified time, Tanggamus Regency, Mesuji Regency, Lampung Regency, West Coast Regency, Metro City, and West Lampung Regency also closed all its tourist attractions until the unspecified deadline. The key to the above problem is how to develop the tourism industry in Lampung Province by strengthening the role of local communities after the covid-19 pandemic is?The research method used is qualitatively descriptive with a quantitative data approach. The data was obtained through interviews, FGD, and questionnaires for SWOT Analysis with key informants relevant to this research study. RESULTS AND DISCUSSIONS Analysis of Tourism Industry Development Strategy in Lampung Province After Covid-19 Pandemic To restore a superior tourism sector after covid-19, it is necessary to arrange and manage tourism by the Lampung Provincial Government and other institutions related to tourism. One indicator of tourism mining is governments and other institutions' cooperation in organizing development to support tourism development. About the current covid-19 pandemic, the Lampung Provincial Government has held a meeting with tourism stakeholders to address covid19 in Lampung Province to formulate the cooperation of the government, private and community in rebuilding tourism after covid-19 led directly by the Governor of Lampung, a stakeholder in the field of tourism for one perception in the handling and prevention of covid-19 in Lampung Province. Polaris (Tourism Aware Group) is a community group formed in each village to assist Disparbud in managing tourism (Meutia, 2019). Especially in marine attractions, Pokdarwis plays a role in managing and promoting beaches and islands by empowering local people. Disparbud provides training to Pokdarwis every year. The training was conducted to teach Pokdarwis and the public about the science of how to manage tourism, such as homestay procurement training, craft training, and culinary training. Supervision of Pokdarwis is carried out by monitoring directly by both Disparbud and KPK (Putera Krakatau Group), the main source of pokdarwis formation. The attraction of tourist attractions can be capital to develop tourism. As Subardin et al. said, some elements that must be fulfilled as tourist destinations are attractiveness, accessibility, infrastructure, and community empowerment (Ismail, 2020). A tourist attraction is everything owned by tourist attractions that can attract tourists to visit. Cooper's attraction suggests four components that a tourist attraction should have: attraction, accessibility, amenities, and ancillary (Kartika, 2018). Attractions are components that can attract tourists to an area into a tourist destination. Tourist attractions other than those provided by nature need to be built tourist companion attractions so that the attractions' atmosphere and condition are not boring (Delita, 2017). Accessibility or accessibility is important in tourism activities; transportation tools or transportation services become important tourism access. This access is synonymous with transferability, which is the ease of moving from one area to another. Transportation facilities become part of the facilities and infrastructure of tourism that must be available to pamper tourists in their travels (Nurhadi, 2014). Amenities means a supporting facility for the smooth activities of tourism as well as providing comfort to tourists. Ancillary is also an improvement in the quality of tourism services products by the private and the community, especially in transportation, accommodation, travel arrangements, restaurants, and lodging that play a role in tourism (Fazlur, 2014). Swot Analysis Matrix of Post-Pandemic Tourism Development Strategy Based on the above description, the following is a SWOT analysis Table 1 of the tourism development strategy of Lampung Province after the Covid-19 pandemic: \| No \| STRENGTH \| WEIGH T \| RATIN G \| \|---\|---\|---\|---\| \| 1 \| Cooperation of government and stakeholders in tourism \| 0,12 \| 8 \| \| 2 \| Community empowerment program through Pokdarwis \| 0,11 \| 8 \| \| 3 \| Organize major events to attract tourists \| 0,09 \| 6 \| \| 4 \| Doing coaching and education about new normal era tourism \| 0,09 \| 6 \| \| 5 \| Through the Ministry of Tourism and Creative Economic, the Central Government prepared three stages to respond to the impact of Covid-19, namely emergency response, recovery, and normalization. \| 0,09 \| 6 \| SWOT Analysis Strength: The location of Lampung Province itself is in a strategic place, which is at the tip of Sumatra Island, which means that it is the gateway from outside the island. This makes it a strategic tourist location, where Lampung tourist locations such as Pesawaran District, Lampung Regency, and Tanggamus Regency are not far from the capital city of Bandar Lampung. Tourism is a source of the economy bot has a source of foreign exchange earnings and job creation. Department of Tourism and Culture has provided training to Pokdarwis every year. The training was conducted to teach Pokdarwis and the wider community about tourism management science, such as homestay procurement training, craft training, and culinary training. Weakness: The Lampung government has not issued the strategic policy in the tourism sector affected by Covid-19. During the Covid-19 pandemic, people were asked to stay at home so that it has a consequence of decreasing mobility and meeting tourism needs to below. At the Way, Lalaan tourist attraction, Tanggamus Regency, the policy for establishing merchant stalls is still not neat, so there need to be improvements in the management of traders at tourist sites. After the tsunami disaster, facilities and infrastructure in Lampung tourism objects have damaged most of them. Lack of community participation is one of the in habiting factors for the development of tourist attractions. Opportunity: Tourism is a source of the economy both as a source of foreign exchange earnings and job creation. Pesawaran and Lampung districts also have tourist attractions that offer natural marine beauty, such as Pahawang Island and Canti Beach. The advancement of the tourism sector can encourage investors to: invest in the Lampung region. If the government and business people can work together well aftertheCovid-19pandemic, the tourism sector can offer an appropriate be a very choice to treat boredom during the lock-down. Threats: The closure of tourism spots resulted in a weak economy in Lampung, which resulted in the cessation of tourism development in Lampung Province, which in turn had an impact on the welfare of the local community. During the Covid 19 pandemic, there were no tourist visits, so that the district lost 40% of its PAD. CONCLUSION AND RECOMMENDATION Conclusion Lampung Province's Own Tourism and Creative Economic Office is preparing a scheme to accelerate the recovery of the tourism sector and the creative economy in Lampung Province after the COVID-19 pandemic. With several schemes, one of them prepares environmentally minded, health-minded, and security-minded tourism to rebuild the tourism sector. Lampung Regency/City Provincial Government synergizes in handling and rebuilding the tourism industry from the impact of Covid-19. Through the Ministry of Tourism and Creative Economic, the Central Government prepared three stages to respond to the impact of Covid-19, namely emergency response, recovery, and normalization. In the emergency response stage, provide support to health workers to prepare accommodation, food, and transportation. Also, coordinate with K/L and various relevant parties to support the Indonesian tourism industry or players. In the second phase of recovery, the Ministry of Foreign Affairs will coordinate with other K/L to identify the impact in detail of the covid-19 outbreak. Officially Lampung government has not issued a strategy policy in the field of tourism impacting covid-19. In this case, the local government still follows the National policy made by the Ministry of Tourism and Creative Economic. But all tourism in Indonesia, according to Wishnutama as Minister of Tourism and the creative economy, will implement a strategy that focuses on improving the basics related to hygiene, safety, and security, as well as preparing the construction of basic infrastructure, which will also be implemented by the Lampung Provincial government so that people no longer worry about the cleanliness of tourism and feel safer when doing tourism in the area. Recommendation The research suggests that the tourism development strategy in Lampung Province should implement a strategy that focuses on improving the basics related to hygiene, safety, and security and preparing for the construction of basic infrastructure. Tourism should continue to be creative to develop the tourism industry in Lampung Province and the utilization of tourism village websites, cooperation with stakeholders, strengthening the institutional role of tourism aware group. Moreover, the regional Tourism Development Master Plan should be in line with Lampung Province Tourism Development Master Plan to not impress the development of the regional tourism industry in Lampung Province running on its own.Tourism policies that need to be strengthened, such as support to industry and tourism and creative economy (parekraf), budget support, tourism education subsidies, strengthening Tourism Mitigation SOP, priority on improving destinations, increasing the role of pokdarwis in tourist villages as a team of village clusters fostered by the Ministry of Tourism cq Tourism Office Kab Pesawaran, Tanggamus and Lampung districts, and strengthening regulation of the influx of foreign tourists ACKNOWLEDGEMENT The author would like to thank the Directorate General of Higher Education, Ministry of Education and Culture of the Republic of Indonesia for the 2 nd year Grant for this research, and Universitas Lampung and Lampung Provincial Government for supporting this research. 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University of Huddersfield Repository Aldawod, Alvin and Day, John A Critical Reflection upon the Postmodernist Philosophical Positions and Issues Relevant to Entrepreneurship Research Original Citation Aldawod, Alvin and Day, John (2017) A Critical Reflection upon the Postmodernist Philosophical Positions and Issues Relevant to Entrepreneurship Research. In: BAM 2017, 5-7 September 2017, University of Warwick, UK. This version is available at http://eprints.hud.ac.uk/id/eprint/33938/ The University Repository is a digital collection of the research output of the University, available on Open Access. Copyright and Moral Rights for the items on this site are retained by the individual author and/or other copyright owners. 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For more information, including our policy and submission procedure, please contact the Repository Team at: email@example.com. http://eprints.hud.ac.uk/ A Critical Reflection upon the Postmodernist Philosophical Positions and Issues Relevant to Entrepreneurship Research Alvin Aldawod and John Day Huddersfield University Business School, University of Huddersfield, Queensgate, Huddersfield, HD1 3DH Corresponding author email: firstname.lastname@example.org A Critical Reflection upon the Postmodernist Philosophical Positions and Issues Relevant to Entrepreneurship Research Abstract This paper questions the appropriateness of a postmodernist philosophy to underpin entrepreneurship research. One of the most commonly used and accepted measures of entrepreneurship at an organisational level – entrepreneurial orientation is underpinned by a positivist philosophy. However some would argue that the very nature of entrepreneurial behaviour lends itself to a postmodernist approach. Literature on both postmodernism philosophy and entrepreneurship is critically reviewed to draw out their common points and relationships. The main findings are, firstly, postmodernism is a valid philosophy for underpinning entrepreneurship research because both postmodernist and entrepreneurship scholars pay considerable attention to innovation, organizational change, hidden process and components of organizations, and long-term value. Secondly, given there is no consensus on a single definition of entrepreneurship, researchers seem accepting of the idea of multiple realities –a fundamental principle of postmodernism philosophy. The authors argue that postmodernism entrepreneurship research has not been sufficiently addressed. Keywords: research philosophy, philosophical assumptions, postmodernism, entrepreneurship. Introduction In social science there are a number of philosophies underpinning research to explain reality. This leads to the emergence of different types of realities. Therefore, social science researchers need to think seriously about the importance of understanding philosophical frameworks that underpin their research. In this context, McGregor and Murnane (2010) argue that both quantitative and qualitative methods should be harmonized with the philosophy of the research. Quinlan et al. (2015) go further by arguing that the researcher's philosophy can be observed in all phases of the research process. Therefore, the correct understanding of the philosophies dominating the social world results in an accurate understanding of methodologies that are followed in social science research. This, of course, helps in conducting valid research, and, thus contributing to the body of knowledge by creating novel knowledge. The latter may provide new interpretations about social science phenomena, and, thus find new solutions or develop new ways of dealing with issues that are facing a group of individuals, organizations or communities. This shows the importance of having a comprehensive understanding of the philosophies, and assumptions associated with them, that underpin social science research. This applies to entrepreneurship research too. Due to the existence of a considerable number of philosophies that underpin social science research, and, because of difficulty of dealing with all of them through a single study, in this paper the authors consider only whether postmodernism principles are suitable to underpin entrepreneurship research. There are two main reasons for this choice, firstly, there has not been sufficient research that highlights the role played by postmodernism in developing entrepreneurship research; secondly, there is a group of strong justifications for considering postmodernism as a valid philosophy for underpinning entrepreneurship research. The present paper is structured as follows. Firstly, the concept of entrepreneurship is presented. Secondly, research philosophy, with a focus on postmodernism, is considered. Thirdly, the theoretical relationship between entrepreneurship and postmodernism is discussed. Fourthly, the postmodernism ontological assumptions are clarified. Fifthly, the epistemological assumptions are presented. Sixthly, the postmodernism methodological assumptions are outlined. Then, the postmodernism axiological assumptions are presented. Finally, a conclusion is provided. What is entrepreneurship? Entrepreneurship is seen as a multidisciplinary field of research (Costa, 2015). It takes place in different contexts and environments as well as in various forms (Churchill and Muzyka, 1994). This leads to the entrepreneurship phenomenon becoming multifaceted complicated, large and equivocal, and, thus making it challenging to find consensus on a single definition for this phenomenon (Gartner, 1994; Moroz and Hindle, 2012). Day et al. (2006) argue after Kilby (1971) that this is not a problem provided that transparency exists over competing definitions, and, scholars are tolerant of the views of others. Therefore, entrepreneurship scholars as Gartner (1994) argued we should in each of our research studies - simplify, focus ('make smaller') and be unequivocal. This paper does not seek to find a single definition for entrepreneurship but adopts the approach offered by Churchill and Muzyka (1994) who claimed that there was a consensus in that entrepreneurs sought to identify opportunities that could be converted into 'economic value'. This is in line with what has been argued by both Shane and Venkataraman (2000) and Chen and Yang (2009) that the field of entrepreneurship studies the sources of opportunities; the process of opportunity recognition and exploitation; and the individuals who recognize and exploit these opportunities. Similarly Suddaby et al. (2015) claim that the entrepreneurship field is dominated by the idea that entrepreneurs seek to discover opportunities. Churchill and Muzyka (1994) argue that five factors are considered as the most justifiable factors for entrepreneurship to emerge. These factors are: an action, creation of an organization, innovation and opportunity, an individual and risk. After taking these factors into consideration, they define entrepreneurship as "a process that takes place in different environments and settings that causes changes in the economic system through innovations brought about by individuals who generate or respond to economic opportunities that create value for both these individuals and society" (1994, p.16). Entrepreneurship has to take place within an organisation which can be existing or newly formed; commercial or social, large or small, formal or informal. (Shane and Venkataraman, 2000; Coase, 1937). The search for an appropriate understanding of the entrepreneurship phenomenon is still continuing and this endeavour will bring forth new understandings. This paper suggests that one fruitful line of enquiry would be a deeper understanding of the contribution to be made through adopting a postmodernism perspective (Neergaard and Ulhøi, 2007, Todorovic, 2007). Research Philosophy Research philosophy is described as "a system of beliefs and assumptions about the development of knowledge" (Saunders et al., 2016, p.124). Table 1 shows that positivism, post positivism, constructivism, postmodernism and pragmatism are the frameworks most discussed by methodology researchers (they have been discussed by at least five of the researchers whose classifications of philosophical frameworks are considered in the table). Therefore, postmodernism, is compared with the other four most discussed frameworks in order to make the postmodernism position clearer (Table 2). Four philosophical assumptions are considered: ontological, epistemological, axiological and methodological. These assumptions providing the bases for the comparison between the philosophical frameworks (Creswell, 2013). ……………………….. Insert Table 1 here ……………………….. ……………………….. Insert Table 2 here ……………………….. Postmodernism and Entrepreneurship The word 'postmodernism' can refer to either a theoretical perspective or an historical periodization (Hassard, 1999). In this context, Parker (1992) distinguishes between postmodernism (with a hyphen) and postmodernism (without a hyphen); the former refers to the historical periodization and the latter refers to the philosophical perspective. In the same way, Bauman (1988) discusses two phenomena; the first one is sociology of postmodernism, which considers postmodernism as a paradigm. The second concept is postmodernism sociology which considers postmodernism as an epoch (Hassard, 1999). In this paper the focus is on postmodernism as a philosophical perspective and on how such a perspective can contribute to the entrepreneurship body of knowledge. However, we believe, according to the literature reviewed, that the epoch of postmodernity has contributed to the formulation of the principles of postmodernism philosophy. In this connection, it is important to highlight that postmodernism represents the period after modernity. In the modernity period, scholars sought to explore the world through 'empirical objective rational' ways. However, postmodernists have challenged and rejected the naivety of these ways (Quinlan et al., 2015). Therefore, postmodernists (who believe in postmodernism philosophy) believe that the advancement of science is not constant and linear, but rather, it is contested and discontinuous (Easterby-Smith et al., 2012). They reject the idea of having only one possible meaning for the relation between ways of representation (image, word, etc.) and an object (Hassard, 1999). In this connection, Bryman (2016, p.694) defines postmodernism as "a position that displays a distaste for master-narratives and for a realist orientation". This definition does not negate the fact that there is no consensus among the scholars as to single definition for postmodernism philosophy (Appignanesi et al., 2007, Bryman and Bell, 2011, Heartney, 2001). This is because scholars and philosophers define this philosophy in many different ways (Boje, 2006). This paper adopts the above view of Hassard (1999) that there is no one reality that can explain the relationship between the forms of representation and the external world. Postmodernism philosophy was first used in architecture to promote new ways of thinking about the space (St. Pierre, 2011). We believe that the first idea of postmodernism could still be valid for social science research, and for organization science research in particular. This is because that managing today's organization may require new ways of dealing with the variables of the surrounding environment, which is changing continually and rapidly. Therefore, from a postmodernism perspective, innovation can be considered as one of the most significant dimensions for successful organizations. In fact, the first idea of postmodernism is also a valid philosophy for entrepreneurship research. This is because of the interrelationship between entrepreneurship and innovation. For example, Zhou (2010) argues that high levels of entrepreneurship markedly contribute to turning knowledge into innovations. At the same time, innovation, according to Drucker (1985), is considered as a tool by which changes can be turned into business / services. In addition, creativity, which leads to innovations (Amabile, 1988), is considered as one of the significant factors that help in recognizing entrepreneurial opportunities (Nicolaou et al., 2009, García-Cabrera and García-Soto, 2009, Webb et al., 2011, Hulbert et al., 2015, de Jong and Marsili, 2015, Barringer and Ireland, 2016). The above shows that innovation can be considered as one of the pillars of postmodernism philosophy, therefore, underpinning entrepreneurship research by this philosophy can contribute significantly to the entrepreneurship body of knowledge. In addition to innovation, Easterby-Smith et al. (2012) identify three implications of postmodernism for management research: organizational change, hidden process and components of organizations and long-term value. These can have a considerable role in entrepreneurship research too. 1. Organizational Change Easterby-Smith et al. (2012) show that postmodernism is an appropriate philosophy for studying topics related to organizational change because the postmodernists look at organizations as unstable and flexible entities (Kilduff and Mehra, 1997, Easterby-Smith et al., 2012). From the above argument, it can be claimed that postmodernism is an appropriate philosophy for entrepreneurship research because organizational change phenomenon can play a considerable role in understanding many aspects of entrepreneurial behaviour. Firstly, and more importantly, if organizations wish to continue to be entrepreneurial, they need to consider organizational change as their essential goal (Brown and Eisenhardt, 1997). In fact, corporate entrepreneurship is considered as one of the prominent ways by which organizations can be changed and transformed (DeTienne, 2004). Corporate entrepreneurship, according to Guth and Ginsberg (1990) covers two domains: (1) establishing a new venture within existing organizations; (2) transforming organizations through renewing ideas on which these organizations are established (strategic renewal). Both domains are based on the organizational change concept. This may indicate that one of the most significant requirements for entrepreneurship is a willingness to change. Secondly, corporate entrepreneurship can be easily viewed outside of the 'traditional' 'for profit' context, for example, entrepreneurial universities pay great attention to organizational change. Transformation towards becoming an entrepreneurial universities cannot happen without change and often fundamental change. (Clark, 1998). Thirdly, considering organizations as flexible and dynamic entities is also important for the entrepreneurial process because responding to environmental changes can be considered as one of the significant factors impacting on opportunity recognition (McMullen and Shepherd, 2006, Buenstorf, 2007, García-Cabrera and García-Soto, 2009, Tang, 2010, Sinclair and D'Souza, 2011, Wang et al., 2013, Mary George et al., 2014, Hulbert et al., 2015, Kohlbacher et al., 2015, Barringer and Ireland, 2016). The above phenomenon is considered as the fundamental step in the entrepreneurial process (Hisrich et al., 2013, Ozgen and Baron, 2007). 2. Tacit knowledge Easterby-Smith et al. (2012) argue that postmodernists pay considerable attention to the hidden processes and components of organizations, for example, tacit knowledge. This can be considered as one of the substantial topics in entrepreneurship field given that one of the main dimensions of tacit knowledge is the cognitive perspective (Nonaka and Konno, 1998, Lubit, 2001). The significant embedding of the cognitive perspective into recent entrepreneurship research (Bonney and Williams, 2009), can greatly benefit entrepreneurship research (Baron, 2004). It helps in answering three questions: What leads some individuals, but not everyone, to decide to become entrepreneurs? Why do some individuals, but not everyone, recognize lucrative opportunities? Why do not all entrepreneurs have the same level of success? Understanding the role of tacit knowledge not only helps in the consideration of those three questions but also can help in a fuller understanding of the opportunity recognition process. Arentz et al. (2013) and Felin and Zenger (2009) emphasise that knowledge is one of the most significant factors in determining entrepreneurial opportunity recognition. 3. Long-term value Easterby-Smith et al. (2012, p.32) argue that "postmodernism retains a critical edge and is sceptical about the role and motivation of large organizations, and ….. whether of lasting value to society". The above suggesting that postmodernism could be one of the most appropriate philosophies for underpinning entrepreneurship research concerned with large organizations. Again, illustrating from the debate on entrepreneurial universities since they certainly pay great attention to contributing to socio-economic development (Etzkowitz, 1983, Etzkowitz and Zhou, 2008). Thus questioning whether entrepreneurial universities deliver lasting value to society can be a challenging and interesting question for entrepreneurship scholars due to the uniqueness of both the mission of universities in general, and entrepreneurial universities in particular. For entrepreneurial universities, their third mission pushes them to contribute to socio-economic development (Etzkowitz and Viale, 2010) so serving the surrounding society as well as developing the wider economy. (Etzkowitz, 2013, Zhou and Peng, 2008). By considering these implications discussed by Easterby-Smith et al. (2012) as well as the arguments related to the importance of innovation for postmodernism, it can be claimed that underpinning entrepreneurship research by this philosophy can help the researchers in understanding more about the entrepreneurship phenomenon. This would be primarily through obtaining different perspectives and so adding to the body of knowledge and theory development. Further justifications for underpinning entrepreneurship research by a postmodernism philosophy are provided in the next four sections. Ontological assumptions In social science, ontological assumptions are related to the nature and characteristics of reality (Creswell, 2013). Saunders et al. (2016, p.722) describe ontology as a "branch of philosophy concerned with assumptions about the nature of reality or being". Despite having some agreement on the ontology notion, there is no one way to interpret the social world. This is because each group of scholars have different ontological perspective (Sekaran and Bougie, 2013). Such a difference is due to the perception of how things vary from one individual to another and from one context to another. Therefore, to decide the ontological position of a research, it is important to think of the nature of the phenomenon, entity or social reality under examination (Mason, 2002). Ritchie et al. (2013) argue that social science research is formed by two ontological positions: realism and idealism. Realism, one the one hand, asserts that reality in the social world is independent from the social actors who take part. Realism proponents believe that reality is recognized through senses (Matthews and Ross, 2010). On the other hand, idealism confirms that reality, in principle, is 'mind-dependent'. Therefore, it can be recognized through social constructions and human reasoning (Ritchie et al., 2013). A review of postmodernism literature indicates, in a way that is not entirely clear, that the idealism ontology is more suited for explaining the nature of reality according to postmodernism. That is why postmodernists believe that ontology is symbolic and they also believe that there is no one reality, but rather, there are multiple realities or interpretations for a certain phenomenon (Kroeze, 2012). The above explains why some scholars, ontologically, describe postmodernism as antireality philosophy (Hicks, 2004). Despite such a description, some other scholars, ontologically, look at postmodernism as participative reality philosophy (Lincoln et al., 2011, Creswell, 2013). The latter perspective can be considered as a subjective-objective reality, which emerged as a result of the collaborations between scholars and communities under examination (Creswell, 2013, Lincoln et al., 2011). Bryman and Bell (2011) argue that postmodernism does not promote the possibility of having a decisive version of reality. This is because postmodernists do not believe in an 'objective reality', which can be discovered by social scientists; but rather, they see that reality is always realized through the narratives that are offered by research reports. In terms of entrepreneurship research, it is important to highlight the fact that there is no consensus on the entrepreneurship concept (Kirby et al., 2011). This leads entrepreneurship researchers to accept the notion of multiple realities which can help in developing new concepts as well as being an applicable concept in different contexts. This is valuable for the entrepreneurship field because what is considered entrepreneurship in developing countries may not obtain the same consideration in developed countries (Lingelbach et al., 2005). Not only this, but, the entrepreneurship concept in public sector organizations is not treated in the same way as private organizations; and the same applies in large organizations which look at entrepreneurship differently from small and medium enterprises (SMEs). Differences in dealing with the notion of entrepreneurship by organizations with different context, nature and size has led entrepreneurship scholars to develop various terminologies relating to the entrepreneurship phenomenon, such as corporate entrepreneurship, intrapreneurship and social entrepreneurship. Epistemological assumptions Epistemology is described as "the theory of knowledge and how we know things" (Matthews and Ross, 2010, p.23). Ritchie et al. (2013) argue that, in social science research, the best way for obtaining knowledge is considered one of the main epistemological issues. Predominantly, paying attention to the relationship between knowers (respondents) and the one who will be knower (the researcher) (Ponterotto, 2005). In general, it can be argued that epistemology is associated with the ways of creating new knowledge, and thus contributing to the body of knowledge. In this connection, it is important to point out that researchers need to provide good justifications for the arguments raised in their research, especially those related to the development of new ideas. Reasonable justifications are also required for the methods used for conducting the research which contributes to creating new knowledge. Doing so will provide an opportunity to criticise, judge and accept or reject the knowledge created (Quinlan et al., 2015). In this connection, Creswell (2013) argues that the creation of new knowledge must be based on the current situations and the various viewpoints of the members of communities under examination. This may indicate that developments and changes can be one of the best sources for obtaining new knowledge, and, it also indicates that obtaining the knowledge may require us to think of new ways and consider different perspectives, all of which can change over time. This supports the discussion by Grix (2010) that knowledge and the methods that are used for exploring it are changing. Such changes push researchers to keep up with the developments in research methods. To ensure that the best methods are used for obtaining the target knowledge, the questions asked and designs used need to be formed through considering the ontological and epistemological positions of the researcher (Leitch et al., 2010, Cameron and Price, 2009). That is why there should be an integration between the answers from epistemological questions and the answers from ontological questions (Mason, 2002). This strong relationship between epistemological and ontological assumptions is depicted in Figure 1. Relative views on a certain social phenomenon can be different because each group of researchers can have different ontological and epistemological positions (Grix, 2010) ……………………….. Insert Figure 1 here ……………………….. From the postmodernism perspective, epistemology is based on "paradox, irony, eclecticism and pluralism" (Kilduff and Mehra, 1997, p.461) by which multiple knowledge / reality can be realised through facing different circumstances as well as using multiple ways of knowing. Here, the inter-subjectivity notion plays a considerable role in reaching co-created findings that require various ways of knowing. This is because inter-subjectivity promotes finding various possible relations between differing views (Gillespie and Cornish, 2010). This, of course, is valuable for entrepreneurship research because as mentioned earlier entrepreneurship is considered as a multidisciplinary field of research (Costa, 2015). Therefore contributing to the entrepreneurship body of knowledge requires underpinning entrepreneurship research by perspectives that promote pluralism, comprehensivity and diversity (Leitch et al., 2010). Postmoderinsm can be considered as a perspective that can provide such features. Methodological assumptions The previous section shows that there is a strong relationship between epistemology and ontology. However, reviewing the work of Hay (2002) and Easterby-Smith et al. (2012) shows that considering methodological assumptions is important to make the above relationship stronger because methodology follows from the ontological and epistemological assumptions (Easterby-Smith et al., 2012). In this connection, Hay (2002) argues that research ontology precedes research epistemology, which in turn precedes research methodology. In the same context, Fleetwood (2005) stressed the importance of having a strong relationship between the above philosophical assumptions, namely, how researchers believe reality to be (ontology) influences what knowledge can be produced about this reality (epistemology), and that such knowledge can be investigated by using different methods (methodology). The latter is described by Quinlan et al. (2015, p.397) as "the overall approach to the research project; the way in which the research is carried out; a means of supporting the philosophical assumptions that underpin the research project". Hence methodology deals with all research considerations from developing a research question to presenting the research findings. Therefore, methodology books include many aspects of research, such as research logical reasoning, approach, strategy and methods. In the present paper, to obtain some idea about postmodernism methodology, three methodological considerations are briefly discussed: research approach, strategy and methods. For the first consideration, it can be argued that as a result of the adoption of a multiple realities notion by postmodernists, a qualitative approach can be one of the most appropriate choices. This is because that conducting qualitative research promotes the idea of accepting of multiple realities (Creswell, 2013). In this context, Bryman and Bell (2011) argue that postmodernists tend to adopt qualitative research for answering their research questions. The above argument is important for the present paper because having a lack of agreement on a concept, as with entrepreneurship phenomenon, requires it to be accurately understood through in-depth investigations. Such investigations can be provided by conducting qualitative research (Flick, 2014). As for research strategy, some scholars associate postmodernism with ethnography (Curtis and Curtis, 2011, Bryman and Bell, 2011). This may due to the fact that postmodernism reality, as it is shown in Table 2, is created by mind and surrounding cosmos; this can be provided by ethnography research since "ethnography represents ways of studying culture through methods that involve the researcher becoming a part of that culture" (Quinlan et al., 2015, p.396). However, we believe that other research strategies, such as case study, can be adopted for conducting postmodernism research. This is because this philosophy promotes using most of the research methods for collecting the data (as it is shown in Table 2). In terms of the methods used by postmodernists (Table 2) there is no single best method for obtaining knowledge in postmodernism research. Therefore, all available methods used for conducting social science research can be used for postmodernism research. However, Bryman and Bell (2011) argue that postmodernists focus on the so-called 'method talk'; this, in turn, highlights the importance of constructing social reality. In this respect, Curtis and Curtis (2011) argue that in-depth interviews are one of the most effective methods for presenting social reality. The latter indicates that interviewees have their own perspectives beliefs and perceptions, which can be subjective but they are real to those interviewees. Researchers, through interviewing those people, try to realize their perspectives, beliefs and perceptions in a way that can be turned to a social reality within a given context. Axiological assumptions Saunders et al. (2016, p.711) define axiology as "a branch of philosophy concerned with the role of values and ethics within the research process". This raises questions about how researchers deal with their own values and those of the research participants (Saunders et al., 2016). Considering these values is very important because they have a considerable effect for a number of aspects of the research process: developing the research question, choosing the research paradigm, developing the theoretical framework, deciding the main methods of both data collection and data analysis, choosing the research context, dealing with values already established within the research context, and choosing the way for presenting findings (Lincoln et al., 2011). This shows that values permeate almost every aspect of the research process; therefore it can be claimed that there is strong link between axiological assumptions and the other three philosophical assumptions, thus the argument raised in the previous section relating to the relationship between ontology, epistemology and methodology can be extended by claiming that this relationship is completed only when axiological considerations are considered as depicted in Figure 2. Then, finding a coherent connection between these assumptions leads to conducting a valid research, which in turn contributes to the body of knowledge. In terms of entrepreneurship research, Canedo et al. (2014) argue that values play a great role in conducting entrepreneurship studies. This increases the importance of postmodernism philosophy for underpinning entrepreneurship research because this philosophy pays substantial attention to values (Saunders et al., 2016), and, it promotes reflexivity (Hassard, 1999). This is defined by Bryman and Bell (2011, p.700) as the "connotation that business researchers reflect on the implications of their methods, values, biases and decisions for the knowledge of the social world they generate and try to be aware of how personal idiosyncrasies and implicit assumptions affect their approach to study". The above shows that postmodernism philosophy considers the values of society / the organization and those of the researcher. This, of course, can contribute markedly to those aspects of entrepreneurship that are impacted by the individual, organizational or social values. Creswell (2013) argues that values, from the postmodernism perspective, need to be treated as problems and then deep questions raised that can be used effectively to deal with these problems (values). Doing so leads to dealing with values as one of the themes involved in the research under consideration. This makes values one of the essential elements of postmodernism research. Creswell (2013) argues that respect for indigenous values is one of the main axiological principle of postmodernism philosophies. In fact, indigenous values can also be an important aspect for entrepreneurship research. Gallagher and Lawrence (2012) find that many aspects of economic development, including entrepreneurship, can be performed in an indigenous way which encompasses indigenous values and culture. The above three arguments show that qualitative entrpreneurship researchers, who have postmodern tendencies, need to seriously think of considering indigenous values when they conduct their research. ……………………….. Insert Figure 2 here ……………………….. Conclusion In conclusion, it can be said that conducting a valid research requires a correct understanding of the main assumptions and principles of the philosophy in which a researcher believes. This is because that research philosophy permeates all steps of conducting a research from developing a research question to presenting the findings. Therefore, every step included in the research process ought to fit the philosophy that underpins the research. Accordingly, research philosophy can be considered as the base of a research endeavour. Therefore, social science researchers need to deeply understand the philosophical framework they adopt to underpin their research in order to establish a strong base for their research, and, thus conduct valid research. This paper shows that there is a considerable number of philosophical frameworks that underpin social science research. This leads to different views on reality emerging whereby some scholars believe that there is only single reality whilst others believe in multiple realities. How researchers look at reality impacts on how they obtain knowledge about this reality which in turn impact on what methods can be used to obtain that knowledge. In this respect, the role of values should not be ignored because research biases can affect the results, especially in qualitative research. Therefore, qualitative research must be based on the interaction between the four elements of the philosophical framework: ontology, epistemology, methodology and axiology. For entrepreneurship research, the lack of agreement on the entrepreneurship concept should lead to an acceptance of the notion of multiple realities. Entrepreneurship is applicable to different types of organizations who will operate in different contexts. This then implies the need to find different ways of knowing, and, at the same time, different methods for obtaining that target knowledge. Moreover, the values of both knower and the one who will be knower must be considered. 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(2016). \| \| \| Positivism \| \| Postpositivism \| \| Constructivism \| \| Pragmatism \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Ontology: What is reality? \| Naïve realism: reality is real; facts exist and can be revealed. \| \| Critical realism: reality is real, however, it is imperfectly and probabilistically apprehensible \| \| Relativism: multiple realities are constructed through the lives experiences and interactions \| \| Reality is what is useful, is practical and works. \| \| \| Epistemology: How reality is known? \| Dualist/ Objectivist: findings true; the reality is seen through a “one-way mirror” \| \| Modified dualist/ Objectivist; findings probably true: triangulation is required. \| \| Transactional/ subjectivist; created findings: The knowledge is based on social construction assumptions. \| \| Either or both objective and subjective meanings can produce accepted knowledge. \| \| \| Methodology: What is the model behind the research process \| Main attention is paid for testing of theories. Therefore the research methods used, in principal, are quantitative, such as: questionnaire, verification of hypotheses and experiments. \| \| critical multiplism; falsification of hypotheses; mainly quantitative methods but it may include qualitative methods \| \| Main attention is paid for generating of theory. Therefore the research methods used, in principal, are qualitative, such as: In-depth unstructured interviews, grounded theory research and participant observation \| \| Quantitative and qualitative (mixed or multi-methods design) \| \| \| Axiology: Role of values in research \| Value-free and etic: Research must (and presumably can) be conducted in a way that is value free. the researcher is independent of the data and maintains an objective stance \| \| Value-laden and etic: Research is value laden; the researcher is biased by world views, cultural experiences and upbringing \| \| Value-bond and emic: Research is value bond, the researcher is part of what is being researched, cannot be separated and so will be subjective \| \| Value-bond and etic- emic: Values play a large role in interpreting the results, the researcher adopting both objective and subjective points of view \| \| 1 Inter- subjectivisty indicates "the variety of possible relations between people's perspectives" (Gillespie & Cornish, 2010, p.19). Figure 1: the relationship between ontology and epistemology Ontology (The nature of reality) Epistemology (How reality is known) Dualist/ Objectivist The reality is real and it is viewed through a “one-way mirror” Modified dualist/ Objectivist Transactional/ Subjectivist Reality is real but it is imperfectly apprehensible. Triangulation is required to reveal this reality There are many realities, and they depend on viewpoint of the researchers Subjective-objective reality. This reality can be revealed by reaching co-created findings that need multiple ways of knowing. Inter- subjectivist Naïve realism Critical realism Relativism Participative reality + = + + + = = = Source: The authors Figure 2: The relationship between ontology, epistemology, methodology and axiology. Ontology Epistemology Methodology Axiology Qualitative Research Philosophy Source: the authors
Regular Board Meeting June 4, 2013 Meeting called to order at 7:00 p.m. by President Manthei. Trustees present: Baltz, Koelbl, Lautz, Leicht, Schumacher, and Wehrs. Also present: Police Chief Charles Ashbeck, Recreation Director Michelle Czerwan, Public Works Director Scott Halbrucker, Village Attorney Bryant Klos, Coulee News Special Correspondent Emily Staed, Linda Arentz, Larry Arentz, and Village Administrator Teresa Schnitzler. Minutes Motion by Trustee Leicht, seconded by Trustee Schumacher to approve the minutes of the May 21, 2013, Regular Board meeting as written. Roll call vote: Unanimous aye. Motion approved. Claims Claims from the following funds were presented for payment: General Fund: $27,682.60 Water Utility: $7,947.33 Sewer Utility: $10,710.41 Storm Water Utility: $505.86 Motion by Trustee Leicht, seconded by Trustee Schumacher to approve the payment of all claims as listed. Roll call vote: Unanimous aye. Resolution 5.13 Motion by Trustee Schumacher, seconded by Trustee Lautz to approve Resolution 5.13 Compliance Maintenance Annual Report as presented. Roll call vote: Unanimous aye. Law Enforcement Committee Trustee Wehrs reported on the May 22, 2013, Law Enforcement Committee meeting. The Committee met in closed session for considering employment, promotion, compensation, or performance evaluation data of any public employee over which the government body has jurisdiction or exercises responsibility regarding a citizen complaint investigation report. The Committee recommended accepting Investigator McAlpine's report and releasing the report to Police Chief Charles Ashbeck, Police Officer Robert Schuppel, and Dr. Paula Harvatine. Motion by Trustee Wehrs, seconded by Trustee Leicht to approve the minutes of the May 22, 2013, Law Enforcement Committee meeting as presented. Roll call vote: Baltz – abstain; remainder of Board – aye. Motion approved. Motion by Trustee Wehrs, seconded by Trustee Leicht to accept and release the investigation report. Roll call vote: Baltz – abstain; remainder of Board – aye. Motion approved. Planning Commission President Manthei reported on the May 28, 2013, Planning Commission Public Hearings and Meeting. The first public hearing concerned a Petition for Change of Zone filed by Judith E. Manske for tax parcel number 16-721-0 and located at 501 East Jefferson Street. The Petitioner is requesting the zoning be amended from Agriculture to Business to allow for construction of storage units. The nearly 3-acre parcel is presently used as cropland. There were no citizens present to speak for or against the Petition. The second public hearing concerned a Conditional Use Permit Application filed by Judith E. Manske for construction of storage units on the north side of tax parcel number 16-721-0 at 501 East Jefferson Street. This land is currently being considered by rezone from Agriculture to a Business Zone. There were no citizens present to speak for or against the Conditional Use Permit Application. The Commission discussed the Petition for Change of Zone filed by Judith E. Manske. The rest of the property located at 501 East Jefferson Street and listed as tax parcel numbers 16-722-0 and 16722-1 is zoned Business. The Petition for Change of Zone is for Tax Parcel No. 16721-0, which parcel is split by East Jefferson Street (County Trunk Highway B). The Commission discussed the need for an easement through this parcel for future sanitary sewer and water extensions to East Jefferson Street. Attorney Klos presented a proposed Utility Easement Agreement granting the Village a 35-foot wide easement to run between the proposed storage buildings. The Commission recommended approval of the Petition for Change of Zone for Tax Parcel No. 16-721-0 from Agriculture to Business. The Commission reviewed the Conditional Use Permit Application submitted by Judith E. Manske for construction of storage units at 501 East Jefferson Street on the north portion of Tax Parcel No. 16-721-0. Attorney Klos presented a proposed Conditional Use Permit setting forth three conditions as follows: 1. The exact location, number, and sizes of the buildings and units within the legal found as Exhibit "B" would be as depicted on Exhibit "C". 2. The owner of the land would execute and grant the Village a sanitary sewer and water main easement over the property in the form as attached as Exhibit "D" and which is consented to by any lien holders and which easement is recorded with the Real Estate Declaration of Covenants, Conditions and Deed Restrictions required hereby. 3. The land is zoned "Business". The Commission recommended Conditional Use Permit No. 14 and recommended an additional Condition be added to the Conditional Use Permit that the construction of the storage units be completed within 24 months. Motion by President Manthei, seconded by Trustee Baltz to approve the minutes of the Planning Commission meeting of May 28, 2013, as presented. Roll call vote: Unanimous aye. Motion by Trustee Baltz, seconded by Trustee Lautz to approve the Petition for Change of Zone for Tax Parcel No. 16-721-0 from Agriculture to Business. Roll call vote: Unanimous aye. The Board discussed the Conditional Use Permit recommended by the Planning Commission. Questions regarding storm water runoff and management, landscaping and building appearance, proposed driveway entrance, and signage were discussed. Motion by President Manthei, seconded by Trustee Baltz to approve Conditional Use Permit No. 14 as presented. Roll call vote: Baltz, Manthei and Wehrs – aye; remainder of Board – nay. Motion failed. The Village Board requested the applicant present more information based on the comments made by the Board. Street Committee Trustee Koelbl reported on the May 31, 2013, Street Committee meeting. The purpose of the meeting was to review and discuss for possible recommendation to the Village Board speed and traffic concerns on Lewis Street and split sequencing considerations on the upcoming Youlon Street project. Item No. 4 of the Village Engineer Dave Sauer's Bid Analysis for the Youlon and Griswold Streets Reconstruction Project included provisions that Youlon Street have only binder asphalt placed this year with final asphalt placed in May of 2014. The Committee discussed the fact the project could cost $3,800 less if the asphalt paving was completed in 2013. The Committee recommended following the recommendation of the Village Engineer based on further analysis of compaction on future projects. The Committee discussed speed and traffic concerns residents brought to the Police Chief and Committee. The residents are still concerned about speed and the street is still too dangerous. The Committee felt the issues remain parental issues in keeping children out of the street. Village Attorney Bryant Klos advised the Committee by letter that the Village clearly has the authority to place a stop sign or stop signs at any intersection of a road that is not a through highway. The Village also has the ability to post areas around intersections as no parking areas. In addition, by State Statutes, no parking is allowed within ten feet of a fire hydrant, four feet of a driveway, or fifteen feet of a crosswalk or any other area posted as no parking. The Village also has the authority to fix a lower speed limit on a portion of this street. While both reduced speed limits and stop signs will require some enforcement effort to try to slow traffic down in this area, a speeding conviction really could, in all likelihood, only be obtained by a police officer's observation and use of radar. Stop sign violations, on the other hand, could be issued and convictions obtained based on eye witness reports of citizens living in the area. Without a police officer present, a citizen could observe a vehicle not stopping at the stop sign and if that citizen can identify the driver by sight could then file a report with the police department. A citation could then be issued. Attorney Klos also addressed the issue of children playing in the streets. There are a number of existing statutes and a Village ordinance that would provide some enforcement ability to reduce the amount of pedestrian use of the roadway. A violation of state statutes and/or the Village ordinance regarding excessive use of the street as a playground could result in the issuance of a citation by the Village. The Committee reviewed a proposal submitted by Larry Arentz for stop signs and a painted yellow curb at Lewis Street and Saddlewood Court. The Committee recessed and reconvened on Lewis Street. Painting crosswalks at Saddlewood Court and Lewis Street was discussed. This course of action would require ADA compliant sidewalk ramps. The Committee and residents present discussed painting the curbline along Lewis Street and Saddlewood for no parking. Mr. Halbrucker stated yellow no parking paint on the curbline is unenforceable without signage and an ordinance change. Erecting "children at play" signs, stop signs, and continued educating of children not to play in the street was discussed. Residents discussed excessive vehicular speed and squealing of tires with the Committee. Several residents still believe a stop sign is the best option as the sign will prompt drivers to reduce their vehicle's speed. The Committee recommended directing the Public Works Director to paint yellow indicating "no parking" curb areas on Lewis Street and Saddlewood Court and Greenwood Court and install two "children at play" signs. A motion was made to install two stop signs at Lewis and Saddlewood, but the motion was not seconded. Motion by Trustee Koelbl, seconded by Trustee Leicht to approve the minutes of the May 31, 2013, Street Committee meeting. Roll call vote: Baltz – present; remainder of Board – aye. Motion approved. The Board discussed the need for better understanding of compaction testing for future street projects and possibly revising street standards. Motion by Trustee Schumacher, seconded by Trustee Baltz to approve the Street Committee's recommendation on the Youlon Street reconstruction project. Roll call vote: Unanimous aye. Trustee Koelbl stated he had received emails from residents in the Lewis Street area that the action recommended by the Street Committee at its meeting is now not acceptable to the residents. The emails indicated the residents had discussed the matter over the weekend and now state they would like stop signs erected on Lewis Street. Attorney Klos stated if the Village paints the curbs yellow for no parking beyond the footages stated in State Statutes, signage must also be installed. Trustee Lautz requested information on how the majority of the residents in that area feel about traffic controls in the neighborhood, and he suggested a survey be conducted. The Board discussed additional issues that could present if stop signs are installed, setting precedent for possible future requests, and maintenance of traffic controls and liability issues if maintenance is not performed. Motion by Trustee Baltz, seconded by Trustee Wehrs to refer this matter back to the Street Committee for further consideration. Roll call vote: Koelbl, Leicht and Manthei – nay; remainder of Board – aye. Motion approved. Motion by Trustee Koelbl, seconded by Trustee Leicht to adjourn the meeting at 8:09 p.m. Approved by voice vote. Teresa L. Schnitzler, Village Administrator
Version 3: Effective 1 April 2013 (An operating division of Transnet SOC Limited) CONTENTS CONTENTS Preamble to the Terminal Operating Guidelines ("TOGs") 1. Interpretation and Definitions 2. Pre-berthing Obligations of the Customer 2.1. Nomination criteria (Phase I process) 2.2. Berth allocations and activities 2.3. Hatch and vessel preparedness 2.4. Planning for cargo working (Phase II) 2.5. Resources allocation 2.6. Documents 2.7. Order amendments 2.8. Phase II amendments 2.9. Cargo availability 3. Vessel performance and monitoring 4. Early/ late arrivals 5. Delays to vessels on berth 5.1. Delays caused by the vessel, its cargo and /or its representative 5.2. Delays caused by weather 5.3. Suspension of work due to wind 5.4. Dust sensitive cargo 5.5. Delays cause by Force majeure 5.6. Delays occasioned by cargo 5.7. Hatch separations for exports (cocooning) 5.8. Recording of delays 5.9. Redeployment of resources 6. Terminal rights 7. Arrest of vessels, cargo or bunkers 8. Shifting of vessels and cargo between berths 9. Unproductive vessels 10. Cargo, Security and Harbour mobile crane criteria 10.1. Dispatch of cargo 10.2. Retention of cargo 10.3. Miscellaneous services 10.4. Security 10.5. Cargo pre-assembled prior to shipping 10.6. Cargo dwell time 10.7. Stacking/ stockpile 10.8. Material safety data sheet/ IMBSC Code 10.9. Transhipments 10.10.Road motor transport 10.11.Abnormal cargo 10.12.Mate's receipts 10.13.Flat-rack 10.14.Third party equipment 10.15.Harbour Mobile crane 11. TOGs for Saldanha Terminals incorporating; 11.1. Saldanha Bulk Terminal 11.2. Saldanha Multi-purpose Terminal 12. TOGs for Cape Town Terminals (incorporating; 12.1. Cape Town Multi-purpose Terminal 13. TOGs for Port Elizabeth Terminals incorporating; 13.1. Port Elizabeth Ro-Ro, Break-bulk & Agricultural Terminal 13.2. Port Elizabeth Bulk Terminal 14. TOGs for East London Terminals incorporating; 14.1. East London Ro-Ro, Break-bulk & Agricultural Terminal 15. Maydon Wharf Berth Planning Rules (Refer footnote TNPA guidelines) 16. TOGs for Durban Terminals incorporating; 16.1. Durban Maydon Wharf Agri Ro-Ro Terminal 16.2. Durban Agricultural Terminal Maydon Wharf 16.3. Durban Ro-Ro 17. TOGs for Richards Bay Terminals incorporating 17.1. Richards Bay Ro-Ro, Break-bulk & Agricultural Terminal 17.2. Richards Bay Mineral Bulk Terminal 18. Dispute Resolution Preamble These Terminal Operating Guidelines ("TOGs") are prepared and issued by Transnet Port Terminals ("TPT"), an operating division of Transnet SOC Ltd. The objective of these TOGs is to provide information regarding the berthing of vessels and the working of cargo at the following terminals operated and managed by TPT in the Republic of South Africa: - Ro-Ro Automotive Terminals; - Bulk Terminals; - Ro-Ro, Break-bulk and Agricultural Terminals. The allocation procedure for berths takes account of, but is not limited to, considerations such as berth availability, weather, cargo availability, availability of resources, logistics, stacking space, the expected efficiency of vessel working and the optimal use of terminal resources. The berths available in the terminals operated by TPT are designated for use by TPT only; however, the berths at the Maydon Wharf Terminal in Durban are not designated for the sole use of TPT and are also used by other terminal operators. This is version Six of the TOGs which supersedes version Five and is effective from 1 April 2016 The TOGs, where applicable, must be read in conjunction with TPT's Standard Trading Terms and Conditions for the Ro-Ro, Break-bulk and Agricultural and Ro-Ro Automotive Terminals; Standard Terms and Conditions for all Visitors to these terminals; and TPT's official tariff book/brochure, all of which are available under TPT documents on TPT's Website: www.transnetportterminals.net. - TPT may at any time, and in its sole discretion deviate from the TOGs, should it consider it necessary or appropriate to do so in the interests of safe and efficient cargo working, optimal use of terminal resources and/or in the light of its contractual commitments which will take precedence over the terms of these TOGs. In so doing, TPT will: o comply with all applicable international codes and conventions, national legislation, regulations and/or any applicable statutory and/or regulatory directives, International Maritime Dangerous Goods Code (IMDG), laws and bylaws including but not limited to the provisions of the International Ship and Port Facility Security Code (ISPS Code), other codes, conventions, laws and regulations concerning the protection of the environment, transportation, labour and social responsibility such as they may be applicable to these TOGs; o ensure that it holds, and that it observes the terms and conditions of all relevant permits, licenses and approvals of public authorities in relation to the activities carried out by it in terms of these TOGs; o act in accordance with its Policies and Procedures and its ISO 14001 Environmental Management System (EMS System) and ISO 9001 Quality Management System (QMS); o comply with the National Ports Act No. 12 of 2005 ("the Act"), Port Rules and Harbour Master's Written Instructions issued in terms of Section 80 (2) and 74 (3) respectively of the Act. The provisions of clauses 11 through to 17 hereof, will enjoy precedence. These provisions, clauses 11 to 17 (inclusive), where applicable, take into account the various terminal configurations, facilities, infrastructure, equipment, handling methods, specific types of cargo as well as productivity norms which apply to the various terminals operated by TPT and if there is any conflict between these provisions and the other provisions of these TOGs, the provisions in clauses 11 through to 17 shall take precedence. Notwithstanding the provisions of these TOGs, the rights and obligations of whatever nature of the Transnet National Ports Authority as set out in, and originating from the National Ports Act No. 12 of 2005 will in all circumstances take precedence. In issuing these TOGs, cognisance must be taken of the expansion investment planning by Transnet in its Market Demand Strategy (MDS). The MDS may give rise to occasions necessitating interventions to deviate from these TOGs in its execution. Such deviations will be managed between Customers and Stakeholders through a structured engagement process. Furthermore the TNPA is currently revising its berthing policies, which policies may have bearing on these TOG's. 1. INTERPRETATION AND DEFINITIONS 1.1. Unless the context otherwise requires, the following words shall have the meanings ascribed to them hereunder- 1.1.1. "Agricultural Terminal" means the terminal at Maydon Wharf in the Port of Durban which handles agricultural products using bulk conveyor systems, and general cargo. 1.1.2. "Arrival" means that a vessel has arrived at port limits/ outer anchorage in accordance with the TNPA's VTS recorded date and time. 1.1.3. "Bar Chart" means the fourteen (14) day advance vessel berthing and working programme compiled from the nomination data as required of, and nominated by vessels and does not necessarily constitute a firm berthing window. 1.1.4. "Berthing window" means a time period allocated to a vessel to berth, to carry out cargo working and to undock and sail from the berth. The window will also consider any berth and route preparation time as required. 1.1.5. "Bona Fide Vessel" means a vessel with a valid International Maritime Organisation (IMO) number wishing to berth at a TPT terminal, which subscribes to the nomination criteria as required herein and for which cargo has been scheduled to be loaded or discharged at a TPT terminal. 1.1.6. "Break-bulk" means general cargo shipped loose such as cartons, steel, pallets of goods, bulk bagged cargo, bagged cargo and the like, stowed loose in a vessel's hold, as opposed to the cargo which is containerised. 1.1.7. "Bulk Terminal Saldanha (BTS)" means the bulk terminal at the Port of Saldanha Bay which is a Harbour Bound Industry developed for exporting iron ore. 1.1.8. "Cargo working" (or "working cargo") means the process of either loading onto or discharging cargo from a vessel. 1.1.9. "Cargo" means goods carried by a vessel (or by other modes of transport in the context of rail road or air transport). 1.1.10. "Carrier" means the party employed to carry cargo. 1.1.11. "CLM" means the TPT Chief Logistics Manager in each terminal responsible for the terminal's logistics planning. 1.1.12. "Container" means any container, reefer container, controlled atmosphere container, integral reefer container, transportable tank or flat rack container which conforms to the International Standards Organisation standard container type designations. 1.1.13. "CPO" means the Central Planning Office at each Terminal which is responsible for all planning activities including allocating, shifting and removing of vessels from berths, the overall planning of allocation of berths and terminal resources. 1.1.14. "Customer's vessels" means those vessels operated by or on behalf of the Customer, which call at any of TPT's Terminals. 1.1.15. "Customer" means the party to whom a service is provided at the relevant TPT Terminal and, where it is used in relation to cargo, includes the Owner, Shipper or Importer/Exporter of such cargo, or their representatives. 1.1.16. "Day" means any day of any month as designated on a calendar, commencing at 00h00 midnight and ending 23h59. 1.1.17. "Draft Survey" means the methods employed by an independent marine surveyor to calculate and confirm, as accurately as possible, the tonnage of bulk cargo on-board a vessel. 1.1.18. "Dust and cross contamination Cargo" means goods which by their nature are either sensitive to contamination from another source or cargo, or which are liable to contaminate another source or cargo and for which special contingencies and planning may need to be implemented by a terminal. 1.1.19. "Dual loading" means utilising two ship loaders simultaneously to load a vessel. 1.1.20. "ETA" means the estimated time (and date) of arrival of a vessel at the pilot station in a port. 1.1.21. "ETA arrival Window" means a period commencing eight (8) hours before an ETA and ending a maximum of eight (8) hours after the ETA. 1.1.22. "ETD" means the estimated time (and date) of departure. 1.1.23. First scheduled, first served" means the vessel scheduling methodology used whereby a bona fide vessel calling to work specific cargo; 184.108.40.206. which is duly nominated in accordance with paragraph 1.1.48 220.127.116.11. which is then scheduled and allocated a preliminary available and suitable berthing window based on its ETA 18.104.22.168. which then adheres to its firm ETA as provided by it to TPT five (5) days prior to such ETA and 22.214.171.124. which arrives not earlier than eight (8) hours before and not later than eight (8) hours after its ETA, 126.96.36.199. is accorded seniority for berthing and cargo working purposes based on its firm notice, over a vessel or vessels which have not complied with clauses 188.8.131.52, 184.108.40.206 and 220.127.116.11 above. 1.1.24. "Firm", used in respect of a vessel, means that a vessel has been allocated a suitable and firm berthing window based on the final written and accurate five day ETA update received, of within eight hours and which will be senior with reference to the allocation of a specific berthing window and in relation to any non-firmed vessels. 1.1.25. "Force majeure" for the purposes of these TOGs, means, in respect of either party, any event or circumstance, or combination of events or circumstances occurring during the operation of these TOGs, the occurrence of which is beyond the reasonable control (directly or indirectly) of a party, and could not have been avoided by steps which might reasonably be expected to have been taken by such party, acting as a reasonable and prudent commercial entity. Without limiting the generality of this clause, such events or circumstances may include any one or more of the following: 1.1.26. "Hatch covers" mean covers, normally of steel construction, used to cover and protect the hold of a vessel from weather and which are either mechanically operated or need to be removed with a crane. 1.1.27. "HBI" means harbour bound industry which is an industry having a location close to a specific port for reasons of access to strategic mineral stockpiles, trade zones or a specific sea route and/or port/terminal, the transportation needs of which are predominantly serviced by the proximate port/terminal. 1.1.28. "Hold cleanliness certificate" means a certificate issued by an independent marine surveyor certifying that a nominated bulk vessel on berth is free of contaminants. 1.1.29. "IACS" means the International Association of Classification Societies. 1.1.30. "IMSBC" means International Maritime Solid Bulk Cargoes. 1.1.31. "ISM" means the International Safety Management Code. 1.1.32. "ISPS" means International Ship and Port Facilities Security Code. 1.1.33. "Lay can" means the earliest date at which cargo working (lay time) is contracted to commence and the latest date upon which the vessel can arrive at its appointed loading place without its call being at risk of being cancelled. 1.1.34. "Lay days" means the number of days allowed for cargo working in a charter party relating to a specific vessel or cargo. 1.1.35. "Leasehold operator" means a terminal operator at the Maydon Wharf Terminal, other than TPT. 1.1.36. "Leasehold cargo" means cargo which is intended to be worked by a leasehold operator at Maydon Wharf Terminal. 1.1.37. "Liner" in relation to vessels, services, or cargo, means vessels operated, services rendered and /or cargo carried by a shipping line in accordance with a fixed published schedule. 1.1.38. "LOA" (Length Overall) means the length of a vessel measured along the length between two (2) opposite points on the hull furthest apart from one another, perpendicular to the waterline. 1.1.39. "Maintenance" means the period for which a berth or equipment is removed from service for maintenance or construction reasons and can include emergency maintenance. 1.1.40. "Mandatory public holidays" means 1 January, 1 May and 25 December of each year. 1.1.41. "Manganese Terminal" means the terminal at the Port of Port Elizabeth which is a terminal designed and dedicated to handle manganese ore exports. 1.1.42. "Master" means the vessel Captain in command of the performing vessel. 1.1.43. "MWT" means the Maydon Wharf Terminal in the Port of Durban. 1.1.44. "MRCC" means the Maritime Rescue Co-ordination Centre which requires shipping lines to meet certain legislative requirements and provide information. 1.1.45. "Mates receipt" means a categorised list of all cargo loaded as per bills of lading for which the vessel signs as having been received from TPT. 1.1.46. "Maydon Wharf Agri Ro-Ro Terminal" means the terminal at Maydon Wharf incorporated within the Durban Terminals in the Port of Durban which is a general purpose terminal which handles paper, steel, cement, fertiliser, and Combi vessels carrying ISO containers and general goods and vehicles. 1.1.47. "MSCC" means the Maritime Safety Coordinating Committee which is the regulatory body responsible for granting the ISPS clearance. 1.1.48. "Nominated vessel" means a vessel which has been accepted by the TNPA's ship planning officer and TPT for scheduling purposes after receipt of the ID 100 nomination document relating to such vessel, either by telex, fax or e-mailed ETA advice. 1.1.49. "Non-liner" in relation to vessels, services, or cargo means vessels operated, services rendered or cargo carried otherwise than by a shipping line in accordance with a fixed published schedule. 1.1.50. "Notice of readiness" (NOR) is the unequivocal advice tendered by the Master/ Owner/Charterer, as the case might be, of a vessel indicating that the vessel is in all aspects clean and ready to commence cargo working. 1.1.51. "Official Working Hours" means the customary hours of work as agreed between TPT and its employees or contractors as from time to time. The current working hours for each terminal are reflected in Clauses 11 through to 17 of these Guidelines, and are subject to change from time to time at the sole discretion of TPT. 1.1.52. "Opportunity vessel" means any vessel not nominated fourteen (14) days before ETA and includes vessels which call at a port on a speculative/opportunity basis from time to time. Such vessels will be accommodated on the first suitable available berth, provided they meet all berthing and cargo requirements and after considering the consequences of their berthing for other planned cargo movements having due regard to the best interests of terminal productivity and efficiency, and without impeding any scheduled or planned vessels. Such opportunity vessel may be required to shift at its own costs if requested by TPT to do so in order to maintain the seniority and working order of other scheduled or planned vessels. The nomination period of fourteen (14) days will be used as the worst case default time period for seniority should no suitable berth be available within this time period. Seniority over other opportunity vessels will be based on the ID 100 nomination received. The conditions as per clause 2 will prevail. 1.1.53. "Overtime working hours" means the time that is worked outside of the official working hours for which an overtime charge may be levied. 1.1.54. "Phase I" means the vessel nomination process as defined in clauses 1.1.91 and 2.1. 1.1.55. "Phase II" means a meeting between TPT, the Customer or its representative, the Vessel or its representative and/or vessel Stevedore, for the purpose of planning the vessel's intended cargo working and port stay window/s. 1.1.56. "Phase III" means a meeting between TPT, the Customer or their representative, the Vessel or its representative and/or vessel Stevedore, held daily to monitor the progress of cargo working on all vessels in order to review performance, report on the maintenance of norms, and inform corrective action for improvement and general communication on progress and daily forward planning. 1.1.57. "Phase IV" means a structured meeting between TPT, the Customer or its representative, the Vessel or its representative and/or vessel Stevedore which must be held within seventy two (72) hours after completion of cargo working unless the relevant parties have mutually agreed in writing to forego such meetings, and instead to hold a monthly meeting covering a number of port calls. The primary purpose is to discuss the performance and overall measurement and continuous improvement of vessel working and to direct structured strategic feedback for Terminal Management intervention. 1.1.58. "Planned delay" means a controllable event which takes place to effect cargo working and such delay and the time required is discussed and planned at the phase II. (For example the moving of ship loaders between hatches or the planning of hatch separations, etc.). 1.1.59. "Planned work stoppage" means the time officially allowed by TPT for general meetings with its employees which are held during working hours. 1.1.60. "Planning Manager" means the official in charge of all planning activities in the CPO in each terminal, including allocating, coordinate shifting and removing of vessels from berths. 1.1.61. "Planning meeting" means any planned meeting relating to any planning phase, or an ad hoc meeting specially convened for the purpose of vessel and cargo planning, enhancing communication, expediting cargo working and/or resolving issues related to berthing or cargo working. 1.1.62. "Planned Vessel" means a nominated vessel in respect of which a Phase II meeting as contemplated in clause 1.1.55 has been held, at which all relevant aspects concerning the berthing, cargo working and port stay window/s of such vessel have been finalised by signature by all parties concerned of the relevant Phase II planning minutes. 1.1.63. "Planned Shift" means an eight (8) hour shift during weekdays or a twelve (12) hour shift over weekends or on public holidays, which has been planned specifically in respect of the cargo working of a particular vessel at a particular berth at a particular time. 1.1.64. "Public Holiday" means any day designated as such by the South African legislature. 1.1.65. "Ready to Load/Discharge" means that a vessel has reached such a state of preparedness in all respects that it is ready to immediately commence cargo working. 1.1.66. "Re-planned vessel" means a vessel which for any reason whatsoever no longer complies with the provisions of the original Phase II planning minute. Such vessel is subject to a re-planning process which in some instances, at the discretion of TPT, may occur simply by way of written communication. Re-planning may arise from, but is not limited to, the following factors: original planned volumes increase, equipment availability changes, vessel substitution, vacating a berth due to productivity issues, equipment failure and returning later to resume cargo working either at the same berth or an alternative berth within the same or at an adjacent terminal. Where circumstances permit, a vessel can retain its seniority on the berth or may have to be re-scheduled by the terminal to an alternative berth or slot. A new nomination will not be required. 1.1.67. "Representative" means the duly authorised representative of any party, including but not limited to representatives of the Customer, Vessel and /or Vessel Owner engaged in the shipment of cargo. 1.1.68. "Re-scheduled" means a vessel which changes its ETA by more than eight (8) hours later in aggregate after confirmation of the firm ETA which will, at the discretion of TPT, be allocated an alternative berthing window, either at the same berth or at the next suitable available berth, provided that no scheduled or planned vessel is prejudiced thereby. The maximum default period will be five (5) days from the time of the original firm ETA date to 00.01 on the rescheduled day and in this instance the vessel will fall in behind any other already firmed vessels on the re-scheduled date. No new nomination will be required. Where rescheduling takes place in relation to failed hatches, then the default period of five (5) days will commence from the time when the notice of readiness is tendered. 1.1.69. "Resources" means, personnel and equipment provided by TPT which are required for cargo working. 1.1.70. "Richards Bay Bulk Terminal" means the Mineral Bulk Terminal (MBT) designed to handle bulk products using bulk conveyor systems to ship and land cargo from and to ships, incorporating a general purpose terminal predominantly shipping break-bulk cargo such as loose and palletised steel, granite blocks, paper reels, and the like, as well as homogenous bulk parcels by means of skips as well as ISO containers, and situated within the Port of Richards Bay. 1.1.71. "Ring fenced cargo" means cargo of a specific type in respect of which specific storage areas have been identified, usually adjacent to or in close proximity to a berth/s normally used for the loading of such types of cargo and with the object of efficient use of terminal space and resources. 1.1.72. "Ro-Ro, Break-bulk and Agricultural Terminal" means areas set aside for the handling of break-bulk cargo, bulk cargo, containers and vehicles, by means of TPT equipment (as per local arrangement) at the following terminals: Richards Bay; Durban and Maydon Wharf; East London; Port Elizabeth; Cape Town & Saldanha. 1.1.73. "Ro-Ro" means a roll-on roll off vessel of which certain cargo decks are accessible only by means of a ramp which is lowered onto the quayside and over which cargo is driven onto or off the vessel by means of the ramp. 1.1.74. "Safe Working Load" (SWL) means the accepted international standard used to certify the safe working load of any equipment and which terminology can be used to include any other accepted international safety standard in use when applicable. 1.1.75. "Senior vessel" means, in comparison to another vessel, a vessel nominated as required herein and sequenced in the terminal queue schedule, ahead of another in terms of the "First Scheduled, First Served" concept, attaining seniority as allocated by a terminal, after receipt of its five day firm nomination, and is not necessarily the vessel with the earliest arrival time at the port as captured on the TNPA arrival queue priority list. 1.1.76. "Slot Allocation" means the scheduling of particular berths by allocating a berthing window (slot) in accordance with the Customers planned export order sequence. 1.1.77. "Staggered Loading" means utilising one (1) ship loader per vessel while loading two (2) vessels simultaneously in the port of Saldanha. 1.1.78. "Shore crane" means a crane either in a fixed position, or rail mounted for traversing ashore as well as any mobile crane deemed to be standard terminal equipment for the purpose of lifting and transferring cargo from quayside to vessel and vice versa. 1.1.79. "Stand-by charges" means charges raised in respect of the costs of holding resources available where a vessel has been unproductive for a period of time and terminal staff are standing by, waiting recommencement of cargo working or in instances where a vessel elects to keep resources on stand-by for any reason whatsoever. 1.1.80. "Stevedore" means the party/ parties contracted by a vessel or cargo owner to work cargo on board a vessel and to operate vessel cranes. 1.1.81. "Terminal Discretion" means the exercise of a discretion by TPT to ensure the safe, efficient and productive operation of the Terminal in the first instance, with due regard for the interests of all stakeholders, as opposed to the interests of any individual stakeholder or vessel call, to the exclusion of the others. TPT General Manager Commercial and Planning and/or authorised senior management in consultation with the Terminal will have the final say in the exercise of such discretion and this will be confirmed in writing to the Customer. Senior management will endeavour to communicate the final decision outcome within 24 hours. 1.1.82. "Terminal Manager" (TM) is the official employed by TPT who is responsible and accountable for the overall management and operation of a terminal. 1.1.83. "Throughput contract" means capacity allocation at a specific terminal facility on the basis of shipping entitlement which is underpinned by a guaranteed volume performance contract by the customer. 1.1.84. "TNPA" means Transnet National Port Authority, a division of Transnet SOC Ltd. 1.1.85. "TNPA Berth Planner" means the Transnet National Ports Authority official responsible for the co-ordination of the physical berthing of vessels in accordance with the defined berth plan. 1.1.86. "Ton" means a metric ton. 1.1.87. "Transhipping" means the process of planning, landing and reshipping cargo either onto the same vessel or a different vessel in the same terminal and such cargo is manifested for such a transaction. 1.1.88. "Unplanned vessel" means a scheduled or opportunity vessel in respect of which no Phase II has been held but excludes vessels which may need to be re-planned. 1.1.89. "Unproductive vessel" means a vessel which has had cargo working interrupted or delayed for a period in excess of four (4) hours for any reason whatsoever and which will then be calculated to exceed its Phase II plan by more than eight (8) hours. 1.1.90. "Vessel crane" means a crane mounted on a vessel as part of the vessel's equipment, and employed in lieu of shore cranes. 1.1.91. "Vessel Nomination" means the official advice tendered by means of the ID100 nomination document, which must be telefaxed or emailed to the TNPA Planning Officer with a copy to TPT's CPO, by the Customer or his representative, whereby a specific vessel is nominated to call at a terminal at a specified time and date to work cargo and such vessel is thereupon required to maintain an acceptable schedule integrity (Referred to as Phase 1 Planning). 1.1.92. "Weather sensitive cargo" means cargo which by its nature cannot be worked due to it being adversely affected during the working process by particular weather conditions such as, but not limited to, rain or wind, and for which special contingencies and planning may need to be implemented by TPT. 1.1.93. "Working Vessel" means a vessel which has been planned, berthed and in respect of which cargo working is in progress. 2. PRE-BERTHING OBLIGATIONS OF THE CUSTOMER 2.1 Nomination criteria (Phase 1 process)The nomination of bona fide vessels for which specific cargo has been fixed is a pre-requisite for effective port planning and any nominations established to be speculative will be void and of no force and effect. 2.1.2. TPT has adopted the TNPA vessel nomination document, the "ID100", for the official nomination criteria. This does not preclude TPT from requesting additional information in the interests of better berth and cargo planning. Any such additional information will be tabled by the specific terminals and is not intended to infringe on the rights of any party and is considered confidential. 2.1.3. A vessel's nomination may be accepted subject to confirmation at the discretion of TPT from the time of dispatch of such notice, provided that such a nomination must be confirmed by the representative as required herein, failing which such nomination will lapse and be of no force and effect. If the nomination is accepted, TPT will advise the party tendering such nomination of such acceptance by close of business on the day following that of the nomination, or if the nomination is made on a Friday, on the Monday, following from that Friday or the next working day following any public holiday. 2.1.4. All vessels intending to call at a terminal for cargo working must adhere in all respects to the nomination process. This process requires the submission by the vessel or its representative, of a fully detailed and completed ID 100 form to both the TNPA Planning Officer and the CPO of the relevant terminal. The Vessel or their representative, as the case may be, is responsible for ensuring that the nomination process is correctly followed. This process is referred to as Phase I and does not necessarily entitle the nominated vessel to the nominated berth as the allocation may change leading up to vessel arrival to best suit any given situation to enhance vessel turnaround time. 2.1.5. The vessel or its representative is responsible for ensuring that the vessel vacates any berth on completion of cargo working and/or when requested to do so by TPT for any legitimate reason whatsoever. 2.1.6. Should a vessel change ownership and appoint a different representative this must be declared prior to the Phase II to enable TPT to identify the party responsible for the planning on behalf of the vessel. The planned status of the vessel will not be affected provided that this clause and all other conditions relating to planning continue to be met. 2.1.7. Vessels may only be nominated for one (1) specific terminal at a time within a specific port. The speculative nomination of more than one (1) vessel, berth or terminal at a particular terminal or port, as the case might be, when the requirement is in fact for a single vessel, berth or terminal, is strictly forbidden and such speculative nomination will be considered null and void and the vessel will be obliged to commence the nomination process afresh. 2.1.8. The documents necessary for the nomination of a vessel must be submitted no less than fourteen (14) days before ETA. The minimum nomination period is, therefore, fourteen (14) days. Nominations received earlier than fourteen days in accommodating administration due to weekends, public holidays or container or automotive stack planning, will not serve as an indicator of vessel seniority by virtue of its ID 100 submission date and will not be shown on the Bar Chart. In these instances, and provided the ETA does not change by virtue of an ETA update received, then the nomination will automatically be defaulted at fourteen (14) days and shown on the Bar Chart. No verbal nominations will be accepted or scheduled on the Bar Chart. 2.1.9. Any nomination will only be valid for a period of twenty four (24 calendar days aggregate of 14 days for nomination and 10 days grace period), days from the original ETA date and time tendered, where after the nomination will lapse and be of no force or effect and subject to the following, a fresh nomination will be required. 2.1.10. Where a firmed vessel arrives late and falls outside of the ten days grace period as mentioned in clause 2.1.9 above then the vessel will be treated in accordance with clause 4.2 as a late arrival and will be rescheduled accordingly and the nomination will remain in force subject to the vessel representative providing CPO with a written application for consideration. The relief sought will be upheld for a period for an additional 3 days (72 hours) and should no written representation be forwarded to CPO the vessel nomination will be deemed not bona fide. 2.1.11. Where a firmed vessel has arrived at a port and has failed hatches, then the vessel will be rescheduled upon receipt of the fresh Notice of Readiness and the nomination will remain in force. 2.1.12. Where a firmed vessel which has arrived at port limits and is waiting to be berthed due to a marine service delay or waiting on a berth to become available, then such nomination will remain in force. 2.1.13. Where a firmed vessel is arriving late from any neighbouring African port or South African coastal port call, then such vessel must provide a daily update status of such late arrival to the CPO for the vessel to be rescheduled accordingly and such nomination will remain in force subject to the vessel representative providing CPO with a written application for consideration. Should no written representation be forwarded to CPO the vessel nomination will be deemed not bona fide. 2.1.14. Windows will be preliminary allocated on the Bar Chart upon receipt of the ID 100, but will only be firmed and prioritised for seniority by TPT, using the updated ETA confirmation received from the vessel or representative, within five (5) days of ETA, with an accurate ETA of within eight (8) hours. Should the final ETA change by more than eight (8) hours later than the original firm ETA, the vessel will be re-scheduled at the discretion of TPT to the next available berthing window, provided that no scheduled or planned vessel is prejudiced thereby and a default period of five (5) days from time of the firmed ETA at 00.01 will apply should no berth be available. The vessel will fall in behind any vessel already scheduled before 12.00 hours midday on the rescheduled date in the event of the default date being applied. A new nomination will not be required if rescheduling is to take place. 2.1.15. Once nominated, a vessel or representative must submit to the relevant CPO a written update of her ETA on the, 10 th, 7 th , 5 th , 3 rd , 2 nd , and last day prior to her ETA. The day on which the ETA falls is excluded from the computing of the number of days. At day five (5) from ETA, the vessel must be firm and once firm, the planned suitable berth will be confirmed by TPT. It will not be necessary for a vessel which arrives early to submit a daily update provided that the arrival update indicates final notice of vessel arrival. Such vessel will, however, still be treated on the basis of an early arrival and planned in accordance with clause 4. 2.1.16. The firm nomination notice update of five (5) days as specified in clauses 2.1.10 and 2.1.11 above must be clearly endorsed as such, and unless specified elsewhere in these TOGs, will be the source information used by TPT in establishing vessel seniority. Any subsequent "firming" notices received for a vessel will simply serve as an ETA update and such vessel will be treated as either an early or late arrival. 2.1.17. Vessels arriving within a same eight (8) hour shift/period will at the discretion of TPT be treated on the basis of first come, first served, and the physical arrival at Port limits/outer anchorage will be factors taken into consideration in determining an outcome. The allocation of the berth will in any event take into consideration the factors of clause 2.2 which will guide any decisions in this regard. 2.1.18. A vessel needing to either increase or decrease cargo or make changes to the cargo mix at the request of shippers may do so but only up until five (5) days out from ETA. Any increases will be subject to Terminal approval in order to minimise any impact prejudicing any other scheduled vessel. Where a nominated vessel reduces its cargo mix by more than thirty (30) percent from its original nominated intention, then such vessel will be subject to a new nomination. 2.1.19. Vessels may be substituted from time to time provided that: 2.1.20. The vessel for substitution is presented to TPT for consideration and approval; 2.1.21. The vessel and cargo characteristics of the vessel presented for substitution does not differ from those of the vessel to be substituted 2.1.22. Should the vessel and cargo characteristics of the vessel presented for substitution differ from those of the vessel to be substituted, the vessel presented for substitution may, at the sole discretion of TPT, be accepted provided TPT is satisfied that its cargo working can be managed within the limitations of the original berthing window and berth; 2.1.23. The planned time for the substituted vessel on the berth compared to that of the vessel originally planned and its productivity is not negatively affected and the requirements of clause 2.4 are met; and 2.1.24. TPT has, in its sole discretion agreed in writing to such substitution. 2.1.25. Should it transpire that the substituted vessel or its cargo is not of the same physical characteristics and, as a result thereof, the cargo working of that vessel is delayed to the prejudice of any other scheduled or planned vessel, TPT may request the substituted vessel to vacate the berth. In any event TPT accepts no responsibility or liability, loss or claims for delays arising from any substitution and will not be held responsible for any delay in the berthing or working of the vessel or cargo or the consequences thereof. 2.1.26. The shipping line assumes the responsibility of informing the shipper/cargo owner of the transfer of scheduled or planned status rights as a result of any substitution and of any risks to loss of scheduled or planned status affecting any shipments. All other conditions of these TOGs remain applicable in such instances. 2.1.27. No substitution will be allowed after the firm five (5) day notice. Where, however, TPT in its sole discretion, permits the late substitution in the interest of efficient and optimal use of berth resources of a vessel already planned, then re-planning for the substituted vessel must take place before such vessel is berthed or before cargo working can commence. The substitution guidelines as defined through clauses 2.1.15 to 2.1.20 will remain applicable. 2.1.28. The vessel presented for substitution will be deemed to be substituted to the original planned berth of the vessel to be substituted. Should the vessel presented for substitution opt for an alternative berth or terminal, such substitution may be subject to the five (5) day rescheduling guideline. 2.1.29. The acceptance of any vessel for substitution will be subject to the same cargo handling method as that originally planned for the vessel being substituted. (TPT may for example in times of berth congestion, at its sole discretion, allow a vessel to re-plan for an alternative cargo handling method, provided this does not affect other scheduled or planned vessels and then such vessel may be subject to a five (5) day default firm notice period.) 2.2. Berth allocations and activities 2.2.1. All berthing activities will be scheduled by the CPO in conjunction with the TNPA Berth Planner (as a co-ordinated function between these parties is necessary) and will be undertaken in accordance with the nomination process. 2.2.2. The CPO will determine the Terminal's cargo working schedule and allocate berthing windows on berths for the cargo working of nominated vessels in accordance with terminal capacity, nomination schedules and all relevant planning information as completed by the customer or representative in the TPT planning documents. 2.2.3. The allocation of a berth is at the discretion of TPT and will be based on, inter alia, the availability of resources, cargo availability, terminal stacking space and cargo logistics factors, and not necessarily solely on the availability of a berth. For example, but not limited to a vessel may be rescheduled to a later slot if the cargo is not available or vessel may be scheduled after firming to the first available and suitable berth on the bar chart. 2.2.4. If a planned vessel arrives in port and does not have at least 80% of its cargo in the terminal stack, and the balance available on road/rail inside the port, then the next arriving planned vessel may be berthed ahead of the senior vessel. (Refer to rules applying to cargo: Clause 2.9). 2.2.5. A planned vessel which is not in possession of its ISPS clearance will forfeit its planned slot and will be re-scheduled at the discretion of TPT once such clearance is obtained. 2.2.6. All vessels which are working cargo at any TPT berth shall have preference over "lay bye" or "bunker" ships i.e. those vessels berthed or seeking to berth for reasons other than cargo working. All requests for berths by such vessels must be directed to the TNPA Planning Official, who will in turn plan and confirm acceptance of such arrangements with the CPO of the respective terminal. 2.3. Hatch and vessel preparedness 2.3.1. Where it is a requirement for a nominated bulk vessel to present a hold cleanliness certificate before cargo working can commence, this requirement must be declared at the Phase II for planning purposes. 2.3.2. Should it not be possible for a vessel to be surveyed before berthing due to it, for example not having hydraulic hatch covers, inclement weather or having to berth on arrival, the hold cleanliness certificate must be made available within the same two (2) hours as contemplated in clause 5.1.3 after berthing. 2.3.3. A vessel, having been declared to have failed hatches, will only be re-scheduled by TPT from the date and time of presentation of the certificate declaring the hatches as passed. 2.3.4. Vessels may not clean holds at working berths unless TPT in conjunction with the Port Environmental Officer and/or Marine Safety Officer has agreed thereto in writing. Where such an agreement is in place, no stand-by charges will apply provided that if, notwithstanding such agreement, resources have been booked in respect of the vessel, stand-by charges at the applicable rate will apply until such time as the vessel is ready to receive cargo. 2.3.5. If any vessel is called to berth and the hatch covers or ramps cannot be operated, then stand-by charges at the applicable rate will immediately apply until such time as the vessel is ready to receive cargo. After a delay of four (4) hours the vessel will be declared unproductive and at the discretion of TPT, may be requested to vacate the berth should the berth be required for other purposes. Such a vessel will need to be rescheduled before commencing or recommencing cargo working. 2.4. Planning for cargo Working (Phase II) 2.4.1. Cargo working planning, (Phase II), must take place with the CPO within the firm five (5) day notice period but no less than twenty four (24) hours prior to commencement of cargo working. Vessels will not be considered for berthing unless the Phase II has been held, provided that TPT may at its discretion allow the Phase II to be held later than specified above, if deemed to be in the interests of safe and efficient working, optimal use of terminal resources or if required as a result of its contractual commitments. 2.4.2. The meeting times for the Phase II will be arranged and scheduled by the CPO and the specific times are set by the relevant terminals within the time periods as described in clause 2.4.1. 2.4.3. Vessels may request a Phase II for a scheduled vessel that could commence cargo working on a weekend where it is evident that the balance of any cargo will arrive on a Saturday or Sunday or within an accepted and agreed time between the parties, so as not to cause delays to the planned cargo working schedule or in instances where a berth would be available to start cargo working sooner rather than wait for all the cargo to arrive and provided that no other scheduled or planned vessel is impeded. 2.4.4. All information regarding cargo working together with import and export orders and other necessary documentation must be made available at the Phase II. In cases where Saturdays, Sundays and/or Public Holidays render this impractical, TPT will set a time and date for submission of documentation and the holding of a Phase II, to meet planning requirements. 2.4.5. Where orders for whatsoever reason are not available at the time of the Phase II, the Phase II will consider all presented and outstanding orders (as if though they were available) for the purposes of planning only, in order to confirm the full expected port stay and berthing window. However, depending on the circumstances resources may not necessarily be allocated for those parcels minuted not to have orders ready at the Phase II. 2.4.6. The Phase II minute will reflect the late parcels. 2.4.7. No cargo working will commence on any late orders until such time as these are presented to the CPO. 2.4.8. Should late orders impact on the productivity of a vessel or berthing window by more than eight hours then such vessel may be requested to vacate and/or be re-scheduled. 2.5. Resource allocation 2.5.1. Resources required for cargo working must be agreed at the Phase II and will be supplied subject to the Terminal's limitations or constraints. 2.5.2. Written requests for the booking of resources must be submitted to the relevant CPO by no later than the Phase II. 2.5.3. The booking of additional resources as well as cancelling of resources must be in writing (faxed, emailed or hand delivered) and must be submitted to the relevant CPO. Notification must be submitted at least four (4) hours prior to the start of the relevant shift. TPT, in its sole discretion, may cancel or withdraw resources if satisfied that such resources are or will be underutilised, whether as a result of adverse weather conditions or the manner in which cargo working is being conducted. 2.5.4. Cancellation of resources allocated to a vessel which is due to start working on weekends or on public holidays, must be communicated to TPT in writing before 15h00 on the Friday, or the last business day before the public holiday, to enable TPT to cancel its resources timeously. Failure to do so will result in a minimum of four (4) hours being raised for standby charges for the vessel, determined by the number of resources allocated, per hatch, which have not been cancelled. Cancellation of resources on public holidays or on weekends for day shifts will result in a minimum of four (4) hours being raised and for night shifts, the full cost of the shift will be due and payable. Charges will not be raised in instances where TPT is able to redeploy the resources. 2.6. Documents 2.6.1. Phase II Forms and the Stowage Plan must be presented to the CPO at the Phase II. Any special requests or alterations to stowage plans must be submitted to TPT in writing and signed off by the CPO as acknowledged and incorporated in the original planning minute or amended planning minute. Should any outstanding documents prevent the planning of the vessel and in particular the heavy hatch, then such vessel will be re-scheduled. 2.6.2. Phase II's will be re-scheduled should any of the documents detailed in Clause 2.6.1 above not be presented, notwithstanding any late orders as described in clause 2.4.5. 2.6.3. Landing / Shipping documents must be accompanied by the South African Revenue Services (SARS) Electronic Data Interchange (EDI) release and Harbour Revenue Office original Stamps as well as TPT's Order Number. 2.6.4. The Customer or its representative bears the onus of ensuring that all documents are completed in full, correctly and accurately with sufficiently clear detail in order to instruct TPT on the cargo working required and to enable the Revenue Office to apply appropriate coding to cargo working/activities for billing purposes. Where failure to complete documents accurately and in full or failure to amend a document timeously and prior to completion of working of a vessel, results in documents not being processed, and/or a delay in cargo working, and/or the vessel being detained in accordance with Customs regulations, TPT may impose standby charges in respect of any such delay, and accepts no liability for any loss occasioned as a result thereof. 2.6.5. Where more than one (1) parcel of cargo is to be loaded and all shipping documents are not available in respect of certain cargo parcels to be loaded ("the late parcels"), these will only be shipped once the documents have been received, accepted and processed by the Harbour Revenue Office. (Refer also clause 2.4.7) 2.6.6. Documents for the late parcels may be presented while the vessel is working cargo and once received the Phase II minute will be amended accordingly. Allocation of resources, if not immediately available for loading late parcels, may be subject to twenty four (24) hours planning requirements. If, however, documents relating to late parcels are not yet presented and passed by the Harbour Revenue Office when loading is completed of the parcels for which documents are available and in order, then the vessel may be declared unproductive and will be treated as such. Late order charges may be applicable in accordance with section 3, clause 1.3 of TPT's Tariff Book. 2.6.7. Shipping/Landing documents must reach the Harbour Revenue Office by 15h00 Mondays to Fridays. 2.6.8. Orders arriving after 15h00 on Fridays will only be processed on the following Monday. 2.6.9. Where the documents for late parcels are presented at the Harbour Revenue Office after 15h00, arrangements can be made for processing of such documents after hours or over the weekend provided that at least six (6) hours' notice is given to the CPO of the intended late submission for the processing of such documents before the end of that working day. 2.6.10. Cargo which is not accompanied by documents or which is accompanied by incomplete and/or incorrect and/or inaccurate documents will not be shipped or released from the Terminal. It is the responsibility of the cargo owner or representative to ascertain which documents are required and to ensure that these are completed and produced. 2.6.11. Where a vessel is carrying split cargo which is manifested in a single document but which is intended for discharge at different terminals, an amending order must be passed for the cargo due for discharge at the first terminal and a new order must be passed for the remaining cargo due for discharge at the next terminal. 2.6.12. The representative must provide the "mates receipt" document to the CPO. 2.7. Order Amendments 2.7.1. Any changes, and/or requests, and/or notifications, and /or amendments to or relating to any order or document must be submitted in writing and processed at the Harbour Revenue Office. No verbal communication will be accepted in this regard. Changes to any documentation will not be effected or acted upon by TPT unless the affected document bears the SARS' Customs stamp of approval and is accompanied by an official SARS Voucher of correction (VOC). All changes must be accounted for in an amended "mates receipt". Where a SARS Electronic system is in operation, electronics releases and electronic VOC's will be the method adopted and accepted for order amendments. 2.8. Phase II Amendments 2.8.1. Any amendments to, request for amendment of, or instruction to amend a Phase II minute must be in writing, supported by an authorized name and signature and be submitted to the CPO by the responsible representative. Where amendments or instructions need to be carried out after normal office working hours, then an electronic email, or fax will be accepted as a means of communication by TPT, provided, due to real time requirements, that the Vessel or representative immediately follows this up with a telephone call or via a visit to the CPO in order to confirm that such instruction has been received. The CPO will then advise on the feasibility of enacting the amendment, provided that no other scheduled or planned vessel is prejudiced thereby and the vessel can complete cargo working as per the scheduled berthing window. 2.9. Cargo availability 2.9.1. It is imperative that 100% of liner and non-liner export cargo be made available by the Customer/ Agent prior to the berthing of a vessel so as not to delay vessels, impede other users of port and/or terminal facilities and to expedite the rotation of vessels on a berth. 2.9.2. In instances where all the non-liner cargo is not available, the planning and the berthing of the vessel will take place subject to the following: 18.104.22.168. TPT may, in its sole discretion, taking into account the overall efficiency and optimal use of the terminal, permit a vessel in respect of which not less than 80% of its export cargo is available, to berth, provided that this will not impede vessel working or cause delays to any other scheduled or planned vessels and provided further, that the shipping of that portion of the cargo which is not yet available ("late cargo") does not in the opinion of TPT prejudice the immediate cargo working. 22.214.171.124. In the event of such prejudice, the late cargo will not be considered as having been planned for shipping and will need to be incorporated into a re-plan upon arrival, if accepted. 126.96.36.199. Proof of cargo scheduling and of the time of its arrival must be provided to the CPO, which proof must confirm that such cargo is en-route and will arrive on time at the terminal. Exceptions may be made, in the sole discretion of TPT, where HBI cargo is concerned and delivery is scheduled from the producer located in close proximity to a port and directly to the quayside. 188.8.131.52. Should the late cargo fail to arrive on planned time, for any reason whatsoever, and the berth is required by another vessel, then the vessel causing the delay will be in default and will be directed to vacate the berth and will be rescheduled for the next available berth/slot after the cargo becomes available, and only if the vessel has opted to accept a re-plan for the late cargo and not depart from the port. The vessel causing the delay will be liable for all costs arising from or connected with such delay. 2.9.3. If the quantity of cargo is increased beyond what was agreed and planned at the Phase II, and if it affects the vessels ETD, such vessel will have to be re-planned provided that such re-planning does not, in the opinion of TPT, prejudice any scheduled or planned vessels. 2.9.4. The berthing of a vessel in respect of which not all the cargo is available may, at the sole discretion of TPT be allowed, provided the berth is not required by other scheduled or planned vessels. Should such vessel become unproductive and/or should the berth be required by another scheduled or planned vessel, then such vessel will be required to vacate the berth at its sole cost and expense. 2.9.5. Certain cargo is "ring-fenced" and planned for stockpiling adjacent to or close to a specific berth or series of berths for cargo working to optimize the use of terminal infrastructure and resources. By exception, at the sole discretion of TPT, a limited quantity of ring–fenced cargo, limited to 20% of the planned cargo, may be worked at berths which are not adjacent to or close to such cargo ("remote berths"), and will then be subject to the following: 184.108.40.206. TPT will from time to time, in times of berth congestion, berth a vessel at a berth which is not in close proximity to the ring fenced cargo in which case TPT will bear the direct costs, and no other costs, of transporting such cargo from the designated storage area to the berth/s concerned. 220.127.116.11. Where a vessel has been specifically planned to berth and work cargo at a specific berth within a series of berths adjacent to or in close proximity to the stockpile of cargo intended for the vessel, which will normally be its traditional berth/s of call, and the Vessel, Customer or representative wishes to berth at an alternative berth, not adjacent to or in close proximity to the stockpile intended for such vessel, permission for it to do so may, at the sole discretion of TPT, be granted in writing, provided that a written request for such alternative berthing is made to the CPO, and the requesting party accepts liability in writing for all the costs of the transfer of cargo from the relevant stockpile to the vessel, and provided further that TPT is satisfied that granting such consent will not impact adversely on the overall efficiency of the terminal operations in general and with regard to, inter alia, factors such as contamination of that or other cargo, production and resource availability. 18.104.22.168. In each instance where a vessel has been berthed at an alternative berth in accordance with the wishes of the vessel, owner, operator or representative as contemplated in clause 22.214.171.124 above, the planned cargo working norm will be reduced or increased to an agreed norm which is appropriate, taking into consideration the distances and resources available to transport the cargo. 126.96.36.199. In each instance where a vessel has been berthed at an alternative berth in accordance with the wishes of the vessel, owner, operator or representative as contemplated in clause 188.8.131.52 above, all vessel shifting costs which may arise as a result of such berthing, shall be for the sole account of the vessel, owner, operator or representative, as the case may be. 3. VESSEL PERFORMANCE AND MONITORING 3.1. Daily meetings (Phase III) are mandatory to monitor the progress of cargo working on all vessels in order to review performance, report on the maintaining of norms, and to inform corrective action for improvement and general communication on progress and daily forward planning in respect of the resource allocation should these materially change. Formal and binding Action Minutes must be agreed upon and retained on file. The Phase III minute must be filed at the commencement of the first shift for the following on twenty four (24) hours. 3.2. All vessels having completed cargo working, including all representatives and stevedores involved in the working of a vessel, either directly or indirectly, as contracted via the cargo owner (as the case may be), must hold a Phase IV within seventy two (72) hours after completion of a vessel, unless the relevant parties have agreed in writing to forego such meetings and to hold monthly meetings covering the port calls in each month. These meetings, the primary purpose of which is to discuss the performance, overall measurement and continuous improvement of vessel working are essential and mandatory in order to direct structured strategic feedback for Terminal Management intervention. 4. EARLY/ LATE ARRIVAL OF VESSELS 4.1. Early Arrivals 4.1.1. If a vessel, having met all the criteria in clause 2 above, does not maintain her ETA in that she arrives earlier than her planned ETA, the following will apply: 4.1.2. The vessel will be permitted to occupy her scheduled or planned berth provided it is available; 4.1.3. If the scheduled or planned berth is not available, the vessel must wait her turn for the scheduled or planned berth retaining her planned seniority; 4.1.4. If another suitable berth is available, the vessel may request and be re-planned to occupy the available berth provided that TPT at its sole discretion is satisfied that no aspect of terminal efficiency, including, but not limited to, the intended working of vessels, whether planned or otherwise, is compromised or adversely affected thereby; and 4.1.5. Stand-by charges will not apply on any early arrival vessel which is berthed but not yet working cargo and is waiting for the commencement of the planned shift to start. 4.2. Late Arrivals 4.2.1. If a vessel, having met all the criteria in clause 2 above, does not maintain her ETA in that she arrives more than eight (8) hours after her original planned ETA, such vessel may at the discretion of TPT be permitted to occupy the berth, provided that it is available and then only for the remainder of the time for which it was planned to be available and that such vessel must be in a seaworthy condition in terms of stability and security. The vessel must vacate the berth at its own cost when directed to do so by TPT if the berth is required for other purposes. Such vessel will in such event have to be re-scheduled to the next suitable and/or available berth, provided that it does not prejudice any other scheduled or planned vessel. 4.2.2. Should a berth not be readily available for the late vessel, the default position will be rescheduled by the CPO on the basis of a five (5) day firm notice as defined in clause 1.1.68. 5. DELAYS TO VESSELS ON BERTH Delays of a vessel on a berth in any of the circumstances contemplated in clause 5.1 below for more than four (4) hours will be dealt with as follows: 5.1. Delays caused by the vessel, its cargo, and /or its representative 5.1.1. Where a vessel has berthed and it is not ready to load within two (2) hours of such berthing, or if it needs to further clean, prepare, survey and/ or examine hatches before being able to load or is waiting on cargo, TPT, may after a delay of four (4) hours, in its discretion, order the vessel off the berth and all costs and expenses incurred thereby shall be for the account of the vessel. The vessel must ensure that it vacates the berth within two (2) hours of having been instructed by the CPO to do so; notwithstanding that such a movement may result in the vessel being moved as a dead ship. Failure to comply with such request will result in TPT requesting the TNPA to move the vessel forthwith. All costs and expenses thus incurred shall be for the account of the vessel. 5.1.2. A vessel as contemplated in Clause 5.1.1 which has spent time alongside any berth will attract stand-by charges at the applicable rate after four (4) hours. Should the vessel be instructed to vacate the berth as a result of it being deemed unproductive, stand-by charges will be payable from the commencement of the planned shift, including the two (2) hour grace period referred to in Clause 5.1.3 below. Stand-by charges will not apply in instances where resources were not booked. 5.1.3. A maximum of two (2) hours per vessel is allowed for hatch surveying and preparing hatches where after stand-by charges relating to such delay will apply. Stand-by charges will not be raised should the cargo not be load ready as a result of the fault of TPT. 5.1.4. Vessel delays (and performance), recorded per hatch, will be measured to obtain a net result of the terminal/vessel performance. The objective is to identify and reduce all avoidable delays and to plan for improvement and such plans must be discussed at Phase IV. 5.1.5. TPT does not accept responsibility or liability for any cost/demurrage incurred by a vessel as a result of the non-delivery of cargo by road or rail to any terminal or arising from any delay occasioned, whether by the delayed departure of the vessel concerned for any reason whatsoever from any other port, or otherwise. 5.2. Delays caused by weather 5.2.1. When cargo working is delayed by adverse weather conditions, a vessel will only be allowed to remain on berth at the discretion of TPT. Delays caused by adverse weather conditions may result in vessels being re-scheduled to berth at the same berth at a later time, or to berth at an alternative suitable berth which is available. 5.2.2. Where weather sensitive cargo is being worked and the vessel becomes unproductive due to adverse weather conditions, such vessel may at the discretion of TPT be requested to vacate the berth after a grace period of four (4) cumulative hours of weather delays across the vessel, at the vessel's sole cost and expense. Such a vessel will not lose its seniority and will be re-scheduled and returned to an available working berth as soon as circumstances allow, but may not prejudice a working vessel on any berth. 5.2.3. Where an unproductive vessel is alongside a berth which is not immediately required for any purpose, TPT may at its sole discretion, grant permission to the vessel to remain at such berth for as long as it is not required for any other purpose. 5.3. Suspension of work due to wind, adverse weather or sea conditions 5.3.1. TPT may cease cargo working if the wind speed is, in its opinion, such as to render continued cargo working unsafe or in instances where the integrity of the cargo or operation is at risk from other elements. 5.4. Dust sensitive cargo 5.4.1. TPT will, to the extent that it may be practically possible and/or desirable, endeavour to berth vessels due to work cargo known to be or which are susceptible to contamination or cargo likely to contaminate other cargo, sufficiently far apart to reduce the likelihood of contamination. Operational circumstances and other factors may, however, not always permit such berthing and TPT is not liable for any loss of or damage to any cargo occasioned by cross-contamination of cargo while vessels are working such cargo. 5.4.2. When a scheduled or planned vessel claims to be unable to work cargo as a result of a perceived danger of contamination of its cargo ("the unproductive vessel") by the cargo of another vessel working cargo, ("the other vessel"), the unproductive vessel in this case must cease operations and will be declared unproductive and may be required to move off the berth at its own cost and will follow the other vessel once the other vessel has completed working, notwithstanding that the unproductive vessel may be senior to the other vessel and provided that the unproductive vessel can then be worked productively. 5.4.3. Where two scheduled or planned vessels indicate that they are unable to work productively as a result of a perceived danger by each vessel of contamination of its cargo by the cargo of the other vessel, the junior vessel may be required to move off the berth at its own cost and will follow the senior vessel once the latter has completed working, provided that the junior vessel can then be worked productively. 5.4.4. In all circumstances TPT has the right, in its sole discretion, to cease cargo working and to require a vessel to vacate a berth at its own cost and expense and to be re-scheduled for later cargo working if, in the opinion of TPT, dust generated by cargo being worked on such a vessel poses a hazard of any nature to any party whatsoever, or the environment. In such event, TPT will endeavour to inform the Customer/ vessel or duly authorized representative of such decision in writing. 5.5. Delays caused by Force majeure 5.5.1. If a planned vessel is requested to vacate a berth due to Force Majeure its removal will not affect its right to the berth and it will be retained as a senior vessel, but at the discretion of TPT. Once the Force Majeure has ended, such vessel may choose to: 5.5.2. re-schedule to its original berth, if and when available, at the cost of the party responsible for its removal or; and 5.5.3. be re-scheduled to occupy a different available berth at the cost of the party responsible for its removal and no cross haul charges will accrue, although productivity may be affected. In each instance an ETA update will be required and the CPO will need to prioritise a suitable return berth accordingly. This may affect other scheduled or planned vessels, but TPT will not be liable for any claims arising from any delay occasioned thereby. 5.6. Delays occasioned by cargo 5.6.1. If a vessel is delayed for more than two (2) hours due to having to wait for road or rail transport to deliver the cargo, the relevant stand-by charges will apply to the cargo owner/representative in respect of any delay beyond the two (2) hour period. 5.6.2. If a working vessel is delayed for more than two (2) hours due to the unavailability of cargo occasioned by cargo delays attributable to an HBI, stand-by charges will apply to the cargo owner/representative, for any delay beyond the two (2) hour period or may be requested to vacate the berth after a delay of four hours. ( Refer clause 5.1.1) 5.6.3. Stand-by charges will not be raised if any cargo delays experienced are due to the movement of cargo between TPT berths and while under the direct control of TPT. TPT will not be liable for any claims arising from any delay occasioned thereby. 5.6.4. TPT is not liable for any costs of any nature whatsoever, whether for demurrage or otherwise incurred due to the non-availability of cargo or for delays incurred at other ports which negatively affect the ETA of a vessel or for any other reason whatsoever. 5.7. Hatch separations (cocooning) and pay loading for exports 5.7.1. If a vessel is delayed as a result of it establishing cargo parcel separations (cocooning) in holds or through pay loading, or trimming, then stand-by charges will apply as follows: 5.7.2. In the case of separations and/or pay loading in holds not planned in the Phase II, then for each hatch, charges will commence immediately from the start of the delay; 5.7.3. In the case of separations and/or pay loading planned and agreed at the Phase II, then for each hatch, stand-by charges will commence after four (4) cumulative hours from the start of the planned delay. Where resources can be redeployed elsewhere by TPT either on the vessel or within the Terminal, then no stand–by charges will apply; 5.7.4. Vessels working cargo at bulk terminals will be allowed to pay-load or to undertake separations at a working berth provided prior arrangements are made with the CPO at the relevant terminal and provided that such activities do not impede any other planned operations; and 5.7.5. Should it become evident that delays may exceed eight (8) hours, a vessel may then be requested to vacate the berth and will be re-scheduled. In such instance shifting costs will be for the account of the vessel. Such vessel may also at TPT's sole discretion be subject to replanning. 5.8. Recording of delays 5.8.1. The duration and cause of all delays planned or otherwise, to vessels of five (5) minutes or more must be officially recorded after the stoppage is noted. All stoppages must be summarised and reported at Phase III. The vessel representative, stevedore, and TPT representative must sign off the Phase III minute. In the event of a dispute arising, the matter will be referred to the TM for consultation with the affected parties and his/her decision will be final. 5.8.2. Each delay will be measured per working hatch to obtain the total of the delays in respect of the vessel concerned. 5.9. Redeployment of resources 5.9.1. The CPO reserves the right to redeploy resources from an unproductive vessel to other designated work areas until such time as such vessel can confirm her readiness to return to a state of planned productivity. 6. TERMINAL RIGHTS 6.1. In the interests of safe cargo working as well as orderly and efficient terminal working, TPT National Planning and/or their authorized delegate in consultation with operations, reserves the right to either berth, not to berth, or stop vessel loading/ discharging or request TNPA to remove the vessel as the case may be. 6.2. No vessel, cargo owner or representative may order or perform any cargo operations on any quayside other than those planned and agreed to with TPT. 6.3. TPT may refuse to work a vessel if the berth is required by another vessel if: 6.3.1. A vessel has failed to produce a Class Certificate for its gear/derricks/cranes and/or such gear/derricks/cranes prove to be incapable of handling the cargo; 6.3.2. One or more of the vessel's cranes falls below the planned Safe Working Load as reflected on the vessel's crane certificates or below the number of swings specified in respect of a particular terminal; 6.3.3. One or more of the vessel's cranes fails to lift/discharge the load within the specified carrying capacity as indicated by the Ship's Agent and/ or as agreed at the Phase II; and 6.3.4. Where it is found that an ISO container is overweight, thereby impeding the lifting capacity of a crane, there will be no penalty against the vessel. 7. ARREST OF VESSELS, CARGO OR BUNKERS 7.1. Arrested vessels or cargo will only be cleared for loading and planned, subject to any instruction from the sheriff of the court relating to such arrest or the terms of any court order. Terminal Operating Guidelines: Version 6 – Transnet Port Terminals Ro-Ro, Break-bulk, Bulk and Agricultural Terminals: 1 April 2016 TRANSNET PORT TERMINALS, An OPERATING DIVISION OF TRANSNET SOC LIMITED 24 7.2. Where a vessel, its bunkers or cargo has been arrested, continued cargo working will be at the discretion of TPT, and subject to the directions of the sheriff and/or court out of which the arrest has been issued. Should cargo working be stopped, stand-by charges will immediately become applicable until such time as the vessel vacates the berth. The affected vessel will, however, subject to maritime safety, simultaneously be instructed after consultation with the sheriff to close hatches and vacate the berth to anchorage or another berth agreed upon by TPT and the TNPA. Once the arrest is lifted, such vessels will be re-scheduled for berthing on a five (5) day ETA update advice, or earlier if a berth is available, provided no other scheduled or planned vessel is affected. 7.3. Where a vessel has been arrested or has become known that the vessel will be arrested/attached prior to berthing at a TPT terminal, then in the event that the vessel requests to be berthed, prior permission MUST first be obtained from the respective Harbour Master by CPO. 8. SHIFTING OF VESSELS AND CARGO BETWEEN BERTHS 8.1. A vessel must provide the CPO with a minimum of nine (9) hours written notice of its intention to shift either cargo or the vessel between berths in order to enable TPT to plan in order to reduce, increase or reallocate resources accordingly. Failure to adhere to the stipulated time period will result in a minimum of four (4) hours stand-by charges being raised against the vessel. 8.2. If a vessel vacates a berth as described in Clause 8.1 above, cargo which has been re-claimed from any stockpile or storage area and loaded onto TPT transport for shipping will be returned to the relevant stockpile or storage area. Additional handling, plus transfer charges, in respect of cargo so returned to the stockpile or storage area will be raised for the account of the party requesting the shifting of the vessel. 8.3. A written request for shifting/moving of a vessel must be submitted to the CPO and TNPA Ship planning officer prior to shifting. 9. UNPRODUCTIVE VESSELS 9.1. Where a vessel is declared unproductive due to the vessel's fault, TPT reserves the right to request the TNPA to remove such vessel from a berth. 9.2. The removal costs will be for the account of the unproductive vessel. 9.3. After consideration of any planned delays then in all instances where a vessel is declared unproductive as per clause 1.1.89 stand-by charges at the applicable TPT Tariff book rate will be raised after a period of four (4) hours of unplanned stoppages subject to resources being on standby. 9.4. A vessel that deviates at any given time during cargo working by more than 30% from its phase II will require the immediate convening of a planning meeting between the Customer and TPT to address the matter in order to gauge the situation and implement feasible corrective measures which may include the rescheduling of the vessel. 10. CARGO, SECURITY & HARBOUR MOBILE CRANE CRITERIA 10.1. Dispatch of cargo 10.1.1. Arrangements and planning for the dispatch of all landed cargo from the terminal by the Customer/representative must occur at the Phase II to avoid storage charges being raised. 10.2. Retention of cargo 10.2.1. Cargo will not be allowed to remain in the terminal unless a written agreement is reached on the terms on which it will be permitted to remain in the terminal. Should cargo remain in the terminal in the absence of such written agreement or beyond any agreed time, TPT may have the cargo removed at the Customer's sole cost and risk and to raise storage charges at the rate applicable thereto from time to time, or to treat such cargo as having been abandoned and may deal with it in accordance with the provisions of section 6 (Schedule 1) of the Legal Succession to the Transport Services Act, 1989. In such event, TPT will incur no liability for any loss of or damage to such cargo and is entitled to full indemnification from the Customer for any costs or loss incurred by TPT in relation to or as a result of TPT having dealt with such cargo. 10.3. Miscellaneous Services 10.3.1. All work done or services rendered over and above those normally associated with the activities which are the subject of the Phase II requirements/ cargo working, are subject to additional charges which will be raised by means of the issuing of a Miscellaneous Services Note (MSN). 10.3.2. All requests for additional services (Miscellaneous Service Request: MSR) must be in writing and directed to the CPO. Following the acceptance of the MSR, a Miscellaneous Service Note (MSN) will be used as a source document for billing. 10.3.3. Customers, shipping lines or their representatives may not directly request or instruct any of TPT's employees or machine/equipment operators to execute any function whatsoever. All instructions must be given in writing through the CPO. 10.3.4. If a MSR is not submitted to the CPO and a service or services has/had been rendered or is required, then the TPT berth manager must immediately inform and confirm the rendering of such service to the representative in writing by way of e-mail, fax or hand delivery within 24 hours of the service having being provided or 24 hours after vessel completion. The TPT Operations Manager will raise the MSN for the extra services carried out and submit it to the CPO or amend the Phase II minute for endorsement. 10.4. Security 10.4.1. All TPT Terminals subscribe to the ISPS code standards and Transnet conditions of Entry. 10.5. Cargo pre-assembled prior to shipping 10.5.1. All terminal inbound cargo for export will be planned for pre-assembly in areas designated by the terminal and the norm will be to berth the vessel at the berth closest to the cargo. Liner cargo must be pre-assembled at the closest point to usual liner berths of call. 10.6. Cargo Dwell Time 10.6.1. The time allowed for cargo to remain on terminal grounds without charge, ("the free period") is determined by the provisions of the tariff book or any commercial agreement between the Customer and TPT, and once such free period has expired the Customer is obliged to remove the cargo if TPT so requires. Failing such removal, such cargo may be treated as having been abandoned and dealt with under the provisions of section 6 (Schedule 1) of the Legal Succession to the Transport Services Act 1989. 10.6.2. TPT may, at its discretion, instruct a Customer to remove cargo that has remained in the terminal for longer than one (1) month, or may transfer the cargo to the State Warehouse at the sole cost and risk of the Customer. In every such event, storage, handling and all other costs as may be applicable will be raised and become payable by the Customer. TPT, in dealing with such cargo, will for all purposes be deemed to be the appointed representative of the Customer, but TPT will not be liable for any claims howsoever arising from any act or omission by TPT in relation to such cargo. 10.6.3. TPT may remove any cargo which has not been removed from the Terminal despite the Customer having been requested/ instructed to do so, and such removal is at the Customer's sole cost and risk. (Refer 10.6.1 above) 10.6.4. Uncleared cargo in Ro-Ro Automotive terminals will be sent to a "virtual state warehouse" after seven (7) days and all costs incurred thereby shall be for the sole account of the Customer, and the risk in and to such cargo will at all times remain with the Customer. 10.7. Stacking / Stockpile 10.7.1. Cargo may not be placed or dumped on or near any quayside other than in accordance with the provisions of the Phase II minute relating to such cargo. If cargo is placed or dumped at or on any quayside or adjacent areas otherwise than in accordance with the provisions of the Phase II minute relating to such cargo, all costs incurred in respect thereof, whether relating to or arising from the compliance with environmental requirements, inconvenience or interruption to the working of other vessels and/or its storage or removal will be borne by the Cargo owner/representative or the responsible party as the case may be. 10.7.2. All cargo held in the Terminal must be stacked according to the order of Port of destination, or the vessel or the contractual agreement. If the Port of destination or vessel is changed while cargo is already in stack then all costs incurred in sorting and/or weighing and/or movement and/or re-labelling of such cargo, as a result of such change, will be for the account of the party which made such request. To the extent which may be relevant, the provisions of Clause 10.3 above will apply in such instance. 10.7.3. Excavators and other equipment with steel tracks will not be allowed to be driven over any quayside or terminal area, unless rubber mats are provided to protect the terminal road surfaces adequately and any damage which may eventuate from such movement shall be for the account of the Customer. 10.7.4. TPT reserves the right to alter the terms and conditions of stacking space requirements should the need arise. 10.8. Material Safety Data Sheet/ IMBSC CODE 10.8.1. The Customer must advise TPT of all the characteristics and nature of its cargo, the method of its handling and all risks associated therewith, by submitting a detailed Material Safety Data Sheet in advance of the planning and the delivery of cargo to the CPO. Information pertaining to the IMBSC code requirements must also be provided. 10.9. Transhipments 10.9.1. Any cargo in respect of which both landing and shipping movements take place within the same Terminal will be regarded as transhipment cargo. 10.9.2. Direct ship to ship transhipments require the prior approval of TNPA as well as that of TPT. In such cases a surcharge will be raised by TPT for the occupation by the transhipment vessel of a berth and for utilizing terminal time. 10.9.3. Cargo not transhipped within seven (7) days (excluding cargo subject to commercial agreements), of the discharging vessel having been posted by the TNPA in its journal as having arrived, shall, be regarded as cargo landed and shipped and storage charges will become payable in respect thereof. 10.9.4. The vessel or representative is required to: 10.9.4.1. State the name of the discharging vessel; and 10.9.4.2. State the name of the loading vessel. 10.9.4.3. In the case of transhipment containers, submit separate lists for containers destined for: 10.9.4.3.1. The same terminal; 10.9.4.3.2. The outside terminal (export / import); and 10.9.4.3.3. Submit transhipment documents to the CPO at least seventy two (72) hours prior to the vessel's ETA. 10.10. Road Motor Transport (RMT) 10.10.1. TPT reserves the right to approve the use of authorized motor vehicle transport (AMV), as defined in the Standard Terms and Conditions for all Visitors to the Ro-Ro, Break-bulk and Agricultural, Bulk and Ro-Ro Automotive Terminals of TPT, to deliver cargo to the Terminal. 10.10.2. If cargo is permitted to be delivered by AMV, bookings must be made in writing with, and approval must be obtained from the CPO. The relevant booking document is available from the Terminal. 10.10.3. Where TPT has introduced electronic data interchange systems such as "Navis" for the purposes of booking RMT, then attaining pre-advice bookings to schedule RMT slots via the electronic system will be a prerequisite for all planning relating to RMT. The procedure will be communicated by the terminals where and when applicable. 10.11. Abnormal Cargo 10.11.1. Abnormal cargo is cargo which exceeds any one of the measurements below. Heavy operating skips are excluded and are classified as standard port operating equipment: Mass Length 12 metres Width 2.5 metres Height 2.87 metres 30 metric tons (30 000 kilograms) 10.11.2. Cars, trucks, trailers and machinery on own wheels will only be dispatched or received in daylight. 10.11.3. Abnormal cargo will not be staged on the quayside other than for pre-assembly and then at the sole discretion of TPT and will not be loaded onto rail wagons unless Transnet Freight Rail has especially agreed thereto in writing. Abnormal cargo is handled at the Customer's risk and TPT accepts no liability for any loss or damage to any such cargo, howsoever arising. The Terminal Operator must approve the discharge of abnormal cargo onto a quayside or it being loaded onto an AMV and such approval is subject to arrangements have been made to the reasonable satisfaction of TPT for the handling and carriage of such abnormal cargo by the importer or exporter thereof. 10.11.4. Abnormal cargo which is landed directly onto an AMV must leave the terminal cargo working area within four (4) hours of landing. Failure to do so will result in such abnormal cargo being treated as indirect cargo, notwithstanding such cargo remaining loaded on AMV trailers, and the Terminal Handling Charge (THC) for indirect loading as well as relevant storage charges will apply. 10.11.5. Abnormal cargo handling must comply with the vessel and terminal's safety standards as well as the conditions described in the Tariff Book. Exceptions to not handle any abnormal cargo at night will be tabled by the TM with reasons pertaining thereto. All necessary safety requirements must be signed off by TPT Terminal management, TPT safety officer and vessel representative involved in the handling of abnormal cargo. 10.11.6. Any abnormal cargo planned for direct landing onto waiting AMV's, which is then found to have been landed on the quayside, will be removed by the terminal using appropriate terminal equipment and staged away from the quayside by TPT. The cost incurred in doing so shall be for the vessels account or that of its representative. TPT shall not be liable for any loss or damage to such cargo howsoever arising. 10.11.7. TPT may weigh and/or measure cargo and any cargo which exceeds the standard cargo maximum measurements set out in Clause 10.11.1 above will be deemed abnormal cargo. A surcharge and/or the applicable tariff will be raised in such instances. 10.12. Mate's Receipts 10.12.1. On completion of loading a parcel of cargo, TPT will obtain a signed Mate's receipt from the Master of the vessel in respect of the cargo received from TPT and the Master is obligated to provide such signature to TPT. Any discrepancies must be signed off by TPT and the Master. 10.12.2. A vessel must not leave a berth without the Master or Chief Officer of the vessel first signing the Mate's Receipt. 10.12.3. Should, however, a vessel depart a berth without a Mate's Receipt signature having being obtained, despite all reasonable efforts by TPT to obtain such signature, then all the cargo listed on the shipping order will be deemed to have been loaded on board the vessel and shipped accordingly by TPT. TPT shall be exempt from liability in respect of any discrepancies and claims that may arise as a result thereof. 10.13. Flat-Rack Containers 10.13.1. Cargo delivered on a flat-rack container ("flat rack") is manifested as a container and is processed as such in terminal records. Should cargo be removed from the flat-rack and dispatched/shipped separately without the flat-rack, such cargo will be treated and processed as break-bulk cargo in the terminal records. The flat-rack from which such cargo has been removed will be treated as a separate container attracting container related charges. 10.14. Third Party Equipment 10.14.1. No person (natural or legal) other than an employee mandated by TPT will be allowed to hire cargo handling equipment to service a vessel or to perform any Terminal handling activities within TPT's Terminal boundaries, including the working of small craft, but excluding leasehold operators in Maydon Wharf. Where circumstances require that outside contractors be employed, this will be managed on a case by case basis by TPT. 10.15. Harbour Mobile Crane ("HMC") 10.15.1. All HMC's are available for direct hire by vessels for vessel cargo working purposes. Commercial rates are available from the respective terminals. 10.15.2. One or more of the terminal's HMC's may be deployed on request from the vessel if the vessel equipment fails, is inadequate or if productivity benefits will be evident. 10.15.3. TPT may proactively at its own discretion and at its own cost after consultation with the vessel make recommendations to keep a vessel from becoming unproductive and where in doing so will result in tangible turnaround benefits to a vessel under one or more of the following conditions: 10.15.3.1. to work abnormal cargo or heavy lifts; or 10.15.3.2. to replace unproductive vessels cranes; or 10.15.3.3. to work the heavy hatch or the whole vessel 10.15.4. Where a HMC will be required to work the vessel, the relevant order document must be endorsed accordingly, clearly stating the hatch and cargo for which the HMC is required. 10.15.5. If the HMC is not available the Customer may at its sole cost and expense procure a HMC from a third party, provided that prior written approval is obtained from TPT and the TNPA. Documents authorizing the hire of a HMC must be forwarded to CPO for consideration. The order form for the hiring of the HMC must be processed through the CPO. Landing/shipping documents must be endorsed accordingly in respect of the cargo that will require the use of the HMC for reconciliation for billing purposes. 10.15.6. If the efficient working of the HMC as agreed at the Phase II is impaired by delays such as separations, hatch cover removals, sorting of cargo inside a hatch or any other delay not attributable to TPT, which significantly slows the working of the HMC, TPT may at its sole discretion declare the deployment of the HMC to be wasteful and cancel the booking and/or raise separate hire charges in accordance with HMC hire rates for the handling of Abnormal Cargo or Heavy Lifts. 10.15.7. Nothing contained in this clause 6.15 shall be interpreted as placing any obligation whatsoever on TPT to provide any HMCs in the circumstances envisaged in this clause 10.15. PROVISIONS APPLICABLE TO SPECIFIC PORTS/ TERMINALS 11. Saldanha Terminals incorporating: 11.1. Bulk Terminal, Port of Saldanha (BTS) 11.1.1. Operating hours and shift times 184.108.40.206. Mondays to Sundays; 220.127.116.11. Morning and day shift from 07.00am to 19.00pm; 18.104.22.168. Night shift from 19.00pm to 07.00am. 11.1.2. BTS general information 22.214.171.124. All iron ore vessels are handled on a first scheduled, first served basis. However, crude oil tanker movements are given priority by the TNPA. The berthing schedule will be as contained in the ETA plan which also considers the berth restrictions. Priorities of the Port will always take precedence. 126.96.36.199. Vessels arriving on the same day will, at the discretion of TPT be treated on the basis of first come, first served, in accordance with the relevant ETA advices and commencement time of the vessels' nominated lay days. For example: if the first vessel arrives on 25/08/20YY at 10h00 with start of lay days on 26/08/20YY and the second vessel arrives on 25/08/20YY at 22h00 with start of lay days on 25/08/20YY the second vessel will start loading first. 188.8.131.52. All vessels must be cleared in accordance with the ISPS prior to entry. (A minimum of ninety six (96) hours must be allowed for obtaining clearance prior ETA). 184.108.40.206. The geographical position and physical layout of the Port of Saldanha gives rise to the Terminal operating under open sea conditions. The wind and ocean swells are factors which must be considered by any vessel planning a BTS port call. 220.127.116.11. During the winter months of May, June, July and August, the wind conditions are predominantly Northeast with rain. 18.104.22.168. During the summer months of November, December, January and February, the wind conditions are predominantly South East in the mornings, swinging to the South West in the afternoons. 22.214.171.124. Saldanha is periodically affected by heavy swell conditions, particularly during winter months. This may affect vessels alongside causing excessive movement which may result in the parting of moorings. In extreme conditions, vessels will be put to anchor or stand out at sea until conditions moderate. All costs occasioned thereby will be for the sole account of the vessels. 126.96.36.199. BTS consists of two parallel iron ore berths, namely Saldanha Berth to the North and Langebaan Berth to the South. 188.8.131.52. The jetty consists of twenty five caissons joined by a platform and is approximately 991.65 meters long and joined to the North shore of the harbour by a 3 100m causeway. 184.108.40.206. Bulk ore loading is undertaken by means of two luffing, slewing and travelling ship loaders, fed by conveyor belts at a loading rate of up to eight thousand (8,000) tons per hour (tph), per ship loader, with peaks of ten thousand (10,000) tph per ship loader. 220.127.116.11. Vessels presented for loading at the BTS are subject to the following port and terminal limitations: 18.104.22.168.1. The maximum air draft is twenty two (22) meters; 22.214.171.124.2. The minimum beam is thirty two (32) meters; 126.96.36.199.3. The maximum draft in the channel is twenty point five (20.5) meters and all deviations to this will be managed at the discretion of the Harbour Master. 11.1.3. Vessel requirements 188.8.131.52. All vessels must be classed under the IACS. 184.108.40.206. All vessels calling at the BTS for loading cargo are subject to TPT's approval and will only be accepted for loading if the proposed vessel meets the following minimum requirements: 220.127.116.11.1. vessels must be gearless; 18.104.22.168.2. the berthing of vessels with mast poles will be permitted at the discretion of TPT, whose written authorisation for such berthing is required. Detailed information of such a vessel is a required from the Customer or representative and such information must be presented to TPT, and a period of one (1) working day must be allowed for confirmation of the acceptance of such vessel. The decision to proceed will be effective immediately. 22.214.171.124.3. the minimum vessel cargo uplift is restricted to eighty thousand (80 000) tons; 126.96.36.199.4. vessels must not have centre beams or bulkheads in any holds or hatchways intended to be loaded; Terminal Operating Guidelines: Version 6 – Transnet Port Terminals Ro-Ro, Break-bulk, Bulk and Agricultural Terminals: 1 April 2016 TRANSNET PORT TERMINALS, An OPERATING DIVISION OF TRANSNET SOC LIMITED 32 188.8.131.52.5. vessels must be single deck self-trimming; 184.108.40.206.6. each vessel must have a minimum 3 star "Rightship" rating for carrying iron ore in bulk; 220.127.116.11.7. vessel hatches must be of the mechanical type and of such a design and construction so as not to impede the operation of the Terminal's ship loaders; 18.104.22.168.8. vessels must have sufficient de-ballasting capabilities to allow the BTS to achieve the standard load rates applicable to vessels of that size as set out in 22.214.171.124.9 below. The de-ballasting performance of vessels will be monitored by the BTS and poor performers may be rejected as potential future nominees for the BTS; 126.96.36.199.9. vessels must be capable of loading iron ore at the rate of eight thousand (8,000) tons per hour (tph) for a single loading operation and fifteen thousand (15,000) tph for a dual loading operation, loading into two separate holds simultaneously, subject to vessel's stress plan and its stability; 188.8.131.52.10. The ISMBC code is applicable to all vessels calling at the BTS. Vessel Age and Inspections 184.108.40.206. The maximum permissible age of a vessel scheduled for loading at the BTS is twenty (20) years from ex dock yard. 220.127.116.11. Inspections must be conducted on vessels at the port of Saldanha at the instance and cost of the vessel operator, by independent surveyors as follows: 18.104.22.168. All vessels between fifteen (15) and twenty (20) years must be inspected at least once a year on first arrival; 22.214.171.124. If during the inspection, any defects are recorded, then if required, the vessel will be subject to re-inspection should it again call at the BTS for cargo working. 126.96.36.199. The minimum inspection requirement must entail a survey of the following: 188.8.131.52.1. Hull inspection, prior to boarding, by boat; 184.108.40.206.2. Inspection of all documents/certificates; 220.127.116.11.3. Inspection of decks, hatch coamings, hatch-covers, and hatchsecuring system during daylight; 18.104.22.168.4. Hatches must be presented in a closed and battened down condition (all cleats or similar securing devices must be in position). 22.214.171.124.5. The physical entering and inspection of a hold may only be done during daylight hours. 126.96.36.199.6. All ballast tanks must be pressed up, except forepeak (F.P) ballast Hold(s) and after peak (A.P) at vessels discretion. 188.8.131.52.7. If a vessel cannot comply with clause 184.108.40.206 above, then such non- conformance must be proven via a printout of the load indicator under "harbour conditions". 220.127.116.11.8. If topside tanks (TST's) have become slack due to rolling on passage or for any other reason, these have to be pressed up prior to entering the Port of Saldanha. 18.104.22.168.9. The surveyor may request de-ballasting or slacking of certain tanks in order to inspect the interior or request to open "void" spaces within. 22.214.171.124.10. The Customer must appoint an independent surveyor to conduct the mentioned survey as per clause 126.96.36.199 above and all costs associated therewith will be for the vessels' sole cost and expense. 188.8.131.52.11. Inspections at the Port of Saldanha must be done as far as practically possible, within the Saldanha inner anchorage and not alongside the Ore berth. Vessel Nominations and Lay Day Periods 184.108.40.206. Customers shall allocate lay cans to planned shipments on the basis of their shipping entitlement and submit such information to the BTS by the latest thirty (30) days prior to shipment. 220.127.116.11. Nominations, (vessel's details and relevant certificates) must be received at the BTS no later than 16h00, Mondays to Fridays to allow for processing during office hours (08h00 to 16h00). 18.104.22.168. Vessels nominated with no lay day periods or at short notice will be deemed to be opportunity vessels and should such nomination be accepted, a berthing slot will be determined at the discretion of TPT. 22.214.171.124. Vessels which arrive before the commencement of the lay day period may only be berthed before the lay day period commences, by agreement with the Customer and provided it will not prejudice any other vessels with an earlier commencement of lay day periods. 126.96.36.199. A vessel which arrives after the lay day period has expired shall be berthed in sequence based on the vessel's arrival date and time. 188.8.131.52. Subject to clause 2.1.9, a nominated vessel may only be substituted by an alternative vessel with more or less the same parcel size, and if not less than fifteen (15) days' notice of the intended substitution is tendered to the BTS and provided the ETA of the alternative vessel is not earlier than that of the vessel originally nominated, and provided further that TPT agrees to such substitution. Vessel Nomination notices 184.108.40.206. The Customer or representative must provide the BTS with a vessel nomination twenty one (21) days prior to the ETA of that vessel. 220.127.116.11. The Customer or representative, must further provide the BTS with written ETA updates at fifteen (15) days, ten (10) days, seven (7) days, four (4) days, three (3) days, two (2) days, twenty four (24) hours and twelve (12) hours before the ETA. 18.104.22.168. The Customer or representative must immediately inform the BTS in writing of any deviation in excess of twenty four (24) hours from the ETA. 22.214.171.124. The Customer, or representative must advise the BTS as early as possible, but not later than seventy two (72) hours before the ETA, of the following: 126.96.36.199.1. the final tonnage required, types of ore and the number and size of consignments or parcels; 188.8.131.52.2. the final stowage plan and cargo mass in tons as well as the loading sequence based on the requirement of either utilising a single or dual loading cargo operation; 184.108.40.206.3. the forward and aft draft of the vessel on arrival and estimated draft forward and aft for departure; 220.127.116.11.4. vessel de-ballasting time required; 18.104.22.168.5. whether the vessel is an oil or ore carrier or an oil bulk and ore carrier, and whether or not it is in possession of a gas free certificate. 22.214.171.124. Should a vessel not pass a survey and repairs need to be effected, the vessel NOR will be null and void and the NOR must be re-tendered after repairs have been effected and a surveyor has approved the vessel. Once a fresh NOR is received, the vessel's planning for cargo operations will be determined and scheduled at the discretion of TPT. 126.96.36.199. Any vessel with a beam of thirty two (32) to thirty eight (38) meters will be restricted to berthing at the at the northern "Saldanha berth". 11.1.7. Hold Cleanliness 188.8.131.52. A survey of hold cleanliness must be undertaken by a surveyor appointed by the Customer. 184.108.40.206. The minimum guidance norms for cleanliness are as follows: 220.127.116.11. If previous cargo carried by the vessel was iron ore lump or fines, or iron ore from other sources, holds must be swept clean, including hold sides; 18.104.22.168. If previous cargo carried was not iron ore, holds must be washed clean and dried. 22.214.171.124. No cleaning of vessel holds will be permitted at the BTS berths. 126.96.36.199. If berthed and the holds are not passed as clean, the vessel must vacate the berth at the Owners expense and will only be accepted for loading after receipt of a certificate issued by an independent Marine Surveyor at Saldanha indicating that the vessel holds are clean, dry and free of contaminants, whereupon a fresh NOR shall be tendered and the vessel's planning for cargo operations will then be determined and scheduled at the discretion of TPT. 11.1.8. Vessel Loading 188.8.131.52. In instances of either single loading where only one ship loader is employed per vessel or dual loading where two ship loaders are employed per vessel , the Customer or representative must provide the BTS CPO with the single or dual loading vessel plan at least one (1) day prior to vessel loading. 184.108.40.206. The loading of one consignment or parcel of a specific grade of iron ore must be completed before the loading of the next consignment or parcel can commence. 220.127.116.11. The separation of consignments or parcels within holds cannot be catered for. 18.104.22.168. Should a vessel stop loading for the purposes of de-ballasting ("the de-ballasting vessel"), TPT reserves the right to discontinue planned loading and redirect the loading operation to an alternative vessel and continue loading that such other vessel for a minimum of eight (8) hours before resuming loading the de-ballasting vessel. 22.214.171.124. Should a vessel cease operations more than once for the purposes of de-ballasting or for any other reason whatsoever, then the vessel will be declared unproductive, will lose its seniority and will have to wait until such time as TPT at its sole discretion deems it fit to recommence cargo working to the vessel. 126.96.36.199. Stoppages attributable to the vessel are not taken into account in calculating the BTS loading rate/norm. 188.8.131.52. Weather stoppages are also not taken into account when calculating the BTS loading time. 184.108.40.206. The total mass of Iron Ore loaded into a vessel as consigned, is the mass determined by a draft survey conducted on the vessel. 220.127.116.11. No hatch covers may be closed whist final drafts are being read by the surveyor. 18.104.22.168. The maximum permissible sailing draft of a vessel at the Port of Saldanha is twenty point five (20.5) metres. 22.214.171.124. The Customer or representative must ensure that 100% of the export cargo is available in the stacking area prior to berthing of the customer's vessel. 11.1.9. Unacceptable vessels 126.96.36.199. The BTS is entitled to reject for future loading any vessel that has failed to comply with any of the conditions required and as set out in this clause 11.1. 11.1.10. General 188.8.131.52. A vessel alongside the ore berth or at anchorage shall not immobilize engines unless authorized to be so by the TNPA and in any event not before receipt of a surveyor clearance. 184.108.40.206. Vessels shall provide sufficient lights on board for night loading and shall be responsible for opening and closing of hatch covers. 220.127.116.11. The BTS may from time to time, in consultation with the Customers, require a vessel to vacate a berth for operational or safety reasons, and no claim for any loss or damage arising out of or in connection with such a requirement may be asserted against TPT. 18.104.22.168. The vessel or representative must ensure that a TNPA marine service is arranged for sailing the vessel not later than one (1) hour after the completion of loading. 22.214.171.124. The BTS will from time to time schedule mandatory plant maintenance shut downs in accordance with an annual plan. No extensions to delay any shut down period will be entertained. 11.2. Multi-purpose Terminal, Port of Saldanha 11.2.1. Operating hours and shift times 126.96.36.199. Mondays to Fridays: 188.8.131.52.1. Morning: 07.00 to 15.15; 184.108.40.206.2. Afternoon: 15.00 to 23.15; 220.127.116.11.3. Night: 23.00 to 07.15. 18.104.22.168.4. Weekend shift times: 22.214.171.124.5. Day 07.00 to 19.15; 126.96.36.199.6. Night 19.00 to 07.15. 188.8.131.52.7. The terminal will close at 19.00 hrs before any public holiday and opens at 07.00 hrs the day following such holiday. . 11.2.2. Vessel nomination 184.108.40.206. In order to maximise throughput, the order of working for vessels calling at the Multi-purpose terminal at the Port of Saldanha to pick up bulk loads (currently limited to manganese ore and iron ore) will be scheduled for berths 203 and 204 using a slot allocation system. The slot will be determined by TPT with the forecast provided by Customers in advance and allocations will be made taking into consideration factors such as berthing window (refer to clause 1.1.4 on definition of berthing window), stockpile readiness, train scheduling, berth maintenance periods and contracted volume entitlement on a rotational basis notwithstanding all other conditions as required in these TOGs. All other vessel nominations will follow section 2. 220.127.116.11. All vessels must comply with the provisions of the code in relation with IMSBC. 11.2.3. Bar Chart 18.104.22.168. The Terminal will provide and maintain a long term planning bar chart of thirty (30) days indicating the slot allocations as jointly determined between TPT and the Customer. 22.214.171.124. TPT will endeavor to update the Bar Chart daily, Mondays to Fridays, in order to enhance accuracy on windows over the shorter term based on prevailing conditions such as, but not limited to, norms achieved, availability of cargo, terminal infrastructure maintenance, vessel delays, marine delays and weather. 11.2.4. Lay Day period 126.96.36.199. The Customer must provide TPT with the vessel lay can dates at the time of the fourteen (14) day nomination. 188.8.131.52. All vessels must comply with a lay can period of ten (10) days. 184.108.40.206. Should a vessel's ETA fall back it may at the sole discretion of TPT forfeit berthing seniority if it will significantly prejudice the next planned vessel or operations efficiency in the terminal. In such instance vessels not arriving on time to meet the allocated slot will be treated as a late arrival and will be re-scheduled at TPT's discretion to another suitable slot. 11.2.5. Vessel requirements 220.127.116.11. All vessels calling at the terminal for loading will comply with the configuration and limitations of the respective berth infrastructure as declared by TNPA. 18.104.22.168. For the purposes of working cargo via conventional skip loading must as a minimum have 30 ton (SWL) cranes. 22.214.171.124. The Cargo Owner or representative must ensure that one hundred percent (100%) of the export cargo is available to TPT in the stacking area prior to berthing of a vessel. 11.2.6. General 126.96.36.199. The vessel or representative must ensure that TNPA marine services are arranged for sailing a vessel not later than two (2) hours after the completion of loading. 12. Cape Town Terminals incorporating: 12.1. Multi-purpose Terminal, Port of Cape Town 12.1.1. Operating hours and shift times 188.8.131.52. Mondays to Fridays: 184.108.40.206. Morning: 06.30 to 14.30; 220.127.116.11. Afternoon: 14.30 to 22.30; 18.104.22.168. Night: 22.30 to 06.30. 22.214.171.124. Weekend shift times: 126.96.36.199. Saturdays day 12 hrs from 06.00 to 18.00; 188.8.131.52. Saturday night 12 hrs from 18.00 to 06.00; 184.108.40.206. Sunday day 12 hrs from 06.00 to 18.00; 220.127.116.11. Sunday night12 hrs from 18.00 to 06.00; 12.1.2. Diversion of Deep Sea Container vessels 18.104.22.168. TPT, in the interests of maximising Port capacity and in dealing with wind bound vessels at the Container terminal, has undertaken to divert vessels from the Container Terminal to MPT. In doing so TPT will consider the interests of all stakeholders and the scheduling and planning of diverted vessels will consider the call size, stack availability and all relevant factors so as to limit prejudicing any normally scheduled MPT vessel calls. 13. Port Elizabeth Terminals incorporating: 13.1. Ro-Ro, Break-bulk & Agricultural Terminal, 13.1.1. Operating hours and shift times 22.214.171.124. Operating Hours: 126.96.36.199. Standard operating of two X 8 hour shifts; 188.8.131.52. Two X 12 hour shifts on client request. 184.108.40.206. Shift times: Standard 8 Hour shifts 220.127.116.11. Morning shift: 05h50 – 14h20; 18.104.22.168. Afternoon shift: 13h50 – 22h20; 22.214.171.124. Requested 12 hour shifts 126.96.36.199. Day Shift: 06h00 – 18h00; 188.8.131.52. Night shift: 18h00 – 06h00; 184.108.40.206. During vessel working, the Terminal will operate on two x twelve (12) hour shifts to meet the requested twenty four (24) hour cargo working. The landside activities will operate between the hours of 07h00 and 23h00. Any requests from Customers to work additional cargo on the Terminal landside outside of these hours will, in the sole discretion of TPT, be managed on an ad hoc basis at a specified overtime rate. 13.1.2. Written notice of cancellation of resources allocated to a vessel which is due to start working on weekends or on public holidays, must be given to TPT in the case of a weekend, before 12h00 midday on the Friday or on the last business day before the public holiday. (refer clause 2.5.4) 13.2. Bulk Terminal, Port of Port Elizabeth 13.2.1. Operating hours and vessel planning 220.127.116.11. Operating Hours 18.104.22.168.1. The Bulk Terminal operates a single berth for twenty four (24) hours a day. 22.214.171.124. All bulk ore vessels will be scheduled using a slot allocation system. The slot will be determined by TPT with the assistance of the Customers and allocations will be made taking into consideration factors such as berthing window (refer to clause 1.1.4 on definition of berthing window), stockpile readiness, train scheduling, maintenance periods and fair opportunity on a rotational basis notwithstanding all other conditions as required in these TOGs. 126.96.36.199. All vessels must be cleared in accordance with the ISPS prior to entry. (A minimum of ninety six (96) hours should be allowed for obtaining clearance prior ETA). 188.8.131.52. All vessels must be cleared in relation with ISMBC. 13.2.2. Bar Chart 184.108.40.206. The Terminal will provide and maintain a long term planning bar chart of ninety (90) days indicating the slot allocations as jointly determined between the Customer and TPT. 220.127.116.11. TPT will endeavour to update the Bar Chart daily, Mondays to Fridays, in order to enhance accuracy on windows over the shorter term based on prevailing conditions such as, but not limited to, norms achieved, plant performance and maintenance, vessel delays, marine delays and weather. 13.2.3. Lay Day Periods 18.104.22.168. The Customer must provide TPT with the vessel lay can dates at the time of the fourteen (14) day nomination. 22.214.171.124. All vessels must comply with a lay can period of ten (10) days. 126.96.36.199. The Customer must endeavour to ensure that the fixed end date of the lay can falls no later than two (2) days before the allocated slot as indicated on the Bar Chart. 188.8.131.52. Vessels not arriving on time to meet the allocated slot will be treated as late arrival in terms of clause 4 and will be re-scheduled at TPT's discretion to another suitable slot. 13.2.4. Vessel requirements 184.108.40.206. All vessels calling at the bulk terminal for loading cargo are subject to TPT's approval and will only be accepted for loading if the proposed vessel meets the following minimum requirements: 220.127.116.11.1. the berthing of vessels of less than thirty thousand (30,000) Dead Weight Ton (DWT) and/or vessels with mast poles will be permitted at the discretion of TPT, whose authorisation for such berthing is required. Detailed information of such a vessel is required from the Customer or representative and such information must be presented to TPT, and a period of three (3) working days must be allowed for confirmation of the acceptance of such vessel. The decision to proceed will be effective immediately. 18.104.22.168.2. Vessel hatches must be of the mechanical type and of such a design and construction so as not to impede the operation of the Terminals ship loaders. 22.214.171.124.3. Vessels must have sufficient de-ballasting capabilities to allow the Terminal to achieve the standard load rates planned for a vessel of that size. The de-ballasting performance of vessels will be monitored by the terminal and poor performers may be rejected as potential future nominees for the terminal. 126.96.36.199.4. Vessels must be capable of loading manganese at the rate of two thousand (2,000) tons per hour (tph). 13.2.5. Vessel Age and Inspections 188.8.131.52. The maximum permissible age of a vessel scheduled for loading at the bulk terminal is twenty five (25) years from date of ex dock yard. TPT may in its sole discretion, and after receipt of a written request from the Customer, agree to waive this requirement, provided that TPT is satisfied that such waiver will not impact negatively on safety and/or the optimal use of terminal resources. 13.2.6. Vessel Nomination Notices 184.108.40.206. All export documentation must be presented to TPT at least twenty four (24) hours prior to the berthing of the vessel. 220.127.116.11. All cargo re-claiming instructions must be made available to TPT at least twenty four (24) hours prior to the berthing of the vessel. 18.104.22.168. The cargo owner/ representative must provide a written loading plan and sequence for each vessel at least twenty four (24) hours prior to the berthing of the vessel. 13.2.7. Berth Firming 22.214.171.124. The Bulk berthing window will be scheduled upon receipt of the Customer's shipping schedules and the vessel name will be confirmed by submission of the ID 100. The window so allocated will only be firmed by TPT on a preliminary basis, using the updated ETA confirmation received from the vessel or representative five (5) days before ETA. The final firming will only take place using the updated ETA confirmation received from the vessel or representative within three (3) days before ETA, with an accurate ETA of within eight (8) hours. Should the final ETA change by more than eight (8) hours later than the final firm ETA, the vessel will be re-scheduled at the discretion of TPT to an alternative window on the berth or to follow on if the berth was still occupied, provided that no scheduled or planned vessel is prejudiced thereby. In this instance, the default period will be a three (3) day firm period. 13.2.8. Vessel Loading 126.96.36.199. Delays and stoppages attributable to the vessel will not be taken into account in calculating the Terminal loading time. 188.8.131.52. Weather stoppages will not be taken into account when calculating Terminal loading time. 184.108.40.206. The total mass of manganese loaded into a vessel as consigned, is the mass determined by a draft survey conducted on the vessel. 220.127.116.11. The Cargo Owner or representative must ensure that one hundred percent (100%) of the export cargo is available to TPT in the stacking area prior to berthing of a vessel. 13.2.9. General 18.104.22.168. A vessel alongside the manganese berth or on anchorage must not immobilize engines unless authorized by the TNPA to do so and in any event not before receipt of a surveyor clearance. 22.214.171.124. Vessels shall provide sufficient lights on board for night loading and shall be responsible for opening and closing of hatch covers. 126.96.36.199. TPT may from time to time, after consultation with the Cargo owners, require a vessel to vacate a berth for operational or safety reasons, and no claim for any loss or damage, arising out of or in connection with such a requirement may be asserted against TPT. 188.8.131.52. The vessel or representative must ensure that TNPA marine services are arranged for sailing a vessel not later than two (2) hours after the completion of loading. 184.108.40.206. The Port Elizabeth Bulk terminal will from time to time schedule mandatory plant maintenance shut downs in accordance with an annual plan. No extensions to delay any shut down period will be entertained. 14. East London Terminals incorporating: 14.1. Ro-Ro, Break-bulk & Agricultural Terminal 14.1.1. Operating hours and shift times: 220.127.116.11. The terminal operates 2 x 8 hour shifts 18.104.22.168. Shift 1: 07h00 to 15h00 22.214.171.124. Shift 2: 15h00 to 23h00 126.96.36.199. During vessel working the Terminal operates two x twelve (12) hour shifts to ensure a twenty four (24) hour cargo working. The landside activities will remain between the hours of 07h00 and 23h00. Any requests from Customers to work additional cargo on the Terminal landside outside of these hours will, in the sole discretion of TPT, be managed on an ad hoc basis at a specified overtime rate. 14.1.2. First Come, First Served: 188.8.131.52. Due to limited volumes handled at the terminal, vessels are scheduled for berthing on a first come, first served basis. 184.108.40.206. Vessels calling to work bulk agricultural products will be scheduled on a slot system as directed and agreed with TPT. 14.1.3. Dust Sensitive cargos 220.127.116.11. The Port of East London has specific conditions which have a bearing on bulk agricultural cargo being loaded and unloaded. Should Easterly Winds prevail, the terminal will, at its sole discretion, cease operations if in its opinion dust becomes problematic and cannot be controlled. The cessation of cargo working in such circumstances is for environmental reasons to minimise dust emissions into the West Bank residential area and TPT does not accept liability for any claims arising from such stoppages. 15. Maydon Wharf Berth Planning Rules 1 15.1. Objectives 15.1.1. improve berth utilisation; 15.1.2. improve turnaround times; 15.1.3. to provide more equitable, transparent and user-friendly rules; 15.1.4. to provide efficient berth planning rules that address problems experienced by the Berth Planner under the current rules; 15.1.5. to clearly define berth planner's rights over any other rights; 15.1.6. to introduce the concept of integrated planning that will coordinate all activities on the berth side and to assist the Berth Planner; 15.1.7. to coordinate the berth planning with marketing, physical planning, security and SHEQ activities under the guidance of integrated planner; 15.1.8. to monitor cargo volume throughputs, productivity, dwell times, environmental conditions, operational and non-operational times, regulations and legislation. 15.2. Rights 15.2.1. Leasehold Rights 18.104.22.168. This is a right that allows a tenant lease a site within TNPA property and to handle and store specified import and export related cargo. 15.2.2. Landing and Shipping Rights 22.214.171.124. This is the right that allows the leaseholder to import and export cargo over the berth using own stevedores. 126.96.36.199. Landing and shipping rights will be granted in terms of new signed commercial leases. 15.2.3. Preferential Berthing Rights 188.8.131.52. This is a right given by TNPA to a leaseholder in order to handle a specified cargo over specific berth(s) under special conditions. 184.108.40.206. Preferential berthing rights will be accorded to parties listed below: 1 TNPA – Port Of Durban – New Maydon Wharf Berth Planning Rules – October 2003 220.127.116.11.1. High-volume clients provided that notification of the 72 hours prior to vessel arrival has been given to the Berth Planners; 18.104.22.168.2. leaseholders on special-purpose berths with fixed bulk/liquid bulk infrastructure and equipment, provided that notification of at least 72 hours prior to vessel arrival has been given to the Berth Planners; 22.214.171.124.3. any amendments to the above notifications will result in a new notification being allocated, thereby forfeiting the original one. Notifications and amendments thereof must be in writing; 126.96.36.199.4. exception with regard to notification of arrival times will be 48 hours in the case of Agriport. 15.2.4. Berth Issues 188.8.131.52. Berths 184.108.40.206.1. Berth will be designated by large numbers as opposed to both numbers, possibly reducing them from the current 15 berths to approximately 9 future berths. 220.127.116.11.2. There will be no lay-by berths in Maydon Wharf. Exceptions can be made in the case where berths are vacant and shifting or removal of the vessel will be at owners' risk and expense. 15.2.5. Dedicated Berths 18.104.22.168. No leaseholder will be granted dedicated berthing rights and TNPA will retain control over all berths. 22.214.171.124. Approximately 30 metres from the quay wall landward will no land be leased to any leaseholder. 15.2.6. Compatibility 126.96.36.199. Compatible commodities will be handled within the same cluster to relieve contamination and to regulate product handling within clusters. TNPA will reserve the right to allocate vessels to a berth in such a way, as not to interfere with operations in the adjoining berth(s), implying that vessel handling incompatible cargo will not be handled simultaneously and adjacent to each other. 188.8.131.52. In the event of a cluster not being able to handle the product will lease conditions prohibiting the cluster from handling of product, TNPA will reserve the right to assign additional handling rights to an alternative cluster to relieve any congestion that may result. 15.2.7. Stakeholders 184.108.40.206. Berth Planner (Harbour Master) 15.2.8. Integrated Berth Planner 16. Durban Terminals incorporating: 16.1. Maydon Wharf Agri Ro-Ro Terminal, Port of Durban 16.1.1. Applicability of Clause 11 Clause 15 above applies only in respect of the terminals situated at Maydon Wharf, Port of Durban. In the event of a conflict between clause 15 and clauses 16.1 and 16.2, the provisions of clause 15 enjoy precedence to the extent that they deal with matters in the exclusive domain of the TNPA, while the provisions of clauses 16.1 and 16.2 enjoy precedence to the extent that they deal with matters in the exclusive domain of TPT. 16.1.2. Operating hours and shift times (Agri Ro-Ro) 16.1.3. Conditions applicable to Planned Vessels 220.127.116.11. Phase II's are held on Mondays to Thursdays and by exception on Fridays but only by prior arrangement. It is the responsibility of the Customer/ representative to request and arrange Friday meetings. 18.104.22.168. In respect of vessels working on any Public Holiday, the Phase II must be held not less than forty eight (48) hours, or such other time as may be agreed before cargo working commences. 22.214.171.124. Should the vessel experience any engine problems on route to a Terminal, this must be notified to TPT prior to the Phase II. Should the vessel wish to conduct any repairs while on the berth, permission must be obtained from TNPA and TPT in writing by the submission of an Immobilization form. 126.96.36.199. All vessels working a combination of leasehold and TPT cargo at any berth from MWT 1 to 15 must ensure that a Phase II meeting is held prior to the vessels arrival. Such vessel must ensure that adequate planning is effected before the vessel takes up its berth in order to avoid the simultaneous working of TPT and leasehold cargo in any one hatch. "Adequate Planning" means that the vessel's representative must ensure that either one parties' cargo is worked to completion, before commencement of working another party's cargo in the same hatch. 16.1.4. Vessel Nominations 188.8.131.52. All cargo tonnages declared as cargo to be worked by TPT on a firm 5 day ID100 will be binding and charged for in full, notwithstanding that not all, or none of such cargo may be worked. 184.108.40.206. Should the cargo as nominated and split between TPT and a leasehold operator change from the time of the firm ETA, TPT at its sole discretion reserves the right to reschedule the vessel. 220.127.116.11. All hazardous break-bulk, bulk cargo and containers must be declared on the ID 100 and will be handled as per the Port approved hazardous handling procedures. 16.1.5. General Operational Conditions 18.104.22.168. Imported and exported vehicles will not be driven by TPT's personnel. Vehicles will be inspected, tallied and accounted for by TPT only once the vehicles have reached the TPT dedicated staging area. 22.214.171.124. The landing/shipping of any abnormal cargo at MWT, requires the written authority of the TNPA. 126.96.36.199. Vessels & stevedores must ensure that all vessels' gear complies with the relevant technical and safety laws and standards and must have the relevant test certificates and authorisations for these available for inspection. 188.8.131.52. TPT will not commence working general cargo on Saturdays, Sundays or public holidays where the cargo volume is less than five hundred (500) metric tons per twelve (12) hour shift, or in the case of ISO containers, is less than seventy (70) containers per twelve (12) hour shift. Alternative arrangements may be made for such cargo working, in the sole discretion of TPT and provided a written request is made and agreed to in writing. Overtime charges for such cargo working will be payable to TPT. 184.108.40.206. Where delays in cargo working by a leasehold operator result in TPT having to work cargo on a weekend or public holiday and where such working was not originally planned, any/or all additional costs of the resources required for cargo working not originally planned for such weekend or public holiday will be for the account of the vessel/representative. 220.127.116.11. Should a vessel choose to work outside the demarcated MWT area, conveyance charges and any related consequential costs will be for the account of the vessel/representatives. 18.104.22.168. Where a vessel nominates a berth situated within the TPT terminal for working cargo, other than cargo stored or handled or otherwise serviced by TPT, a special request by such vessel must be made in writing to TPT to provide security personnel to open the security gates to allow road access through the TPT terminal. 22.214.171.124. All vessels which intend to work leasehold cargo and which nominate a berth adjacent to the area adjoining the Maydon Wharf TPT terminal must advise the CPO of such nomination in order to facilitate the scheduling of other vessel calls. Failure to do so may lead to a berth being double booked with resultant vessel delays for which TPT accepts no responsibility or liability. 126.96.36.199. Any vessel calling at a Maydon Wharf TPT berth, whether to work leasehold or TPT cargo, must attend a Phase II for proper planning and berth rotation. 16.2. Durban Agricultural Terminal Maydon Wharf 16.2.1. The facility at this Terminal is designed to accommodate agricultural bulk products. 188.8.131.52. The handling of import/export cargo through this Terminal is based on operational requirements at the sole discretion of TPT and requires that storage space be booked in advance with TPT or its representative and the requirements for such booking processes are available directly from the terminal. 184.108.40.206. The slot will be determined by TPT with the forecast provided by Customers in advance and allocations will be made on a rotational basis notwithstanding all other conditions as required in these TOGs taking into consideration factors such as but not limited to berthing window, stockpile readiness, train scheduling, berth maintenance periods and Throughput contract. 16.2.2. Shipping/intake figure For Agricultural Products: 220.127.116.11. The Terminal will weigh all agricultural products to or from vessels on its shipping and intake scales or in the absence thereof via a draft survey. When AMV tippers are used as a method of discharge then the road weighbridge will be utilised to ascertain the weights. These tonnages are used for billing/invoicing purposes as well on reports submitted to third parties (e.g. South African Grain Information service.) 16.3. Ro-Ro Automotive Terminal: Port of Durban 16.3.1. Operating hours and shift times 16.3.2. Phase I nomination 18.104.22.168. At the time of nomination the vessel or representative must provide the port rotation of cargo, weight of cargo and any IMCO class cargo details. 22.214.171.124. All vessels nominated as required herein must provide a daily update from and including day fourteen (14) from ETA, the purpose of which is to enhance stack predictability. 126.96.36.199. The berth will be firmed using a five (5) day firm nomination update. 188.8.131.52. Nominations may be submitted up to 60 days from ETA. 184.108.40.206. Should vessels compete for the same berth and arrive at outer anchorage as contemplated in clause 2.1.10, the following matters will be considered when assigning priority: 220.127.116.11.1. in consultation with the lines, which vessel should be given priority based on suitable berth availability, cargo availability, terminal capacity, vessel working hours and any other information deemed relevant. 18.104.22.168.2. Should no agreement arise pursuant to clause 22.214.171.124.1 the vessel with first NOR (arrival time) as recorded by Port Control - TNPA will be given priority, where both vessels are deemed to be unplanned. 126.96.36.199.3. During the validity period of this guideline and until further notice, TPT are in process of executing expansion activities at the Durban Container Terminal, and a strategy is in place to divert certain Container Lines to the Durban Ro-Ro (DRT) terminal and in particular to "D" berth. The container vessels so designated for diversion are nominated under the Container Terminal Operating Guidelines and as such will from time to time be incorporated on the DRT bar Chart by TPT. 16.3.3. Phase II Planning 188.8.131.52. Phase II's will be held in accordance with the following guidelines and the information set out below must be sent to the CPO prior to the Phase II: 184.108.40.206.1. The Ro-Ro Terminal Provisional Phase II Document must be submitted to the Ro-Ro CPO during office hours, five (5) days prior to arrival. 220.127.116.11.2. A provisional booking list, detailing all cargo, including any High, Heavy and/or static units must be supplied five (5) days prior to vessel arrival. Such booking list must be updated on a daily basis. 18.104.22.168.3. The discharge sequence of cargo and manifests must be supplied to the CPO three (3) working days prior to the vessel's arrival. 22.214.171.124.4. A Pre-load plan / load sequence plan must be supplied together with the Phase I (5 day firm nomination). A final Pre-load plan / load sequence Plan must be supplied 24 hours prior to the Phase II. 126.96.36.199.5. Phase II's will be held on Monday – Friday at 14h00, on the day prior to the vessel's arrival. Should a vessel plan to arrive on a Sunday or Monday, the Phase II meeting will be held on the preceding Friday using provisional figures, with final figures being confirmed and electronically mailed to attendees at an agreed upon scheduled cut-off time for this information. 188.8.131.52.6. Phase II's will not be held on 1 May, 25 December and 1 January of each year, or on any Saturdays or Sundays. 184.108.40.206. At the Phase II, the following matters will be discussed and recorded in the Phase II minute and all previous information and documentation supplied must be updated accordingly: 220.127.116.11.1. The confirmed berth allocation; 18.104.22.168.2. Cargo volumes cleared for discharging and loading including the following information as supplied by the Line: 22.214.171.124.3. The number of new units; 126.96.36.199.4. The number of second hand units; 188.8.131.52.5. The number of High & Heavy units; 184.108.40.206.6. The number of Static pieces/packages onboard; 220.127.116.11.7. The number of "Mafi" trailers for discharge or loading inclusive of marks/prefixes for "Mafi's"/bolsters being loaded, as well as details of any "Mafi" trailers that may need to be shifted between the berths or used as service trailers; 18.104.22.168.8. The number of units of transhipment cargo to be loaded/ discharged; 22.214.171.124.9. The number of Re-stow units, both direct and indirect together with the commencement time and duration of the operation. Failure to disclose this information will impact negatively on planning, giving rise to unproductive cargo working which will result in the vessel having to be re-planned; 126.96.36.199.10. Details of any specialized cargo as well as handling requirements for that cargo; 188.8.131.52.11. The prevailing available Ro-Ro Terminal capacity as well as any prevailing constraints must be highlighted; 184.108.40.206.12. The Terminal will supply a bay plan indicating where the Import / Export units are to be planned and placed in the terminal. Export units must be identified by make, model, Port of Discharge and if required, by final destination; 220.127.116.11.13. Updated Booking on exports and Manifest import lists must be supplied to the terminal; 18.104.22.168.14. Shipping and trans-shipping orders must be confirmed by TPT as processed and passed, and documentation which is identified as being required but which has not yet been received will be requested from the representative at the Phase II meeting for follow up by that representative; 22.214.171.124.15. Time on the berth must be agreed, including the estimated time for vessel cargo working commencement and completion. This must provide for sufficient time for the vessel to complete working; 126.96.36.199.16. The rate per hour for the discharge and loading operation must be planned, which will be dependent on the cargo mix and proximity to the pre-assembled cargo in relation to the allocated berth; 188.8.131.52.17. Where Export units are involved, the loading sequence must be agreed and planned accordingly; 184.108.40.206.18. The number of drivers, leadsman and flagmen (quayside/terminal) must be allocated by Durban Ro-Ro in conjunction with the Line for the discharge and load operations; 220.127.116.11.19. The number of lanes required must be determined and allocated according to availability; 18.104.22.168.20. All equipment requirements must be determined; 22.214.171.124.21. The Shift Roster inclusive of contact details must be determined and communicated; 126.96.36.199.22. The condition of cargo must be confirmed and recorded by both TPT and the vessel; 188.8.131.52.23. Only cargo which has valid shipping and/or transhipment orders in place will be included in the Export consignment list for export. 184.108.40.206. Berth allocation is subject to the following practices: 220.127.116.11.1. If there is any cross haulage of cargo, the costs for the cross haulage of High, Heavy and Static cargo is for the account of the party who requested that the vessel berth at a berth other one defined as a Durban Ro-Ro berth. 18.104.22.168.2. The Chief Logistics Manager (CLM) or his representative responsible for all planning activities may redeploy lanes and/or resources from an unproductive vessel in his/her sole discretion. 22.214.171.124. Cargo Availability 126.96.36.199.1. Import and export cargo will be planned in accordance with the terminal capacity so as not to impede any other planned vessel. 16.3.4. Transhipment Cargo 188.8.131.52. Durban Ro-Ro must be notified by the Pre-Carrier shipping line or its nominated representative of transhipment cargo, inclusive of type and dimensions, five (5) days prior to the original ETA of the vessel concerned. Lines carrying transhipment cargo to final destination must include the cargo details thereof on the booking list. 184.108.40.206. All nominated transhipment cargo must be confirmed by the shipping line or its nominated representative at the Phase II confirming the details of the Pre-Carrier as well as confirmation of the dimensions, type and other OnCarrier vessel details. 220.127.116.11. Based on where the trans-shipment cargo is stored, the planning department will take into account the berth allocation for the on-carrier. 18.104.22.168. Failure to comply with clauses 22.214.171.124 and 126.96.36.199 which results in cross haulage will render the party so failing liable for the cost of such cross haulage. TPT will in such instances declare cross haulage charges to be applicable and notify both the pre-carrier and on-carrier by e-mail of the declared condition of cross haulage and seek confirmation as to which line is responsible for these charges. 188.8.131.52. Transhipment Cargo being discharged at the Durban Ro-Ro terminal must be clearly marked by the pre-carrier as transhipment cargo. Such marks must include the final destination and on-carrier details. Failure to comply with this provision may result in cargo being refused and/or cross haulage charges being raised in respect of static cargo. 16.3.5. Ro-Ro Terminal General Operational Practices & Information 184.108.40.206.1. Resource allocation will be in accordance with that agreed and recorded in respect of the Phase II document. 220.127.116.11.2. Vessel delays (and performance), recorded per lane, will be measured to obtain a net result of the terminal/vessel performance. The object is to identify and reduce all avoidable delays and to plan for improvement and such plans must be discussed at Phase IV. 18.104.22.168.3. Daily Ramp Meetings and shift handover meetings (Phase III) must be conducted. 22.214.171.124.4. A Phase IV Meeting must be held. 126.96.36.199.5. A compulsory AMV booking procedure is in effect and this procedure is available from the terminal. 16.3.6. Post Cargo Working Reports 188.8.131.52. An outturn report must be completed within six (6) hours of completion of a vessel for all exports. 184.108.40.206. In respect of imports, a provisional report must be provided within seven (7) days of completion of vessel working and a final report after any cargo found to be un-cleared is disposed of to the State's Warehouse. 220.127.116.11. A damage report of cargo identified as damaged must be completed within 6 hours of completion of vessel working. 18.104.22.168. After seven (7) days, the vessel's representative must be issued with an uncleared Cargo Report, by way of a receipt advising them of all un-cleared cargo. 22.214.171.124. A short shipment report of cargo short shipped must be completed within six (6) hours of completion of the vessel working. 126.96.36.199. On vessel completion, TPT must submit to the vessel/representative an exception report detailing the units in dispute. The units reflected on the report to include discrepant and/or over and or short landed cargo. 188.8.131.52. Within three (3) days, the vessel's representative must be issued with a receipt advising him/her of over-landed cargo. 16.3.7. Combined Export Documents 184.108.40.206. Four (4) copies of the Export Outturn Report (EOR) are produced. Once the document is signed and stamped by TPT and the vessels representative, copies must be held by TPT, the vessel's representative and the vessel's tally representative. 16.3.8. Terminal Resources 220.127.116.11. Durban Ro-Ro has a maximum of nine (9) lanes allocated for vessel loading and off-loading situated at the three (3) Durban Ro-Ro berths. 18.104.22.168. The normal maximum allocation of lanes to work a particular vessel at any given time of loading or discharge is three (3). Where a vessel requests more than three (3) lanes, such vessel may receive more lanes provided this does not impact on the working of other vessels and is also dependent on resource availability. Any requests for additional lanes must be made in writing twenty four (24) hours prior to the Phase II. 16.3.9. Stand-by charges 22.214.171.124. Should, during any weekend, working lanes allocated to the next shift be cancelled less than two (2) hours before the end of a shift, stand-by charges, of a minimum of eight (8) hours over weekends and a minimum of four (4) hours for the following weekday, will be raised. 126.96.36.199. If resources are utilized for four (4) hours or more, no stand-by charges will be applicable. 188.8.131.52. If booked lanes are required to stand-by longer than the first four (4) hours of a shift as a result of weather sensitive cargo being worked or vessel's default, then stand-by charges will be raised. 184.108.40.206. All work / services provided over and above those planned in the Phase II will be charged for by way of a Miscellaneous Service Note (MSN). The service type will be specified on the invoice as issued for such service. 220.127.116.11. Verbal requests for changes, notifications, amendments and the like communicated to a nominated TPT supervisor by the vessel or its agent will be valid only if confirmed in writing. Failure to comply with this requirement will result in such communications not being acted upon. 18.104.22.168. TPT is not liable under any circumstances for vessel demurrage and accepts no risk, liability and/or responsibility pertaining to "mafi" trailers being cleared from the terminal onto any vessels calling at the terminal. Mafi trailers cannot leave the terminal for any reason whatsoever without a written and signed release letter from the relevant shipping line or their representative. 22.214.171.124. Mafi trailers left in the terminal may not be used by any other line and/or stevedore without the explicit written permission of the owner of the trailer concerned, with a copy of such permission being provided to all concerned. 126.96.36.199. Empty "mafi" trailers stored at Durban Ro-Ro must be removed from the terminal within ten (10) days of discharge from vessel. Should the Line concerned not have a vessel to load "mafi" trailers such Line can agree a time period with the terminal to have such trailers stored until a vessel becomes available. In such event, all movement and storage costs will be for the Line's account. The number of "mafi" trailers that can be stored is subject to available stack capacity and must be pre-arranged between the Line and TPT at the Phase II, and this clause is not to be interpreted as placing any obligation on TPT to agree to such storage. 188.8.131.52. This document supersedes all previous communication on berthing and vessel working at Durban Ro-Ro. 17. Richards Bay Terminals incorporating: 17.1. Ro-Ro, Break-bulk and Agricultural Terminal 17.1.1. Operating Hours and shift times 184.108.40.206. Mondays to Fridays: 220.127.116.11. Morning: 06.00 to 14.00 18.104.22.168. Afternoon: 14.00 to 22.00 22.214.171.124. Night: 22.00 to 06.00 126.96.36.199. Saturdays, Sundays and Public Holidays: 188.8.131.52. Day: 06.00 to 18.00 184.108.40.206. Night 18.00 to 06.00 17.1.2. Where a vessel is scheduled to commence cargo working on a weekend or public holiday after 12h00 midday, the vessel will only be planned to commence at 18h00. However, if the vessel insists on commencing cargo working earlier and is prepared to have the shift on standby from 06h00 and this is agreed to in writing, then standby charges will be applicable from the commencement of the 06h00 shift. 17.1.3. Terminal Cargo and Berth Allocation Planning: 220.127.116.11. The Richards Bay Bulk Terminal incorporates the original bulk appliance series of berths (berths 801, 804, and 701 to 705 and berth 609) and the Multi-purpose six and seven Series berths (berths 606 to 608 and berths 706 to 708 respectively). The bulk appliance series of berths, being a specialized bulk facility, will remain a premium series of berths for bulk cargo working on a first planned, first served basis. Without assigning preferential berthing, at the Agri Ro-Ro six and seven series of berths, cargo is planned and pre-assembled for a specific series of berths, be it liner cargo or non-liner cargo. Vessels or lines must call at the series of berths where they traditionally have called in the past in order to expedite vessel and Terminal Operating Guidelines: Version 6 – Transnet Port Terminals Ro-Ro, Break-bulk, Bulk and Agricultural Terminals: 1 April 2016 TRANSNET PORT TERMINALS, An OPERATING DIVISION OF TRANSNET SOC LIMITED cargo turnaround and to eliminate the need for time consuming cargo conveyance between series. 18.104.22.168. Conveyance of cargo between berth series will be allowed at the discretion of TPT as the exception and as a means to keep berths operational during times of possible congestion, provided it does not impede on the planned productivity of other scheduled or planned vessels. In such instance no charges will apply. However, the remainder of the criteria of clause 2.9.5 for ring fenced cargo will apply. 22.214.171.124. Conveyance of cargoes will be dependent on safety, equipment availability and cargo type and as such no abnormal cargo will be conveyed. 126.96.36.199. All vessels calling at the Ro-Ro, Break-bulk and Agricultural Terminal for the purposes of working cargo via skips must as a minimum have twenty five (25) ton SWL cranes. Where one or more of the vessel's cranes falls below twenty five (25) tons SWL and/or proves to be incapable of handling the cargo, and the TPT norms are not attainable, then TPT may raise a surcharge based on decreased productivity or refuse the working of such a vessel. 188.8.131.52. Where a vessel has less than the minimum required SWL cranes and TPT choses to work that vessel, then if the planned net norm of the vessel is achieved in accordance with the TPT norm, TPT and the Customer will agree between themselves to waiver any surcharge which would normally apply. 17.2. Mineral Bulk Terminal (MBT): Port of Richards Bay 17.2.1. Operating hours and shift times 184.108.40.206. The terminal will operate on a twenty four (24) hour system Mondays to Fridays including those public holidays not defined as mandatory public holidays in clause 1.1.37 above. 220.127.116.11. The period of closure for National Workers Day (1 May) will be from 06h00 until 06h00 the following day, and for Christmas and New Year the period of closure will be from 14h00 on the previous day up until 06h00 on the day following the holiday. 18.104.22.168. Weekend operational working hours are between 22h00 on the Friday and 06h00 on the Monday, both inclusive. 17.2.2. Nomination firming 22.214.171.124. The Bulk Berths (berths 801, 804, and 701 to 705 and berth 609) will be scheduled upon receipt of the ID 100, but will only be firmed by TPT, using the updated ETA confirmation received from the vessel or representative, within three (3) days of ETA, with an accurate ETA of within twelve (12) hours. Should the final ETA change by more than twelve (12) hours later than the original firm ETA, the vessel will be re-scheduled at the discretion of TPT to an alternative window, either at the same berth or to follow on if the berth was still occupied or at the next suitable and available berth, provided that no scheduled or planned vessel is prejudiced thereby. In this instance, the default period will be a three (3) day firm period. 126.96.36.199. Where a vessel in a single port stay calls at both the Bulk and Ro-Ro, Break-bulk and Agricultural berths, then the five day firm nomination rule as per clause 2.1.9 will apply. 188.8.131.52. Should a vessel having submitted a five (5) day firm nomination, elect to cancel its Ro-Ro, Break-bulk and Agricultural call and only call at the bulk terminal, then such vessel will be treated as an early arrival and will either be berthed if a window is available or it will be required to wait for its scheduled bulk slot. Such vessel will not be required to nominate afresh and will not be treated as an opportunistic call. 17.2.3. General Information 184.108.40.206. In order to maximise capacity utilization, MBT will further undertake additional cargo rationalisation exercises that involves the migration of suitable small bulk parcel cargo to the Ro-Ro, Break-bulk and Agricultural Terminal at Richards Bay. During the implementation of this exercise MBT will, as an interim measure until further notice but in its sole discretion, permit the handling of parcels smaller than the minimum sizes reflected in Clause 220.127.116.11 below for both import & export cargo at MBT. 18.104.22.168. The minimum export parcel that will be planned at MBT is ten thousand (10 000) Tons and deviations will be managed, in the sole discretion of TPT, on a case by case basis to suit clause 22.214.171.124 and until such time as further migration is implemented. All export vessels planned for berths 704/705 and 801 shall be required to nominate a minimum tonnage of thirty thousand tons (30 000) 126.96.36.199. The minimum import parcel that will be planned at MBT is fifteen thousand (15 000) Tons. 188.8.131.52. Where TPT has accurate calibrated cargo scales in place to measure bulk exports via its cargo conveyor belts, then only one (1) additional run will be permitted provided that such additional run is no less than two hundred (200) tons. In the absence of accepted scales, all additional cargo belt runs will be managed to meet the export order requirements. 184.108.40.206. Bulk vessels loading by means of the belt facilities must be able to handle a minimum loading rate of 1 000 tph except in instances where the cargo characteristics allow for a slower shipping norm. 220.127.116.11. Weather sensitive cargo: In instances where Customers are prepared to ship cargo during periods of light rain, a letter to this effect must be presented at the Phase II and not during the working of the vessel. Where no rain letter is presented at the Phase II, then any vessel affected by rain will be treated in accordance with clause 5.2 18.104.22.168. Where a rain letter has been presented and the Master of the vessel for reasons of rain is not prepared to open hatches or work cargo, then the letter will be deemed invalid and the vessel will be treated in accordance with clause 5.2 22.214.171.124. A vessel which is firm and planned, which arrives earlier or later than its ETA, will be planned to berth and work, but only for that period of time that the berth is available and provided the vessel, in all respects, remains stable to vacate the berth after completion of the parcel or parcels which are requiring completion before the vessel can be moved, provided that no other scheduled or planned vessel is prejudiced thereby. 17.2.4. Bulk berth nomination requirements 126.96.36.199. All vessels requiring to be scheduled at the bulk berths will be scheduled at the discretion of TPT to a suitable berth in order to achieve the best cargo throughput outcome to maximise berth usage must be read inconjucntion with 17.2.6. 188.8.131.52. The maximum export tonnage will be limited to berth restrictions and any deviations will be at the discretion of TPT. 17.2.5. Acid Vessels 184.108.40.206. In order to reflect a more equitable planning platform, all phosphoric acid vessels deemed TNPA businesses, requiring scheduling on the TPT Bar Chart, must in accordance with an agreement reached with the TNPA provide to the TNPA a minimum ID 100 nomination time of fourteen (14) days. Once the nomination is accepted, then in terms of the joint scheduling between the TNPA and TPT, the vessel will be scheduled in the TPT line-up of all other scheduled vessels. Such acid vessel may not impede a working vessel or any other normally nominated vessel. 220.127.116.11. For the purposes of planning, berths 609 and 608 have dedicated facilities for the discharge of phosphoric acid. In all instances berth 608 will be the priority berth in scheduling acid vessels while berth 609 will from time to time serve as a substitute berth as per normal nomination criteria. 17.2.6. Bulk Berth Scheduling 18.104.22.168. The table below is an indicator of the general order of sequencing that will be used by TPT in the allocation of berths for imports at MBT. All allocations and deviations will be managed in the sole discretion of TPT with due regard to maximum cargo throughput and berth utilisation. The indicative list should not be interpreted as a right by any vessel to claim seniority or right to the berth over another. Priority Berth 609 Berth 701 Berth 702 \| st 1 \| Acid Vessels as well as Alumina & Pet coke vessels \| Nominated bulk vessels other than those carrying coking coal as agreed to by CPO \| Nominated import bulk vessels carrying coking coal \| \| \|---\|---\|---\|---\|---\| \| nd 2 \| Opportunity Vessels agreed to by MBT CPO \| Nominated Vessels carrying coking coal \| \| Nominated import \| \| \| \| \| \| Vessels other than \| \| \| \| \| \| those carrying coking \| \| \| \| \| \| coal \| \| rd 3 \| \| Opportunity Vessels agreed to by MBT CPO \| Opportunity Vessels agreed to by MBT \| Opportunity Vessels \| \| \| \| \| \| agreed to by MBT \| 22.214.171.124. The table below is an indicator of the general order of sequencing that will be used by TPT in the allocation of berths for exports at MBT. 126.96.36.199. Furthermore it must be noted that construction upgrades underway at the chrome storage areas necessitates certain chrome ore exports being incorporated into the shipping mix for berth 801. Provided these chrome parcels constitute a minimum of fifteen thousand tons (15 000 tons) for drop stow not requiring separations, then such chrome parcels will be managed as scheduled for berth 801. All deviations will be managed at the sole discretion of TPT. 188.8.131.52. Bulk export vessels will be scheduled based on operational requirements in accordance with cargo compatibility where export bulk parcels are less than 10 000 tons in order to achieve the best cargo throughput outcome to maximise berth usage. Vessels that are clustered will retain their berthing seniority as per section 2 and in accordance with clause 184.108.40.206 to 220.127.116.11. \| \| Priority \| \| Berth 703 \| Berth 704/705 \| Berth 801 \| Berth 804 \| \|---\|---\|---\|---\|---\|---\|---\| \| st 1 \| st 1 \| All Coal vessels loaded ex Navitrade storage areain accordance with the Laycan slot scheduling stipulated in clause 17.2.7 \| All Coal vessels \| All Coal/Magnetite \| All \| Woodchips vessels \| \| \| \| \| loaded ex \| vessels with parcels \| Magnetite/Chrom \| and all suitable neo \| \| \| \| \| Navitrade storage \| greater than 30 000 \| e/ Coal vessels \| bulk vessels \| \| \| \| \| areain accordance \| tons; AND \| with parcels \| \| \| \| \| \| with the Laycan \| \| greater than \| \| \| \| \| \| slot scheduling \| Vessels with small \| 30 000 tons and \| \| \| \| \| \| stipulated in \| parcels less than \| vessels in \| \| \| \| \| \| clause 17.2.7 \| 10 000 tons based \| accordance with \| \| \| \| \| \| \| on operational \| clause 18.104.22.168 \| \| \| \| \| \| \| requirements \| above \| \| \| nd 2 \| \| \| Opportunity \| Opportunity Vessels \| Opportunity \| Opportunity \| \| \| \| \| Vessels agreed to \| agreed to by MBT \| Vessels agreed to \| Vessels agreed to \| \| \| \| \| by MBT CPO \| CPO \| by MBT CPO \| by MBT CPO \| 17.2.7. Laycan slot scheduling 22.214.171.124. The laycan berth scheduling will only apply to Coal vessels where cargo is reclaimed from the Richards Bay Terminal Grindrod (RBTG) Navitrade storage area and loaded via bulk appliance at berth 703. This is underpinned by a Throughput performance contract entered into by the shipper with TPT. 126.96.36.199. During the first week of each month the cargo owner/shipper must submit its shipping requirements for the next two months in monthly increments, details inclusive of but not limited to the amount and grade to be shipped, at which time CPO shall allocate the cargo owner/shipper a 7 (seven) day laycan per vessel indicated. Allocations will be made on a rotational basis notwithstanding all other conditions as required in these guidelines and Throughput contract capacity entitlement for the contracting period. 188.8.131.52. Within 30 days (days) of the nominated vessel being due in port per details provided in clause 184.108.40.206, the cargo owner/shipper concerned shall furnish CPO with its vessel nomination , which shall include details of: 220.127.116.11.1. Vessel's name and cargo/shipper details; 18.104.22.168.2. 22.214.171.124.3. GRT, NRT, LOA, Beam and Draft; Vessel's scheduled ETA; 126.96.36.199.4. Estimated export tonnage; 188.8.131.52.5. Cargo grade; and 184.108.40.206. At least 14 (fourteen) days prior to the ETA of the nominated vessel, but not before at 90% (ninety per centum) of the cargo to be loaded is on stockpile at the storage area, the cargo owner/shipper or its nominated agent concerned shall furnish CPO with its vessel nomination, which shall include: 220.127.116.11.1. Vessel's name and IMO number; 18.104.22.168.2. Vessel dimensions GRT, NRT, LOA, Beam and Draft; 22.214.171.124.3. Discharge port; 126.96.36.199.4. Vessel's scheduled ETA; 188.8.131.52.5. Last port of call and confirmation of departure or estimated time of departure; 184.108.40.206.6. Estimated export tonnage; 220.127.116.11.7. Vessel agent; 18.104.22.168. At least 10 (ten) days prior to the vessel ETA, the cargo owner/shipper shall provide CPO with a cargo loading plan, which shall include: 22.214.171.124.1. Loading sequence plan; 126.96.36.199.2. Allocation of holds for particular cargo; 188.8.131.52.3. De-ballasting requirements; 184.108.40.206.4. Arrival and departure drafts. 220.127.116.11. TPT reserves the right to request any other information that may be required for planning purposes and terminal efficiency. 18.104.22.168. The cargo owner/shipper is to keep CPO advised of the progress of the nominated vessel, including confirmation of the departure from the last port of call and submit further update reports before ETA: 22.214.171.124.1. 14 (fourteen) days; 10 (ten) days; 7 (seven) days; 3 (three) days; 48 (forty eight) hours; and 24 (twenty four) hours. 126.96.36.199.2. Failing which the nominated vessel may lose its berthing seniority. 188.8.131.52. The nominated vessel or their agents, but not before at 100% (one hundred per centum) of the cargo to be loaded is on stockpile at the storage area, are required to provide CPO as early as possible, but no later than 48 (forty eight) hours prior to the vessel ETA with final confirmation of the following information: 184.108.40.206.1. Final tonnage required to be loaded; 220.127.116.11.2. Final stowage plan and loading sequence; 18.104.22.168.3. Draft forward and aft on arrival and estimated sailing draft forward and aft; and 22.214.171.124.4. Anticipated de-ballasting time. 126.96.36.199. The cargo owner/shipper shall be entitled to substitute another vessel for the nominated vessel from time to time provided that: 188.8.131.52.1. Such vessel substitution is submitted to CPO for consideration and approval; and 184.108.40.206.2. the cargo owner/shipper gives the vessel name and all relevant details concerning it not less than 7 (seven) days before the ETA of the vessel. 220.127.116.11. If the cargo owner/shipper gives less than the requisite notice mentioned in 18.104.22.168 and such substitution will adversely affect the nominated vessels of other cargo owners/shippers, the substituted vessel may, at the discretion of TPT, forfeit its berthing and loading seniority position. In that event, the cargo owner/shipper shall be required to re-nominate the performing vessel in accordance with clause 22.214.171.124, provided that TPT may, in its sole discretion, permit the re-nominated vessel to berth and commence loading within the renomination period, subject to operational requirements and capacity of TPT. 126.96.36.199. Berthing slot allocation all shipping activities at the terminal and related storage areas will be scheduled by TPT and will be in accordance with these guidelines. 188.8.131.52. TPT will distribute a daily rolling 30 (thirty) day barchart. The barchart shall reflect slot allocation times for the loading of the nominated vessels in accordance with: 184.108.40.206.1. The cargo owner/shipper's allocated laycan/(s); 220.127.116.11.2. The capacity of the storage area and terminal; 18.104.22.168.3. The notices referred to in the section 2; 22.214.171.124.4. The ETA of the respective nominated vessels; and 126.96.36.199.5. Such other considerations as may be necessary to ensure the efficient and proper operation of the terminal. 188.8.131.52. A vessel with an earlier allocated laycan slot, ETA and NOR shall generally be senior to and be scheduled to commence loading before a vessel with a later allocated laycan slot and ETA. 184.108.40.206. In accordance with clause 220.127.116.11, TPT shall have the right to deviate from these guidelines in terms of order of loading, if in its discretion such deviation is warranted on any ground listed in clause 18.104.22.168 and TPT decision to the berthing of the nominated vessels shall be final. 22.214.171.124. Where a nominated vessel's ETA fall back it may, in the sole discretion of TPT, lose berthing seniority if it will significantly prejudice other nominated vessels or if operational efficiency will be adversely affected. 126.96.36.199. Nominated vessels that have complied with these guidelines may call at another terminal in the Port, provided that, if it is not available when called to the berth by TPT, it shall lose its berthing slot and shall take its place after the vessels waiting to load cargo on the day that it becomes available. 188.8.131.52. Increase in tonnage to be loaded beyond the nominated terms in terms of clause 2.3 without the prior written consent of the TPT, the loading of such additional tonnage will constitute a new nomination subject to a 14 (fourteen) day notice period, provided the barchart permits, it may in its sole discretion waive the 14 (fourteen) day notice period and permit the loading of the additional tonnage. 184.108.40.206. If a nominated vessel arrives in port and complies with all the terms and conditions of these Guidelines as a result of weather related difficulties, or a vessel is affected on berth by weather and delaying other nominated vessels, these delays is a risk of the cargo owner/shipper and TPT will not accept any responsibility or costs. 220.127.116.11. Should a junior nominated vessel tender its NOR and complies with the provisions of these Guidelines and a more senior vessel does not have at least 90% (ninety per centum) of cargo for loading on stockpile, the junior nominated vessel may be berthed ahead of the more senior nominated vessel. 18.104.22.168. The minimum tonnage per export consignment will be twenty five thousand (25 000) tons, and any maximum will be managed with due consideration for the limitations of the berth and will be in its sole discretion of the terminal. 18. Dispute resolution 18.1. Except as otherwise indicated, if any dispute arises between TPT and the Customer/ vessel (hereinafter referred to as "the parties") regarding the implementation and/ or interpretation of these TOGs (hereinafter referred to as "disputes"), the parties must attempt to resolve by negotiating such disputes in good faith. 18.2. If a dispute cannot be resolved by agreement between the parties, it must be referred to the CLM at the relevant Terminal who must make a ruling in respect of the dispute. If both parties accept such ruling, the dispute is at an end. Should the dispute not be resolved, the dispute must be escalated as provided for in clauses 18.3 and 18.4 below. 18.3. If the ruling made by the CLM is not accepted, the dispute must be referred to the Terminal Manager (TM) at the relevant Terminal, failing which the ruling of the CLM is binding on the parties. The TM, must make a ruling in respect of the dispute and should the parties accept such ruling, the dispute is at an end. Should the dispute not be resolved, the dispute must be escalated as provided for in clause 14.4 below. 18.4. If the ruling made by TM, is not accepted, the dispute must be referred to the GM: Commercial and Planning of TPT or their duly authorised representative, failing which the ruling of the TM, as the case may be, is final and binding on the parties. The GM: Commercial and Planning or their duly appointed representative must attempt to make a ruling fairly in light of the facts available and such ruling will be final and binding on the parties for the purpose of this clause 18, but only in the sense that it brings this informal dispute resolution procedure to an end and does not prejudice such rights as either party may have to engage the other in legal proceedings in respect of the subject-matter of such dispute. 18.5. The referral of any dispute to informal dispute resolution in terms of this clause does not relieve the Customer/ vessel from any liability for the due and punctual performance of its obligations under these TOGs and shall not derogate from TPT's rights and remedies under these TOGs.
IUSSP Seminar on "Poverty, Programs and Demographic Outcomes" Universidad Iberoamericana, Mexico City, Mexico 21-22 November 2003 Organized by the IUSSP Panel on Poverty and Population REPORT The IUSSP Committee on Poverty and Population held a seminar on "Poverty, Programs and Demographic Outcomes", hosted by the Department of Economics at Universidad Iberoamericana in Mexico City, November 21-22, 2003. Financial support for the seminar was provided by the UNFPA. There were 34 participants, including one supported by an IUSSP Junior Demographer travel award. The participants were a mix of economists, demographers and sociologists from Latin and Central America, North America and Asia, Africa and the Middle East. All career stages were represented, from senior researchers to PhD students. Fully half of the participants were women. The seminar had as its underlying theme the impact of social programs --broadly defined to include health, family planning, schooling and other programs -- on demographic outcomes, as mediated by poverty or factors underlying poverty. A major focus was on the differential impacts of social programs on demographic outcomes for the poor and non-poor. For example, better educated adults may make more effective use of maternal and child health programs. Or, conversely, immunization programs may have a larger effect on the survival of children in low-income households, who are less likely to become immunized without the program. A related issue that the seminar considered was the impact of social programs on the distribution of key demographic outcomes. Are disparities in these outcomes increased or decreased by such programs? The demographic outcomes covered included fertility, marriage, health and household composition. The programs of interest were ones that plausibly might have meaningful effects on these demographic outcomes. Naturally health and family planning programs were of central interest, but so too were schooling programs and feeding or food subsidy programs and even an urban land titling program. Among the types of programs that were examined were "conditional grants" or "targeted subsidies". These are programs that provide a payment or in-kind grant conditional on certain behavior, such as school attendance by children. The Progresa program in Mexico is one well-known example of such a program, and three out of the twelve papers focused on that program. Papers The program consisted of twelve papers. The full program is attached, and the papers are posted in pdf on the IUSSP website. During the two-day seminar, an hour was devoted to each paper: 30 minutes for the author(s) to present, 10 minutes for a discussant, and 20 minutes for general discussion. A paper by Behrman et al. examines the correlates of early childhood development (ECD) in the Philippines. The researchers have a very rich data base on many ECD outcomes, including several related to social and motor development, that are not usually incorporated in socio-economic data. This paper had available only a baseline cross-section, with additional rounds of data still to be collected. This paper makes the point that family background, particularly parental human and physical assets, are strongly positively associated with EDC outcomes, but that their influence is overstated when controls for community programs are not included. Interestingly, interactions between parental background variables (such as education, height or physical assets) and community-level program variables were found to be weak. Dow, Gonzales and Rosero-Bixby examine at the micro level (using census data) a major decline in child mortality in Costa Rica in the 1970s. They ask how much of this decline can be attributed to the large expansion in health insurance coverage -- from 46% to 74% of the population -- that occurred over the same time period. The researchers find that insurance expansion was significantly related to a reduction in child mortality, but the magnitude of the estimated effects are quite small, explaining less than 5 percent of the total mortality decline. An interaction between maternal schooling and insurance emerged, with insurance having a larger effect on child mortality among mothers with less schooling. Mother's schooling and good household sanitation are strongly associated with lowered child mortality. Huerta examines the impact of the Progresa health sub-program on child nutritional status (as indicated by child height, conditional on child age). To date there has been little exploration of the effect of Progresa on child health, although it is plausible that such effects exist. Huerta identifies some data-quality problems that qualify her results, which must be regarded as preliminary. But these early results do suggest a small effect of the Progresa program on child height. Two papers consider the impact of food, or food-related, programs on health outcomes. Yamano, Alderman and Christeansen examine the effects of receipt of food aid within the village on child growth (as indicated by height) in rural Ethiopia. The authors find that a village's receipt of food aid is associated with faster growth of children, holding several other factors constant and controlling for the possibility that villages receiving food aid are selective of villages with initial conditions of food shortage. Ethiopia has been among the largest recipients of food aid since the famine year in 1984/85, and yet child heights are among the most stunted in the world. Yamano et al's results are among the first to show an effect of food aid on child growth. A paper by Kochar examines the impact of the Indian food subsidy system in the late 1990s. At the time the Indian government was in the process of modifying their food distribution system, from one universally available to one that was targeted towards the poor. Kochar finds that the amounts of cereals actually distributed to the poor under the targeted system were small, and resulted in only a very small increase in per capita calories available to the poor. This is partly explained by low program participation, even among the eligible poor. Kochar hypothesizes that there is stigma associated with going to the ration shops, and hence if the value of the ration subsidy is low people are less likely to go. The value of the ration subsidy is low, for example, in cereal-growing states of India where market cereal prices are low. Indeed those are the states where participation rates of eligible households are low. Kochar also suspects that there were distribution problems in getting supplies of cereals to villages, but she does not have the necessary data to explore that possibility in depth. A paper by Todd and Wolpin uses data on Progresa to model program effects jointly on fertility and child schooling. One of their main objectives is to demonstrate how empiricallybased models can be employed, via simulation, to evaluate proposed changes in program design. The experimental design of Progresa permits a more rigorous validation of their estimation of program effects than is ordinarily the case. The authors use the baseline data to estimate a model of fertility and child schooling, and then use the experimental estimates of the schooling impact to validate their model. Having done this, the authors then conduct simulations of effects of various program modifications. They find that the conditional subsidies given under the Progresa program have a sizable effect on school attendance rates. This contrasts with a the simulated effects of a number of alternative policies, such as a policy that would prohibit children from working until age 16 or one that would just build schools in areas where they are scarce. The authors also explore ways in which the subsidy program could be improved, in particular by increasing the amounts given for attendance in secondary school and reducing the amounts given for attendance in primary school, which most children are likely to complete in any case. The authors find very little in terms of fertility impact. A third paper on the Progresa program by Teruel and Rubalcava examines whether the program affects household composition, i.e. whether it provides incentives for people to move in or out of households. One hypothesis, for example, is that the program induces children who would be eligible for the payments to move into eligible households in villages where the program is operating. Early results show that there is a small impact of the program in retaining individuals with little schooling, i.e. reducing outmigration. Two papers by Angeles, Guilkey and Mroz and by Sinha assess the effect of family planning programs on fertility in Indonesia and Bangladesh, respectively. The Angeles et al. paper finds little impact of maternal schooling after modeling unobserved dimensions of the mother's background, but does find substantial family planning program effects. Using survey data from the late 1990s, the Sinha paper revisits the intensive program of doorstep family planning services offered in Matlab that have been the subject of previous analyses in the 1980s and early 1990s. Sinha finds a fertility reduction of 13% in program villages compared to non-program villages (which received the government's standard program). This program effect is weakerfor women with more schooling. She does not find any family planning program effect on child school enrollments, but does find a positive impact of the program on the labor force participation of boys (but not for girls). Exploring the reasons for this somewhat surprising impact on boys' labor force participation rates remains for future work. The program contained a second paper on Bangladesh by Arends-Kuenning and Amin that explores whether strong programs to encourage school enrollments affect age at first marriage of girls. The data were collected in a rural area where age at first marriage is relatively young. The data show that girls from poor families marry later than girls from wealthier families. This research is at an early stage and will be pursued much further with the authors' mix of survey data and qualitative interview materials. Two other papers consider whether programs that were not designed or intended to affect fertility nevertheless had a fertility impact. Field examines an urban land titling program in Peru and finds a substantial short-term negative effect on fertility (larger effects than attributed to the intensive family planning services in Matlab, for example).. The titles were given to women, and Field's analysis suggests that the fertility effect may have been due in large part to shifts in intra-household bargaining to the benefit of the women who received titles. Another explanation for the large effect would be reduced credit market constraints for those receiving titles, reducing the old-age support rationale for having children. One possibility, which Field is unable to explore due to data limitations, is that the fertility impact consists mainly of postponement of births, not a decline in the eventual number of births per woman. This would make the large magnitude of the fertility impact more understandable. In contrast to Field's analysis in Peru, Rios-Neto and Oliveira do not find fertility effects of a labor market training program in the state of Minas Gerais, Brazil (Planfor). Like Progresa in Mexico, participation in Planfor in Minas Gerais was allocated randomly (in this instance through the selection from the larger number of applicants than slots). The authors conclude that Planfor had a positive impact on training, but not on demographic outcomes. As is evident from this summary, the twelve papers presented in Mexico City collectively demonstrate the need for rigorous research that evaluates program impact. Program impact is often confounded with the impact of other variables, necessitating strong (and sometimes creative) research designs. Intended effects of programs sometimes do not materialize and frequently are of a different magnitude than expected. And unintended effects on demographic processes – fertility, mortality, and migration – are occasionally observed. As the demographic research community gives far more attention to linkages between population and poverty, the role of social programs must be a central concern.
July 19, 2020 Board of Directors, Volunteer Leaders, and Staff American Veterinary Medical Association 1931 North Meacham Road, Suite 100 Schaumburg, IL 60173-4360 A Call to Address Systemic Racism in Veterinary Medicine The most recent acts of violence against Black women, men, and non-gender binary individuals in the US have brought the country to a tipping point. Aided in part by the standstill afforded by the worldwide SARS-COV-2 pandemic, the many forms in which systemic racism manifests itself in our society are being laid bare for all to see. Various sectors are forced to face their own long-standing cultures and practices which have perpetuated systemic racism among their membership—and veterinary medicine is no exception. The Civil Rights Act of 1964 which outlawed discrimination based on race, color, religion, sex, or national origin in the workforce, followed by Title IX of the Education Amendments of 1972 which outlawed discrimination based on sex in the education system, set the stage for a remarkable rise in White women in veterinary medicine. Considering the success of White women in a profession previously dominated by White men until the mid-1980s, the stubbornly slow, and at times entirely lacking, rise in Black, Indigenous, and People of Color (BIPOC) population in veterinary medicine and its leadership, sends a sobering message as to who the veterinary profession represents. Veterinary medicine's ongoing lack of diversity, equity, and inclusivity, has been discussed ad nauseum over the last few decades, drawing much attention well beyond the field itself. Today, the problem is long past recognition and, as a result, the letter will not dwell on a fact well understood by the majority of the profession. Instead, we write this letter as a call to action, to underscore the necessity for the leaders in this profession to act swiftly and effectively to remedy these problems. By way of this call to action, we believe it is necessary to recognize important events in recent veterinary history regarding diversity, equity, and inclusion (DEI). In 2011, then AVMA President, Dr. Larry M. Kornegay published a commentary in JAVMA making the "business case for diversity and inclusion" in veterinary practice. Nearly a decade later, the profession remains, in many ways, reluctant to take the lead. Additionally, it has been 14 years since the release of the report and recommendations of the 2005-2006 AVMA Diversity Task Force. Yet veterinary professionals and students are still echoing many of the same concerns, such as lack of representation in leadership and the profession as a whole. It is also worth noting that two out of three of the Diversity Task Force recommendations were never implemented. In addition, the AVMA 20/20 Vision Commission noted in their 2011 report that the AVMA would remain the nation's leader in advancing veterinary medicine, in part, by "contributing to the growth and health of the veterinary profession, including ensuring that membership in the profession reflects the full spectrum of Americans" as well as "functioning in a manner that promotes high trust, broad participation, and commitment among its diverse membership and other key stakeholders." The Commission also identified 11 key dimensions in which the AVMA needed to transform by year 2020 including: * "Reflected the changing demographic, ethnic and generational differences of society and actively engaged more women in leadership roles; * Governed, operated and made decisions and policies in a transparent, inclusive, and more democratized manner; * Created a special culture that is collaborative, customer-focused, forward-leaning, innovative, nimble, and inclusive" To date, the AVMA has yet to deliver on these actionables. Two different AVMA positions were created since the Diversity Task Force report: the Associate Director for International and Diversity Initiatives in 2012, followed by the Director of Wellbeing, Inclusion and Diversity Initiatives position in 2017. The positions have two things in common, both have "diversity" in their title, yet neither has DEI as a primary focus. Both positions have put in a lot of hard work and dedication into various initiatives over the years on DEI; however, the persistence of ongoing challenges in the profession suggest that this may not be enough, and a restrategization is warranted. History has shown us that DEI can no longer be paired with other important initiatives by design or it will be eclipsed. A 20% or 50% focus on DEI in a given position is simply not enough to create transformational change in our profession. Additionally, the embedding of DEI within wellbeing initiatives has led to serious inconsistencies in efforts. In a clear example, the 2017 AVMA Annual Report lists the word "diversity" 20 times, while the word "diversity" did not appear once in the 2018 Annual Report. With the advent of technology, the world has been changing rapidly. Some of the most pressing issues of our time such as climate change and disease spread have proved to be extremely challenging to resolve and require extensive collaboration between people and organizations worldwide. Veterinary medicine has always been at the forefront of the One Health Initiative, yet by remaining so homogenous, it has categorically failed in ensuring that its professionals are culturally competent and ready to tackle these global challenges. More importantly, addressing the lack of DEI in veterinary medicine is more than an effort to give our profession an invaluable edge, it is the right thing to do. Systemic racism needs no conductor, and if we do not actively work to remove the barriers in place preventing BIPOC individuals from being part of this profession, we are actively aiding this antiquated system. The process will not be easy, as past initiatives have shown, nor will it be quick. We call for sustained efforts to help our profession truly be open to all who seek it. In order to achieve this, your veterinary diversity organizations and their allies strongly urge the AVMA to implement the actions attached. Diversity, Equity, and Inclusion Recommendations for the AVMA * Self-Assessment – Understanding where the organization currently stands in relation to diversity, equity, and inclusion. - Perform preliminary internal audit of the association as a whole, by using AAVMC's Intentional Organization Diversity & Inclusion Efforts Assessment Tool https://bit.ly/3gHeTTw - Perform preliminary assessment of the association's event planning protocol by using AAVMC's Conference/Symposia Diversity & Inclusion Assessment Tool https://bit.ly/2DsvrAF * Accessibility – Ensure equitable process for all members, including BIPOC members, to join and grow within AVMA Leadership. - Reduce the duration of terms to allow more flexibility for junior members to rise up the ranks. Current term lengths create barriers to participation as today's veterinarians are more likely to relocate and less likely to become practice owners. . ■ Reduce the duration of committee and council terms from three (3) years to two (2) years. ■ Reduce the Delegates and Alternate Delegates term from four (4) years to two (2) years. ■ Amend all positions which require a minimum of four (4) consecutive years as delegate for qualification, to two (2) years. ■ Qualifications to serve on the Board of Directors as District Director shall be available to individuals who have been voting members for at least five (5), instead of the current seven (7) consecutive years requirement. ■ Reduce the qualifications for President, President-Elect, and Vice President from at least ten (10) consecutive years, to a minimum of five (5) consecutive years. - Continue to provide remote participation option for the majority of committee and board member meetings. - Audit and report current individual state veterinary medical associations (VMAs) and allied organization requirements for officer or state delegate nominations and appointments. - Amend current requirements for establishing Constituent Allied Veterinary Organizations within the AVMA House of Delegates to provide representation by BIPOC-focused organizations. - Review and revise, where necessary, current leadership development opportunities and programs at the local and national level to ensure they uphold each program's original intended goals. ■ Ensure that recruitment and selection processes are holistic. ■ Require implicit bias training for those involved in selecting program participants. - Widely promote all AVMA staff employment and volunteer leadership opportunities including nomination periods. * Accountability and Transparency – Implement processes for which AVMA will be held accountable in regard to diversity, equity, and inclusion initiatives. - Provide updates on diversity, equity, and inclusion initiatives in every Annual Report, and make information publicly available on the AVMA website. - Create and implement a system for reporting and tracking incidents of discrimination and harassment in the veterinary profession for veterinarians, staff, clients, and students. ■ Publish data periodically (preferably in the AVMA Annual Report) to identify areas of improvement. ■ Forward reports to the appropriate licensing board or institution for follow up. - Collect and regularly publish data regarding race and ethnicity of all veterinary organizations, including AVMA staff and volunteers. - Provide updated public access to the AVMA volunteer roster with their basic contact information and recent photograph. - Establish a regular (minimum annually) meeting between AVMA senior staff leadership, AVMA volunteer leadership and diversity, equity, and inclusion affinity organizational leadership to discuss progress made and challenges faced with respect to diversity, equity, and inclusion in the veterinary profession. Ideally, one meeting should coincide with AVMA convention. * Expanding Membership – Identify opportunities to create a more diverse, equitable, and inclusive membership. - Require the "gender" and "ethnicity" questions for all AVMA members while maintaining the "prefer not to answer" option. ■ Ensure that "gender" and "ethnicity" options are inclusive. - Use membership data to actively recruit and encourage BIPOC veterinarians and affiliates to join and actively participate in the organization. * Organizational Commitment – Ensure that AVMA and its leadership is culturally competent and acting in the best interests of all of its members. - Ensure that all newly elected, appointed, and hired AVMA volunteers and staff align with AVMA's commitment to diversity, equity, and inclusion and recognize that by joining the organization they are also committing to these values. ■ Current AVMA volunteers and staff should also commit to these values. - Thoroughly vet existing and potential AVMA sponsors and collaborators to confirm their values and actions relative to diversity, equity, and inclusion align with the Association. ■ Consider investing in new sponsors who uphold these values. - Revise the AVMA mission as defined in Article 1, Section 2 of the Bylaws to reflect a commitment to diversity, equity, and inclusion for its members. - Require, at minimum, annual diversity, equity, and inclusion training for new and continuing AVMA staff and volunteers. * Investment – Provide financial and structural commitments from the AVMA to improve the state of diversity, equity, and inclusion in veterinary medicine. - Establish a Diversity, Equity, and Inclusion Council with appropriate funding and staffing for lasting success. - Recruit and hire a Director of Diversity, Equity & Inclusion solely responsible for diversity, equity, and inclusion initiatives. The position should be filled by a qualified specialist with an educational background in diversity, equity, and inclusion leadership. This position should report directly to the AVMA Chief Executive Officer, and all reports of initiatives by the position shall be made available to the Board of Directors. ■ Director of Wellbeing, Inclusion and Diversity Initiatives position shall, as a result, be redesignated as Director of Wellbeing. - Provide dedicated funds for representatives of veterinary associations focused on race, ethnicity and culture to actively participate in AVMA's Veterinary Leadership Conference and other AVMA-sponsored events and programming. - Employ evidence-based practices in creating AVMA events (ie., continuing education) that are diverse and inclusive in content and presenters. - Develop and implement diversity, equity, and inclusion guidelines in the Committee on Veterinary Technician Education and Activities (CVTEA) Accreditation Policy and Procedures. - Invest in annual training of Council on Education (COE) and CVTEA site visitors, ensuring that diversity, equity, and inclusion content such as unconscious bias, is included. ■ Training should also assist site visitors in identifying deficiencies in diversity, equity, and inclusion with respect to accreditation standards. - Research and publish disparities in salary, practice ownership, career tracts, faculty positions, and similar features of the veterinary profession as it pertains to race, ethnicity, and other intersectionalities. Utilize the data to guide AVMA diversity, equity, and inclusion programming and initiatives. - Fund additional research to advance matters involving race and ethnicity within the veterinary profession, including barriers to care in underserved communities of color, racial/ethnic disparities in public health, barriers to entry into the profession, etc. * Outreach and Engagement – Advance lasting diversity, equity, and inclusion initiatives between veterinary partners at the AVMA, state VMAs, constituent allied veterinary organizations, academic institutions, veterinary practices and associates (all stakeholders). - Discontinue the promotion of diversity, equity, and inclusion as a subset of Wellbeing. ■ Ex: Advertise "Diversity and Inclusion in Veterinary Medicine" as a separate page under "Resources and Tools", and not under the "Wellbeing" tab. - Develop and promote diversity, equity, and inclusion tools and resources for practice management as in depth as the resources currently available for Wellbeing in the workplace. - Provide alternative language options on the AVMA website for non-English speakers, beginning with Spanish. - Review scholarship requirements to make them more accessible to students with significant financial needs. - Design recruitment programs targeting Historically Black Colleges and Universities. (HBCUs), Hispanic-Serving Institutions (HSIs), and Tribal Colleges and Universities (TCUs). - Create, fund and implement outreach mentorship programs aimed at opening the pipeline for individuals underrepresented in veterinary medicine (URVMs). - Provide dedicated resources, including funding, to support veterinarians and organizations seeking to provide mentorship and outreach to URVMs. We recognize that some of the actions listed above may not fall solely under the purview of the AVMA; however, we trust that the AVMA leadership will work in close partnership with veterinary organizations and institutions to implement the actionables. It is also our hope that these actionables will be shared widely and implemented by everyone in the veterinary community -- organizations, industry, businesses and academic institutions. This call to action was made possible thanks to the survey responses of nearly 400 anonymous contributors throughout the veterinary profession, as well as the work of many individuals and institutions preceding us who have dedicated their time, knowledge and resources to see change in our profession. Thank you for providing a space for us to voice our concerns and present our actionables. We hope that this effort is the beginning of transformational change within veterinary medicine, and we look forward to working together with the AVMA to move our profession forward. Respectfully, Association of Asian Veterinary Medical Professionals (AAVMP) BlackDVM Network Latinx Veterinary Medical Association (LVMA) Multicultural Veterinary Medical Association (MCVMA) National Association for Black Veterinarians (NABV) Native American Veterinary Association (NAVA) Pride Veterinary Medical Community (PrideVMC) Pride Student Veterinary Medical Community (PrideSVMC) Veterinarians as One for an Inclusive Community for Empowerment (VOICE) Women's Veterinary Leadership Development Initiative (WVLDI)
How to Make a Referral to Higher Ground Higher Ground welcomes self-referrals. Health, social and legal professionals wishing to make a referral to Higher Ground should note that our admission criteria require residents to be over 18 years and over, have a primary diagnosis of alcohol or other drug dependence, an interest in 12 Step recovery and a drug-free status on admission. Referrals or self referrals can be made by telephoning 09-834 0042 for a pre-admission assessment appointment on weekdays between 8.30am and 4.00pm. Assessments in detox facilities or hospital can be arranged. Applicants who have outstanding legal charges are considered on a case by case basis. If required, Higher Ground can organise a medical detox through referral to the Auckland Regional Alcohol and Drug Services. Making a Donation Higher Ground is a registered Charitable Trust. Donations over $5.00 are tax deductible and may be sent direct to Higher Ground. Higher Ground is dependent on charitable donations for the continuation of its programme. Higher Ground Trustees Janet Colby * Counsellor & Chairperson of the Trust Antonia Fisher QC • Barrister Fiona Howard * Psychologist Karl Robinson * Consultant & Hon. Trustee Marino Te Moana • Minister Paula Parsonage • Consultant Paul O'Sullivan * Company Director Shane Hussey * Chartered Accountant William Rainger * Public Health Physician Contact Details Address * 118 Beach Road, Te Atatu Peninsula Waitakere Auckland 0610 * PO Box 45 192 Te Atatu Peninsula Waitakere Auckland 0651 * office 09-834 0017 * after care 09-834 0076 * admissions 09-834 0042 * residents 09-834 3700 * 09-834 0018 Mail to Telephone Office fax I dabbled with jobs like fishing and freezing works but my world revolved around the opening hours of the chemist and growing dope. I had ample opportunities to turn my life around, but the usual consequences were not enough. I didn't respond to jail – it was a normal part of my family life. After my last prison sentence I met my now-partner and mother to our child. For two years I was slipping in and out of recovery, desperately trying to stay clean alone. Deep in my heart I knew that some brutal honesty and becoming humble was my only option. When I truly wanted to have a life to be part of, everything happened to get me there. Higher Ground was not like my previous six treatments. It offered the security and safety I needed along with support that was often delivered in disguise. The protocol, rules and structure I was used to, being institutionalised. Having had a lot of therapy since I was a child meant I needed an intensive environment with encouragement to reflect and process. I needed to be confronted with love and care. Higher Ground is an amazing place; I've never experienced anything like it. I knew people were genuinely there to help me, much as I disliked them at the time. They really pushed me, but gently. Personally the most significant part of the programme was the whanau group, which was the biggest challenge I have ever taken on. I identified as Maori but was riddled with shame and guilt. The shift I needed to make was strongly influenced by the interactions, processes and mahi of that group. Dad came to the family group, which is probably why our relationship is so good now, and my partner was also able to attend. To bring in people who meant a lot to me was another defining aspect of Higher Ground. Treatment was great for building foundations, discovering some identity and introducing me to a twelve-step program. Narcotics Anonymous was what broke the cycle for me. Making the transition into the community to lead a life with integrity always presented the real challenge. I was shown the way and that is how I live my life now, one day at a time. I go to twelve-step meetings because I need to be seen and to connect with other addicts. Addiction segregates, isolates and devours me when I give it my power and the antidote for that is connection, being heard, being accountable. I could never previously have imagined the life I have today, with a loving and stable home, partner and child. I maintain my recovery by participating in it, nothing spectacular, I turn up to meetings throughout the week and maintain contact with my sponsor, do twleve-step work and service. I do this all regardless of whether I'm in the mood or not because the addict in me can easily get some brilliant ideas that have a tendency to turn out not so good. I have so much love, gratitude and respect for everyone involved in Higher Ground. The attention to the individual and their needs is unprecedented in my opinion. It is a very special place where I feel safe at to this day. CHANGING LIVES Higher Ground's new hall has hosted several big events in the past few months. Judges and dignitaries were among 230 guests for a moving ceremony to honour the third Alcohol and Other Drugs Treatment Court graduations. "It was a great celebration of people getting well and finding recovery having come from a really difficult background," says Higher Ground's director Johnny Dow. "It was good to acknowledge the tremendous influence and success of the drug courts within the justice system, in changing attitudes and approaches to treatment of addiction." After powhiri and haka from the court's treatment service providers Higher Ground, Odyssey and the Salvation Army, graduates of the AODTC spoke about their journey. Honoured guests and other speakers included, Auckland Deputy Mayor Penny Hulse, Judge Lisa Tremewan, Judge Philippa Cunningham, Police Superintendent Wally Haumaha, Waterfront Auckland chair and former Waitakere Mayor Sir Bob Harvey and Lady Barbara Harvey, Dame June Mariu, Papa Wiremu Kora and Tipene Pickett from the community advisory group. We hope you have enjoyed this issue of the Higher Ground News. If you do not wish to remain on our mailing list, or are incorrectly listed, please write to HGDRT, PO Box 45 192, Te Atatu Peninsula, Waitakere, 0610. For further information about the Higher Ground rehabilitation programme phone Programme Director, Johnny Dow 09-834 0017 or fax 09-834 0018 email firstname.lastname@example.org www.higherground.org.nz NEWS 2015 • iSSUE # 58 WILDEST DREAMS AND BEYOND In addiction he was a big risk taker and would do anything he could to alter how he felt. Today he is two years drug-free and living a life he could never previously have imagined. Growing up, drug use was as normal as fish and chips on a Friday night. The dynamics of my family growing up were neither good nor bad considering where my parents had come from. " My mother was sixteen and Dad seventeen when they had me, both of them kids from difficult backgrounds searching for a sense of identity and running from their own pain. I don't know if I was born an addict, but looking back there were signs - my fear and self-doubt; I couldn't stand attention it was too much for me. Whether or not I had addictive tendencies, my environment certainly gave it a place it to develop. I am one of seven siblings Dad had with four different women. Mum only had three children with Dad - myself and my younger brother and sister. I was the oldest child until my older brother found us; he was adopted out at birth. There were other siblings to come into my life at various times. Life was chaotic to say the least. I was enrolled in seven different schools before leaving at fifteen, which gives an indication to how unsettled we were. I couldn't do well at school and escaped into fantasy. My grandparents were strong people, and there was a lot of love in our family so that has served me. Mum and Dad separated when I was seven and life leading up to this was not ideal. Dad was absent and unfaithful; both of them were self-medicating with pharmaceuticals (Mum for bi-polar disorder) alcohol and other drugs and involved in the criminal world. From my conception, because of their life, their behaviour and the environment, there was no understanding of accountability. My parents had a lot to say but they did what they wanted to, until there were consequences and then things bothered them. When I adopted their survival skills their reaction was plain confusing. My father and I sold each other drugs and hot gear, that's how we related, but we were always ripping each other off. Dad didn't know any different. Mum tried to connect on an emotional level but because of her moods and unpredictability it was pretty hard. As a consequence I never felt adequate growing up, always anxious and uncomfortable in my skin, very cautious and aware of how dangerous the world could be, and I became very distant and isolated. I desperately wanted to be part of what my parents and their mates were doing and to fit in. I started smoking cannabis when I was 11 and that same year tried alcohol. Accessibility wasn't an issue, finding mates to use drugs with was difficult. So I gravitated to older kids and spent a lot of time alone as I had loads of freedom and very few boundaries. From the moment I used alcohol and other drugs I found a sense of identity and self-importance. This was something I knew enough about to have a purpose. My goals then revolved around experimentation with substances, which was my calling. I left home at sixteen because of abuse and changes within the whanau. On my travels I discovered intravenous drugs, in particular opiates and opioids. They were made for me; they took away all my emotional pain. Nothing mattered apart from being able to avoid life on every level through substance abuse, disassociation, crime and whatever other means available. I would do anything I could do alter how I felt, and I was a big risk taker. I joined the underground and fringes of society: I wanted what I wanted and I got it regardless of the suffering of others or even of myself. I didn't care. For the next eighteen years I went through life thinking that jail, police, crime and debauchery were the norm. I had no concept of any other life and to be honest the thought of doing anything else was just as scary as not being able to stop. That's just a terrible place you can't enjoy. It didn't take long to lose any self-esteem and self-respect I had. I became a shell of a person full of false promise, deceit and deception while smiling at you, shaking your hand and saying thankyou. continued on back page THE BIGGER PICTURE Higher Ground residents joined staff for a day of professional presentations about therapeutic communities, addiction treatment and recovery. They attended Partnerships in Treatment, the annual conference of the Australasian Association of Therapeutic Communities, this year hosted by Odyssey (Auckland) Care NZ and Higher Ground. "The conference was a huge success in the way it brought people together culturally and therapeutically," says Higher Ground director Johnny Dow: "It was important to affirm our shared values and how our organisations work together." Therapeutic communities used evidencebased therapy, and the conference was a platform to share ideas and experience of what worked, he said. The conference started with site visits to Odyssey House and Higher Ground. It focused on the numerous partnerships that are part of providing a therapeutic community - including client, families and support networks – from health boards, justice and corrections departments to community agencies, bi-cultural and multicultural relationships. Higher Ground staff had the opportunity to hear keynote speaker Dr Ken Robinson from the United States, co-founder of Moral Reconation Therapy (MRT) an important treatment approach at Higher Ground. Residents and conference attendees watched the documentary Te Ara Wairua about Higher Ground counsellor Andre Matthews, from a TV series on Maori who changed their lives. They were inspired to hear about his journey from a life of crime and almost two decades in jails and detention to recovery and career. "For me, the documentary was about giving hope and encouragement to others who suffered from disconnection and loss," says Andre. He was one of three Higher Ground staff who spoke to the conference, along with Karen Blacklock and Anne Carroll. Researchers Simon Waigth presented on Higher Ground's Maori The conference also acknowledged Higher Ground counsellor James Kolose for more than 10 years service to a therapeutic community. James provides an excellent role model to Pacific Island clients. programme and how Maori navigate recovery, and Julian King presented on outcomes for Higher Ground clients who use methamphetamine. Maori programme director and tikanga advisor Rawiri Pene was awarded for his significant contribution to the therapeutic community movement in Australasia. His work developing Higher Ground's Maori programme was significant in propelling Higher Ground towards a fully bi-cultural program. This was both an individual award to Rawiri and a whanau award to include his partner in the Maori programme, counsellor Kohe Pene and their children. KEEPING THE HOUSE IN ORDER - Partnership within organisations Team dynamics, or conflicts, happen in every group and every workplace. Life in a therapeutic community - where people live and work together as part of the process of recovery and change - may magnify unconscious dynamics. Psychotherapist Karen Blacklock from Higher Ground's residential team presented on how relationships between staff can impact on clients to the Australasian Therapeutic Communities conference. This level of honest communication among staff is difficult as it touches people's personal vulnerabilities. Space and time are required to think about what happens, says Karen, so individual supervision, group supervision and personal therapy are all important for clinicians, as well as specific training on team dynamics and other aspects of therapeutic community work. "I wanted to make sense of some of the conflict and relationship difficulties that can happen in teams of dedicated, passionate, well trained and professional clinicians," says Karen. "We all know that therapeutic communities work for a great many people. Nevertheless I wanted to talk about some of the problematic parts of our work I think are really important to understand so that we can be of more use to our clients." If unconscious dynamics remain unnoticed, hidden or unresolved they may escalate. "Much of the client's treatment will depend on the team's ability to think critically about its own functioning, and to discriminate between the client's projections and problems belonging to the staff." In addition to problems relating to teams unconsciously 'acting out' the inner worlds of clients, she identified larger organisational, social, cultural and political forces also at work influencing team relationships. Influences can come from management, boards, funders and the structures and restrictions of the socio-economic environment. "It's important that the organisation as a whole which includes management and governance levels, has a recognition that they are also part of the unconscious life of the therapeutic community. "Organisations and teams need dedicated space in which they can think about what's happening with staff/team relationships and how that relates to the work – that's really important and can help us help clients to make sense of their inner lives." CONNECTING THE DOTS - From criminal to counsellor Andre Matthews' presentation Connecting the Dots looked at some of the agencies involved in his change from career criminal to a career in counselling. "I was highlighting some of the partnerships and organisations I had been part of through the justice system and then the addiction sector. I thought it would be helpful to stress the importance other agencies and wraparound services, and how important they were in supporting me towards a career." Living at a Wings Trust support house he practiced what he had learned at Higher Ground. Staying involved in Higher Ground's therapeutic community got him into training. He completed a degree in Addiction Studies from WelTec (Wellington Institute of Technology) while working as a night shift supervisor at Higher Ground. Andre had a lengthy association with the justice system. "I was locked up in boys homes from the age of 14. I left school at 14. I was a criminal for 20 years, 12 or 13 of those years in prison for various crimes of dishonesty and violence." Smoking cannabis at 12 and using heroin daily by the age of 16 lost him family, friends and morals, he says. He broke the chains of addiction while in prison as part of a Drug Treatment Unit operated by Care NZ. Andre worked as peer support at the newly opened Alcohol and Other Drugs Treatment Court. He returned to Higher Ground nearly three years ago to further his career as an alcohol and other drugs counsellor. Higher Ground enables staff to begin their career while studying. It is good support, he says, and produces experienced graduates. He identifies his foundations for life and recovery as study, work, twelve-step fellowship, sport and recreation, relationships and whanau and keeping cultural connections. He went on to Higher Ground for further drug rehabilitation while still on parole. At Higher Ground he was introduced to twelve-step meetings. Through the Maori programme at Higher Ground, he began to understand his cultural identity. "Being Maori but knowing nothing about it, that connection has really given me a passion for it and some sort of grounding, knowing who I am and where I am from." SMOKE FREE = HEALTHIER LIVES Going smoke free has been another major achievement for Higher Ground. It seemed it would be an uphill battle to get clients off cigarettes from day one, given that 70-80% of them are smokers coming in to Higher Ground. But that's not actually the way it's turned out, according to Higher Ground's Nurse Anne Carroll who steered the smoking cessation process. group for clients. Meditation and relaxation were introduced and a weekly Nicotine Anonymous 12 Step meeting was held on the premises and literature purchased. "In the beginning our fear was that people may exit the programme early or not want to come into Higher Ground, knowing we are a smoke free program, and that hasn't happened," says Anne. Higher Ground has now been smoke free for two and a half years. However the planning and preparation took 12 months prior to get underway. Anne's presentation to the ATCA conference was on how smoking cessation was achieved and is maintained within an addiction-focused residential therapeutic community. All clients needing support with smoking cessation are provided with Nicotine Replacement Therapy (NRT) patches and gum. Of currently 46 current clients only 11 are still using NRT. "They say 'being in a smoke free facility I don't even think about smoking any more'," says Anne. About 90% of smokers on admission tell Anne it will be a relief to stop smoking. Most say they have tried many times and have never been able to stop smoking. They talk about the expense along with health concerns like asthma, high blood pressure and diabetes. Most of the parents say that their children don't like them smoking. Anne offers continued support particularly over the first week or so to the clients who are scared and anxious about stopping. Most of them do not want to continue on NRT within the first month. "They stop because they're just not triggered any more. It's that safe. It's extraordinary. So their health improves. And they're not acting on their addiction any more." Six months out from the first smoke free day Higher Ground's property was made completely smoke-free for staff. Work could then start with residents. "At three months prior to our smoke free day the pre-admission team started working with people around their smoking, informing them of our change in policy, knowing a lot of them would be residents during the transition to becoming smoke free." Clinical manager Otto Mengedoht lead a weekly smoking cessation "We created an atmosphere of celebration on our first smoke free day and took all the residents to the movies. While they were out we completed putting up all the smoke free signs and from then all tobacco and smoking paraphernalia has been banned from the premises. "We don't allow our visitors to bring alcohol or other drugs onto the premises. We now include tobacco in that. It's about keeping a safe environment. "At the conferences I attend they talk about 'alcohol, drugs and tobacco' now, cigarettes are included with the other drugs." ... AND OTHER DRUGS How Higher Ground went smoke free and stays that way attracted a lot attention across the Tasman when Higher Ground's Nurse Anne Carroll spoke at the Drug and Alcohol Nurses of Australasia (DANA) conference in Sydney in August 2015. "It's been such an amazing achievement," says Anne. "The Australians were really impressed by Higher Ground's smoke free policy." Anne was thrilled when she was called up on stage to receive the inaugural Professor Margaret Hamilton Scholarship for her presentation Smoking Stopped – A Smoking Gun. Earlier in the year Anne Carroll impressed Waitemata District Health Board funders and planners with her presentation to them on going smoke free. "I know there was some initial reluctance and reservations," said Waitemata portfolio manager for mental health and addictions Cate Wallace. "It's a real credit to Higher Ground how those issues were managed and achieved, that the preparation work is done before people come in and how the issues are dealt with in treatment so that people are leaving not just drug-free but also nicotine-free."
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 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 The Executive Council has recommended this resolution be sent to a committee of the General Synod. AN ECONOMIC JUSTICE COVENANT (A Resolution of Witness) APPROVED Submitted by: The Southern Conference Summary: The Christian faith makes economic justice a priority for the Christian community. The United Church of Christ has long been an advocate for the poor and a witness for justice in all areas of life. This resolution asks that the Twenty-seventh General Synod, the national bodies of the United Church of Christ and its Conferences, Associations and Local Churches to commit to a covenant of study, witness and action in pursuit of economic justice in our world. BIBLICAL AND THEOLOGICAL FOUNDATION The Holy Scriptures, from the Pentateuch through the Prophets, and from Jesus to St. Paul impress upon the people of God's Covenant that they are responsible to God for the well being of the last and the least in the human community. Israel and the Church are to feed the hungry, clothe the naked, house the homeless, welcome the stranger and ensure justice for the poor. Amos warned against the excesses of power and wealth: "Hear this, you that trample on the needy, and bring to ruin the poor of the land, saying, . . . we will make the ephah small and the shekel great, and practice deceit with false balances, buying the poor for silver and the needy for a pair of sandals, and selling the sweepings of the wheat." (Amos 8:4-6) Jesus of Nazareth proclaimed, taught and inaugurated the Realm of God, a vision of human life and society as God intends it, where all people live in unity and peace because they share in the earth's abundance and treat each other justly. That is the Good News which he preached to the poor who were suffering under the yoke of Roman oppression. It was a society where peace and prosperity for a few were purchased on the backs of the last and the least. We are baptized into Jesus Christ and are bound together in covenant to Him, to each other and to His vision of a just society. As baptized Christians living in wealthy, prosperous America, we find ourselves in a very ambiguous situation. While many of us enjoy the fruits of our labor and participate in the astonishing economic success of our nation, we are also painfully aware that a substantial portion of our national wealth is gained through a global economic dominance and in domestic economic policies that disadvantage and, in some cases, impoverish others. It is a global economy with national and local components that privileges the wealthy at the expense of people of underdeveloped nations and the poor in our own country, and that exploits the earth's resources in ways that are not long sustainable. 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 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 As Christians we sing the hymns of justice, equality and unity, we pray for the well being of all God's children, and we continue our activities to feed the hungry and house the homeless. But all the while we watch the gap between rich and poor in our own nation and in the world become ever wider, with many millions left in poverty. Some of the causes are benign, the result of differing natural resources and patterns of cultural development. Some of the causes are the result of the global economy and the incessant desire for corporate profits. Some of the inequities are the result of longstanding and systemic racism, sexism, and xenophobic fear of the stranger. Others are simply rapacious, not unlike Amos' searing prophesy: unconscionably low wages, exploitation of workers with no recourse, unfair pricing of many necessities, the luring of the poor into unbearable debt, and the pillaging of the earth's resources. The United Church of Christ and its predecessor church bodies, along with many Christians around the world, have received Christ's summons to call our churches and our societies toward the blessed vision of God's Realm, including justice in our economic life. Too often Christians and congregations engage only in works of charity (direct action) without moving into the works of justice that could reduce the need for charity. Alternately, Christians and congregations focus solely on justice in the form of advocacy without engaging directly with people in works of charity. Justice and love cannot be divorced from one another. There cannot be "justice only" or "charity only" solutions without both suffering. Christians and congregations are called to be involved in a full spectrum of actions from acts of love to acts of justice. THEREFORE, BE IT RESOLVED, that each setting of the United Church of Christ-- National Ministry, Conference, Association and Local Church-- is encouraged to become an Economic Justice Church setting that: 1) Engages in focused studies of the economic injustices that prevail in our society and our world, and the ways in which God's abundance is distributed so inequitably; 2) Creates a program of study that may lead that body to draft and adopt an "Economic Justice Covenant" that reflects the context, experience, study, discernment, and commitment to action of that body (a sample for a Local Church is attached); 3) Develops a range of programs and activities with the goals of inspiring members and organizing them to engage in actions that promote economic justice. Such programs encourage members to: a) work as partners with people in need through service, and outreach ministries and community organizing; b) adopt sustainable personal and family lifestyles; c) help all families people to become economically secure through joint endeavors such as sponsorship of micro-loans, building of homes with Habitat for Humanity with social justice organizations and other programs that empower people; 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 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 43 44 45 46 d) reflect justice in the National Church, Conference, Association or Local Church's all settings of the United Church of Christ's economic life by offering fair wages and benefits, adopting sustainable practices with its facilities, and transacting business in a socially just manner; e) advocate for the formation of public policies that move our society toward economic justice, the well being of all people, and the care of creation; f) unite utilize avenues of networking and communication to collaborate with other United Church of Christ entities, as well as other Christian and non-Christian faith communities, to create and promote throughout our nation and the world an ethic that values economic justice for all and the sharing of resources to promote a sustainable common good. BE IT FURTHER RESOLVED, that the Twenty-seventh General Synod establish a national Task Force staffed by Justice and Witness Ministries to develop an Economic Justice Covenant program that fulfills these goals. BE IT FURTHER RESOLVED, that the Task Force provide a list of specific examples of sustainable living and programs that empower people that is accessible to all settings of the United Church of Christ. BE IT FINALLY RESOLVED, that Justice and Witness Ministries will be responsible for developing the strategy strategies and program designed resources to implement this resolution. The funding for the implementation of this resolution will be made in accordance with the overall mandates of the affected agencies and the funds available. FUNDING Funding for the implementation of this resolution will be made in accordance with the overall mandates of the affected agencies and the funds available. IMPLEMENTATION Justice and Witness Ministries is requested to implement this resolution. * * * * * * * ADDENDUM A: A SAMPLE ECONOMIC JUSTICE COVENANT God blesses the world with abundance, yet so many continue to live in poverty and suffering. We confess that we are participants in this injustice, whether through our actions, or through our complacency. We ask God's forgiveness for our negligence and self-centeredness. As witnesses to the grace of God in all of creation, we strive to answer Jesus' call to work for a world where both mercy and justice prevail, and all share in God's abundance. 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 Therefore, we, the congregation (Ministry, Conference, Association) of ________________, covenant with God and with one another to: * Provide service and care for brothers and sisters in need; * Seek long-term ways of empowering the powerless in our community; * Educate ourselves on the root causes of poverty; * Stand against injustices that cause and perpetuate need; * Strive for economic justice in all policies and activities associated with our church (Ministry, Conference, Association); * Encourage and support one another in our own stewardship of God's earth and its bounty; * Unite with other organizations to address poverty and injustice in the world. Recognizing that without God's help we are inadequate to these tasks, we pray for strength, courage, humility, and the guidance of the Holy Spirit for the work ahead. This sample Economic Justice Covenant was adopted by the United Church of Chapel Hill in its Congregational Meeting on May 20, 2007, following an extensive process of study and discussion with all the boards, committees and program groups of the church. Guest speakers and experts in related areas such as housing, health care, education, direct service, living wage and environmental concerns shared their knowledge and perspectives. The congregation has subsequently organized itself to pursue the requirements of this covenant. 22 ADDENDUM B: 23 Activities initiated in response to this process of study and covenanting, in addition to the many 24 direct service efforts in which our congregation has been engaged for decades, include: 25 organized support for a Living Wage Bill in the NC Legislature; the development of an Interfaith 26 Action Network to join with other churches in public policy advocacy; a family oriented Simple 27 Living support group; the development of adult education resources for dissemination; a seminar 28 on effective lobbying and political involvement; participation in protest actions in support of 29 meat packing workers; a commitment to "go green" in the construction of our new church 30 facilities and in refitting our present facilities. 31 32 For additional information, contact: 33 The Economic Justice Coordinating Committee 34 United Church of Chapel Hill 35 1321 Martin Luther King, Jr. Blvd. 36 Chapel Hill, NC 27514 37
The NRC invites the following persons or entities to participate in the scoping process: a. The applicants, Nine Mile Point 3 Nuclear Project, LLC and UniStar Nuclear Operating Services, LLC; b. Any Federal agency that has jurisdiction by law or special expertise with respect to any environmental impact involved or that is authorized to develop and enforce relevant environmental standards; c. Affected State and local government agencies, including those authorized to develop and enforce relevant environmental standards; d. Any affected Indian tribe; e. Any person who requests or has requested an opportunity to participate in the scoping process; and f. Any person who intends to petition for leave to intervene in the proceeding, or who has submitted such a petition, or who is admitted as a party. In accordance with 10 CFR 51.26, the scoping process for an EIS may include a public scoping meeting to help identify significant issues related to a proposed activity and to determine the scope of issues to be addressed in an EIS. The NRC will hold two identical public scoping meetings for the EIS regarding the COL application. The scoping meetings will be held at SUNYOswego, Sheldon Hall, 7060 Route 104, Oswego, NY 13126 on Wednesday, February 25, 2009. The first meeting will convene at 1 p.m. and will continue until approximately 4 p.m. The second meeting will convene at 6 p.m., with a repetition of the overview portions of the first meeting, and will continue until approximately 9 p.m. The date of Thursday, February 26, 2009, is the alternative date for the scoping meeting in the event that SUNY-Oswego is closed on Wednesday, February 25, 2009, due to inclement weather. In the event that SUNY-Oswego is closed on both dates due to inclement weather the scoping meeting will be rescheduled and the meeting date and time will be published in the Federal Register. The determination to close the campus is made by the Governor of New York. Information on campus closure can be found on the following Web site: http://www.oswego.edu/administration/ public_affairs/emergency/snow/ cancellations.html under the subheading Campus Closing. The meetings will be transcribed and will include the following: (1) An overview by the NRC staff of the NEPA environmental review process, the proposed scope of the EIS, and the proposed review schedule; and (2) the opportunity for interested government agencies, organizations, and individuals to submit comments or suggestions on the environmental issues or the proposed scope of the EIS. Additionally, the NRC staff will host informal discussions for one hour prior to the start of each public meeting. No formal comments on the proposed scope of the EIS will be accepted during the informal discussions. To be considered, comments must be provided either at the transcribed public meeting or in writing, as discussed below. Persons may register to attend or present oral comments at the meeting on the scope of the NEPA review by contacting Mr. Philip Brandt or Ms. Jessie M. Muir by telephone at 1–800– 368–5642, extension 3550 or 0491, or by e-mail to the NRC at email@example.com no later than February 18, 2009. Members of the public may also register to speak at the meeting prior to of the start of the session. Individual oral comments may be limited by the time available, depending on the number of persons who register. Members of the public who have not registered may also have an opportunity to speak, if time permits. Public comments will be considered in the scoping process for the EIS. If special equipment or accommodations are needed to attend or present information at the public meeting, the need should be brought to Ms. Muir's attention no later than February 18, 2009, so that the NRC staff can determine whether the request can be accommodated. Members of the public may send written comments on the scope of the Nine Mile Point 3 Nuclear Power Plant COL environmental review to the Chief, Rules and Directives Branch, Division of Administrative Services, Office of Administration, Mailstop TWB–05– B01M, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001, and should cite the publication date and page number of this Federal Register notice. To ensure that comments will be considered in the scoping process, written comments must be postmarked by March 31, 2009. Electronic comments may be sent by e-mail to the NRC at firstname.lastname@example.org. Electronic submissions must be sent no later than March 31, 2009. Comments will be made available electronically and will be accessible through the NRC's Electronic Reading Room link http:// www.nrc.gov/reading-rm/adams.html. The NRC staff may, at its discretion, consider comments after the end of the comment period. Participation in the scoping process for the EIS does not entitle participants to become parties to the proceeding to VerDate Nov<24>2008 16:54 Jan 29, 2009 Jkt 217001 PO 00000 which the EIS relates. A notice of hearing and opportunity to petition for leave intervene in the proceeding on the application for the COL will be published in a future Federal Register notice. At the conclusion of the scoping process, the NRC staff will prepare a concise summary of the determinations, and conclusions reached on the scope of the environmental review including the significant issues identified, and will send this summary to each participant in the scoping process for whom the staff has an address. The staff will then prepare and issue for comment the draft EIS, which will be the subject of a separate Federal Register notice and a separate public meeting. Copies of the draft EIS will be available for public inspection at the PDR through the above-mentioned address and one copy per request will be provided free of charge. After receipt and consideration of comments on the draft EIS, the NRC will prepare a final EIS, which will also be available to the public. Information about the proposed action, the EIS, and the scoping process may be obtained from Mr. Philip Brandt at U.S. Nuclear Regulatory Commission, Mail Stop T6–D32M, Washington, DC 20555–0001, by phone at 301–415– 3550, or by e-mail at email@example.com and from Ms. Jessie M. Muir at 301–415–0491 or by e-mail at firstname.lastname@example.org. Dated at Rockville, Maryland, this 26th day of January 2009. For The Nuclear Regulatory Commission. Andrew C. Campbell, Acting Director, Division of Site and Environmental Reviews, Office of New Reactors. [FR Doc. E9–2050 Filed 1–29–09; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form SH—OMB Control No. 3235–0646— SEC File No. 270–585. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (''Commission'') is soliciting comments on the collection of information Frm 00056 Fmt 4703 Sfmt 4703 E:\FR\FM\30JAN1.SGM 30JAN1 summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Form SH (17 CFR 249.326T) is required to be submitted to the Commission by institutional investment managers subject to the existing Form 13F (17 CFR 249.325) filing requirements on the first business day of each week in which the institutional investment manager has entered into any new short positions or closed part or all of any short positions with respect to any Section 13(f) (15 U.S.C. 78m(f)) securities except for options. We estimate that 1,000 institutional investment managers subject to the Form 13F filing requirements will file Form SH to report the entry into short positions with respect to Section 13(f) securities. We estimate that each will file 36 Form SH reports during the ninemonth period that Rule 10a–3T will be in effect. We further estimate that each of the 1,000 institutional investment managers will spend an average of 20 hours preparing each Form SH. Therefore the estimated total reporting burden associated with Form SH is 720,000 hours (1,000 respondents × 20 hours per form × 36 forms). Written comments are invited on: (a) Whether this collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency's estimate of the burden imposed by the collection of information; (c) ways to enhance the quality, utility, and clarity of the information 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. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Charles Boucher, Director/CIO, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312; or send an e-mail to: email@example.com. January 26, 2009. Florence E. Harmon, Deputy Secretary. [FR Doc. E9–2019 Filed 1–29–09; 8:45 am] BILLING CODE 8011–01–P VerDate Nov<24>2008 16:54 Jan 29, 2009 Jkt 217001 SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] In the Matter of Future Canada China Environment Inc.; Order of Suspension of Trading January 28, 2009. It appears to the Securities and Exchange Commission that the public interest and the protection of investors require a suspension of trading in the securities of Future Canada China Environment Inc. Questions have arisen concerning recent trading activity in the company's stock during which its share price increased from $0.92 to $28.50. Questions have also arisen concerning the accuracy and adequacy of publicly available information regarding its potential acquisition of another company. Future Canada China Environment Inc., a company that has made public filings with the Commission, is quoted on the OTC Bulletin Board and Pink Sheets operated by Pink OTC Markets Inc. under the ticker symbol ''FCCE.'' The Commission is of the opinion that the public interest and the protection of the investors require a suspension of trading in securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the abovelisted company is suspended for the period from 9:30 a.m. EST, January 28, 2009, through 11:59 p.m. EST, on February 10, 2009. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. E9–2159 Filed 1–28–09; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–59292; File No. SR–BATS– 2009–003] Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BATS Rule 2.5, Entitled ''Restrictions,'' and BATS Rule 11.4, Entitled ''Authorized Traders.'' January 23, 2009. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ''Act''), 1 and Rule 19b–4 thereunder, 2 notice is hereby given that on January 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. PO 00000 Frm 00057 Fmt 4703 16, 2009, BATS Exchange, Inc. (''BATS'' or the ''Exchange'') filed with the Securities and Exchange Commission (''Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated this proposal as a ''noncontroversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b–4(f)(6)(iii) thereunder, 4 which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing to amend BATS Rule 2.5, entitled ''Restrictions,'' and BATS Rule 11.4, entitled ''Authorized Traders,'' to permit qualification and registration of Authorized Traders of Members pursuant to certain foreign examination modules equivalent to the Series 7 examination. The text of the proposed rule change is available at the Exchange's Web site at http://www.batstrading.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant parts of such statements. (A) Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Exchange Rules 2.5 and 11.4 both state that the Series 7 is required for registration with the Exchange as an Authorized Trader. The purpose of the proposed rule change is to expand the types of exams that may satisfy the Exchange's Series 7 requirement by recognizing foreign examination 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b–4(f)(6)(iii) E:\FR\FM\30JAN1.SGM 30JAN1 Sfmt 4703
May 21, 2021 Denise Lockett Nighthawk Gold Corp. 141 Adelaide St. W., Suite 301 Toronto, ON M5H 3L5 Dear Denise Lockett, Re: Nighthawk Gold Corp. – Interim Closure and Reclamation Plan Version 3.3 The Wek'èezhìi Land and Water Board (WLWB) met on May 6, 2021 and considered Nighthawk Gold Corp.'s (Nighthawk) interim Closure and Reclamation Plan Version 3.3, submitted in accordance with Part I, Condition 1 of Water Licence W2018L2-0003. Overall, the Board finds the interim CRP to be an improved representation of the planned closure for the Damoti site that has resolved many outstanding closure issues. Therefore, the Board has approved Version 3.3 at this time. As detailed in the attached Reasons for Decision, the Board has identified the need for additional information, revisions, and further engagement. As a result, the Board has not approved select aspects of Version 3.3, including the proposed closure criteria. The Board would like to take this opportunity to remind Nighthawk that in accordance with Part I, Condition 1 of Water Licence W2018L2-0002, Nighthawk must submit a CRP for activities on the federal portion of the Indin Lake Gold Property, including the Colomac Camp. This information could be added to the next version of the CRP or submitted separately. Sincerely, Joseph Mackenzie Chair, Wek’èezhìi Land and Water Board BCC: Nighthawk Distribution List File: W2018L2-0003 Sent by email 1 Box 32, Wekweètì, NT X0E 1W0 Tel: 867-713-2500 Fax: 867-713-2502 #1-4905 48 th Street, Yellowknife, NT X1A 3S3 Tel: 867-765-4592 Fax: 867-765-4593 www.wlwb.ca Decision from the Wek'èezhìi Land and Water Board Meeting of May 6, 2021 1.0 Decision On May 6, 2021, the Wek'èezhìi Land and Water Board (the Board) met and considered Nighthawk Gold Corp.'s (Nighthawk) interim Closure and Reclamation Plan (CRP) Version 3.3. 1 The Board has approved Version 3.3 of the interim CRP with direction for the next version of the CRP. Nighthawk is to engage with Parties to develop the next version of the CRP and work with Board staff to set a deadline for submission that is no later than December 15, 2022. The Board's decisions and directions for future versions are found below in Decisions #3 through #23. 2.0 Background Nighthawk is a mineral exploration company that is responsible for the management and closure of the Damoti site. Nighthawk describes the Damoti site as follows: Gold exploration was conducted at the Site between 1993 and 1997, including an underground exploration program consisting of a decline and drift. Rock excavated from the underground was stored in piles near the entrance to the underground (the portal) … Other features of the Site include a small settling pond near the waste rock piles, a camp area with several wood-framed tent structures, three large (empty) bulk fuel storage tanks, trails connecting different parts of the Site, and some empty fuel drums and other debris. Nighthawk Gold Corp (Nighthawk) acquired the lease to the Damoti site in September 2008 and has been conducting progressive reclamation of the Site since that time. Nighthawk used some of the camp facilities at the Site to support exploration programs before setting 1 See WLWB (www.wlwb.ca) Online Registry for W2018L2-0003 - Nighthawk - ICRP Version 3.3 - Aug 28_20 up an exploration camp at the Colomac Mine Site (located 27 km north of Damoti). Progressive reclamation activities have included removing fuel drums and debris from the site, emptying three bulk fuel storage tanks, cleaning up and securing structures, excavating and removing heating oil spills from previous site users, and conducting several scientific studies in support of closure and reclamation planning for the Site. Since 2012, activity at the Damoti site has included sampling required by the Surveillance Network Program (SNP) and research to support the closure of the portal and waste rock piles. Nighthawk has drilled in the area as part of their exploration program and intends to continue drilling at the Damoti site in 2021. Nighthawk has undertaken progressive reclamation at the site but there is no set date to begin permanent closure and reclamation. On July 3, 2020, Nighthawk submitted Version 3.3 of the interim CRP for the Damoti Lake site, as per Part I, Condition 1 of Water Licence W2018L2-0003 and as requested by the Board's Reasons for Decision for interim CRP Version 3.2. 2 During a preliminary review of the interim CRP Version 3.3, non-conformities were identified, and Nighthawk provided a revised interim CRP Version 3.3 on August 28, 2020. The complete interim CRP Version 3.3 was distributed for public review on August 31, 2020. Comments and recommendations were received from Environment and Climate Change Canada (ECCC), the Government of Northwest Territories – Environment and Natural Resources (GNWT-ENR), and the Tłı̨chǫ Government (TG); Board staff also asked questions. The Wek'èezhìi Renewable Resources Board indicated they had no comments at this time. Nighthawk responded to comments and recommendations by the deadline of December 22, 2020. Reviewer comments and recommendations, as well as proponent responses are available on the WLWB Online Registry. 3 Upon review of recommendations and Nighthawk's responses, additional information was requested to assist the Board in its decision-making process; an Information Request (IR) was thus issued to Nighthawk, GNWT-ENR, ECCC, and the TG on February 26, 2021. 4 On March 2, 2021, Nighthawk requested an extension to the IR deadline until April 2, 2021. 5 Responses to the IR were received by the respective deadlines from GNWT-ENR, 6 ECCC, 7 and Nighthawk; 8 the TG responded after the deadline on March 16, 2021. 9 2 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 3 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.3 – Review Summary and Attachments – Dec 22_20 4 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information to Nighthawk, GNWT, ECCC and TG – Feb 26_21 5 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request – Nighthawk Deadline Extension – Mar 2_21 6 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request Response from GNWT-ENR -Mar 12_21 7 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request Response from ECCC – Mar 11_21 8 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request Response from Nighthawk – Mar 31_21 9 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request Response from TG – Mar 31_21 3.0 Reasons for Decision Nighthawk's responses to reviewer comments demonstrated that a significant amount of engagement has been conducted in the development of Version 3.3 of the interim CRP and throughout the proceeding. This approach is beneficial to the closure planning process and has resolved many on-going issues related to the selected closure activities. The most significant closure issue to be addressed at the Damoti site is the rock piles that contain potentially acid generating (PAG) material. The selected closure option for the rock piles has evolved over time and has included leaving the rock piles in the current configuration, moving the rock piles to Colomac, and consolidating the rock piles with and without a cover. The Board has previously directed Nighthawk to engage with Parties to further explore closure activities for the waste rock piles. In Version 3.3 of the interim CRP, Nighthawk proposed to consolidate the waste rock pile without a cover. Many reviewers had comments and recommendations related to the selected closure activity. In response, Nighthawk has proposed consolidating the rock piles and using a low-flux cover and geosynthetic liner. This proposed change may impact other issues related to closure such as: whether a mixing zone is necessary, where proposed closure criteria can be met, and post-closure monitoring and maintenance. Nighthawk's proposed changes, the Board's decisions, and direction for future versions of the CRP are further discussed in Section 3.4 of these Reasons for Decisions. ECCC, GNWT-ENR, and the TG have stated in various recommendations that they do not believe another interim CRP should be required and that all outstanding issues can be addressed in a final CRP. The Mackenzie Valley Land and Water Board (MVLWB; 2013) Guidelines for Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (Closure Guidelines) state "one of the main purposes of the interim CRP is to identify uncertainties surrounding closure options, thereby guiding corresponding areas for reclamation research during operations." 10 When a proponent has identified and resolved issues related to closure of a site, an additional level of detail is required to fulfill the requirements of a final CRP. The Closure Guidelines state, "the final CRP should fully describe the level of detail and certainty surrounding post-closure monitoring and contingency planning," and lists elements a proponent should focus on for an effective final CRP. Nighthawk has not had an approved CRP for the Damoti site since February 28, 2013 and much progress has been made to address outstanding concerns, especially in consideration of the updated closure activity of the waste rock piles proposed following discussions with other Parties. The Board believes that the many of the major issues have been addressed in Version 3.3 of the interim CRP, and outstanding elements of closure planning will be addressed through the required updates in the next version of the CRP. Therefore, the Board has approved Version 3.3 of the interim CRP with direction for the next version of the CRP. Decision #1: The Board has approved Version 3.3 of the interim CRP with direction for the next version of the CRP. 10 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) The Board would like to explain what approval of Version 3.3 of the interim CRP means. As with all interim CRPs, Nighthawk's interim CRP by its nature will change. Version 2.0 was approved by the Board with direction for future studies to allow Nighthawk to continue the closure planning process. 11 Approval of Version 3.3 does not include the following: * All closure criteria; * The proposed consolidation of rock piles without a cover; * Proposed mixing zone in Lardass Lake; and * Proposed post-closure monitoring and maintenance. The Board has identified a path forward to resolve outstanding issues and advance closure criteria. As discussed in Section 3.4.1 of these Reasons, the Board has also approved Nighthawk's most recently proposed closure activity for the waste rock piles. Although additional development of the CRP is required, approval of some elements will allow Nighthawk to continue moving forward with the closure planning process. If Nighthawk requires approval of certain aspects of the CRP to advance the closure planning process, Nighthawk should bring this to the Board's attention in the covering letter(s) of future closurerelated submissions. The next step in closure planning is to develop closure criteria for each selected closure activity. As discussed below, additional information and further revisions are required for the closure criteria. Regardless of whether the next version of the CRP is an interim CRP or a final CRP, Nighthawk should work with Board staff to select an appropriate deadline for the next version of the CRP that will allow effective engagement to take place and is no later than December 15, 2022. This will allow Nighthawk to have an additional two years of SNP sampling data to evaluate water quality trends and provide a reasonable amount of time to complete effective engagement. Decision #2: The Board directs Nighthawk to work with Board staff to set a deadline for the next version of the CRP that is no later than December 15, 2022. 3.1 Closure Goal In its decision on Version 3.2 of the interim CRP, the Board directed Nighthawk to update the closure goal to be consistent with the Closure Guidelines. 12, 13 Nighthawk has updated the closure goal to read "to return the mine site and affected areas to viable and, wherever practicable, self-sustaining ecosystems that are compatible with a healthy environment and with human activities." This update reflects the Closure Guidelines and has fulfilled the Board's previous direction. The Board is therefore approving the closure goal. Decision #3: The Board has approved the closure goal. 11 See WLWB Online Registry for W2012L1-0002 - Nighthawk - Damoti Site - ICRP - Board Decision Package - Feb 28_13 12 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 13 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) 3.2 Closure Objectives The Closure Guidelines describe closure objectives as "statements that clearly describe what the selected closure activities aim to achieve. They must be measurable, achievable, and allow for the development of closure criteria." 14 In Version 3.2, the Board directed Nighthawk to continue working towards closure objectives that can be approved. 15 As a result, the closure objectives have been updated extensively in Version 3.3 of the interim CRP and are divided into site-wide and component-specific closure objectives. Overall, the Board believes that the closure objectives in Version 3.3 of the interim CRP fulfill the requirements set out in the Closure Guidelines. In addition, no parties identified concerns or posed questions about the proposed closure objectives during the public review. In response to Board staff questions, the Board has identified several minor revisions to be made to some of the closure objectives. There revisions are outlined below and are to be included in the next version of the CRP. Decision #4: The Board has approved all closure objectives, subject to Closure Objective Revisions #1 through 4. These revisions are to be reflected in the next version of the CRP. Physical stability closure objectives should address the physical stability closure principle "ensuring [a project component] does not erode, subside, or move from its intended location" and does not "pose a hazard to humans, wildlife, aquatic life, or environmental health and safety." 16 Nighthawk was asked to describe how the physical stability objectives (SW1, R1, PD3, and T1) could achieve the physical stability closure goal (Board staff comment 2). Nighthawk responded that inherent in the closure goal for the site is the compatibility with human activities to ensure safety for humans and wildlife and it will update the SW1 closure objective to read "Physically stable slopes to limit risk of failure that would impact the safety of people or wildlife" in the next version of the CRP. The Board is of the opinion that this addresses the question because the updated wording allows for the closure objective to be measurable and achievable during closure and applies to all site components. Closure Objective Revision #1: Nighthawk is to update SW1 to state "Physically stable slopes to limit risk of failure that would impact the safety of people or wildlife." In several closure objectives, Nighthawk used terms that were not clearly defined. Nighthawk was also asked to clarify what is meant by "ecological conditions" and "receiving environments" in the context of the closure objectives (SW2, R2; Board staff comment 3). The closure objective SW2 should address sitewide chemical stability during closure so that anything released from project components should not endanger humans, wild, or environmental health and safety. Nighthawk responded that "ecological conditions are defined as aquatic life and wildlife, as the two ecosystem components that have potential to be affected by site discharge," and "receiving environment is defined in footnote (a) on the closure objective SW2 in Table 5 as Lardass Lake with the proposed mixing zone." This response clarifies that SW2 14 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) 15 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 16 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) is referring to site runoff impacting aquatic life and wildlife in Lardass Lake. "Receiving Environment" is defined in the Licence as "the natural aquatic environment that receives any deposit or Discharge of Waste, including Seepage or Minewater, from the Project." To ensure consistency between documents related to the Licence, the Board directs Nighthawk to update SW2 to replace "ecological conditions" with "aquatic life and wildlife" to reflect the response to Board staff comment 3 and update the definition for "receiving environment" to be consistent with the Licence. Closure Objective Revision #2: Nighthawk is to update SW2 to replace "ecological conditions" with "aquatic life and wildlife" and update the definition for "receiving environment" to be consistent with the Licence in the next version of the CRP. Closure objective R2, for the rock piles, states "long-term potential for acid rock drainage [ARD] and metal leaching [ML] does not adversely affect the receiving environment." Nighthawk was asked to clarify what is meant by "receiving environment" and "long-term" in R2, and if additional closure objectives would be necessary to address the short-term potential for ARD and ML (Board staff comment 6). Nighthawk responded that given the new selected closure activity for the waste rock pile (see Section 3.4.1 of these Reasons for Decision) there is no need to add additional closure objectives for the rock piles. Nighthawk also proposed removing 'long-term' from R2 to remove the temporal nature of the closure objective making the closure objective address both the short- and long-term potential for ARD and ML. The Board agrees that removing 'long-term' from R2 would improve the clarity and ensure that R2 addresses the short- and long-term potential for ARD and ML and therefore directs Nighthawk to remove "long-term" from R2. Closure Objective Revision #3: Nighthawk is to remove "long-term" from R2 in the next version of the CRP. Closure objective S1 states "the settling pond does not retain water." In Version 3.3 of the interim CRP, this closure objective is meant to address the chemical and physical stability closure principles. Nighthawk was asked to clarify how S1 addresses chemical and physical stability closure principles (Board staff comment 9). Nighthawk responded that fine sediments from the settling pond would be removed and encapsulated in the consolidated rock pile during closure and any residual material would be tested to confirm no residual metals or hydrocarbons remained in the graded settling pond material. Additionally, the pond edges will be graded flat so there will be no physical stability concerns. Given that the site-wide closure objectives also apply to the settling pond area, and SW2 addresses runoff from the site, the Board is of the opinion that Nighthawk's response, in the combination of site-wide closure objectives and settling pond specific closure objectives, address the physical and chemical stability concerns associated with closure of the settling pond and no further revisions are required. During the public review, Nighthawk also made commitments to provide updates to closure objectives (Board staff comments 7, 8, and 20). These revisions included: changing the word "reduce" to "minimize" in PD2; adding "short-term" to PD3; and limit information provided in Section 4.7.3 of the CRP to the selected closure activity. The Board directs Nighthawk to reflect commitments made in response to Board staff comments 7, 8, and 20 in the next version of the CRP. Closure Objective Revision #4: Nighthawk is to reflect commitments made in response to Board staff comments 7, 8, and 20 in the next version of CRP. 3.3 Closure Criteria In its decision on Version 3.2 of the interim CRP, the Board also directed Nighthawk to review and revise the closure criteria. 17 Closure criteria are developed for each closure objective and are used to determine if selected closure activities have met the closure objectives for each project component. 18 Several comments and questions were raised during the public review regarding closure criteria for various site components (ECCC comment 4; GNWT-ENR comments 11-13, 17, 20, and 23; Board staff comment 4). In response to comments and recommendations, Nighthawk proposed a new selected closure activity for the waste rock piles, and as a result the closure criteria have not been updated to reflect this closure activity. Additionally, it is unclear at this time when Nighthawk intends to begin closure activities, where closure criteria will be met, and if the new selected closure activity for the rock piles addresses outstanding issues related to water quality. The Board is therefore not approving the closure criteria and directing Nighthawk to engage with all Parties to update the closure criteria. Decision #5: The Board has decided to not approve the closure criteria and directs Nighthawk to engage with all Parties to update the closure criteria prior to submission of the next version of the CRP. 3.4 Closure Options and Selected Closure Activities 3.4.1 Waste Rock Piles Determining the selected closure activity for the waste rock piles has been under discussion for several years and is one of the most challenging closure issues at the Damoti site. In previous versions of the CRP, the Board directed Nighthawk to investigate other closure options for the rock piles (e.g., borrow material as a cover and using a low-flux cover). 19 In Version 3.3 of the CRP, Nighthawk proposed to consolidate the waste rock piles using the least potentially acid generating (PAG) rock to encapsulate the rock with the greatest potential for acid generation. Many reviewers had recommendations and questions about the selected closure activity for the waste rock piles, other closure options for the rock piles presented in Version 3.3 of the CRP, and conclusions from Nighthawk's evaluation of closure options (TG comment 6; GNWT-ENT comments 6-9; Board staff comments 5, 11-13, 15-17, 28, 40, 41). The selected closure activity 17 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 18 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) 19 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 presented in version 3.3 of the interim CRP would allow surface water to contact the rock pile and PAG material. In reviewer comments, the TG stated, "it is not yet in 100% agreement with the no cover option," and GNWT-ENR recommended the Board determine a more conservative closure option for the rock piles (GNWT-ENR comment 9; TG comment 6). Appendix I of Version 3.3 of the CRP outlined that there is not enough borrow material to be placed under the cover to prevent damage to the geosynthetic liner. Therefore, covering the consolidated rock piles was not the selected closure activity in Version 3.3. However, in response to recommendations and questions, Nighthawk proposed selecting Option 2d in Version 3.3 as the closure activity for the rock piles. This closure activity proposes to consolidate the waste rock piles and cover the consolidated pile using a low-flux cover with a geosynthetic liner. The new selected closure activity would limit water from coming in contact with the consolidated rock pile with the intent of reducing the potential for seepage and runoff water quality to be impacted by the waste rock and is thus a more conservative closure option. During the public review, the TG and GNWT-ENR agreed that any improvements to water quality would be beneficial. Based on the relative conservatism of the new selected closure activity, alignment with recommendations from reviewers, and information provided in Version 3.3 of the interim CRP, the Board has approved the selected closure activity of consolidating the waste rock piles with a low-flux cover and geosynthetic liner and directs Nighthawk to update the selected closure activity for the waste rock piles in the next version of the CRP. Decision #6: The Board has approved the selected closure activity of consolidating the waste rock piles with a low-flux cover and geosynthetic liner and direct Nighthawk to update the selected closure activity for the waste rock piles in the next version of the CRP. Contingency Options The Closure Guidelines state that "Proponents should develop a contingency plan to outline how the selected closure activity will be modified if it is unsuccessful." 20 As discussed above, Nighthawk is now proposing to consolidate the rock piles with a low-flux cover and geosynthetic liner with imperfect bedding. When addressing this selected closure activity, section 184.108.40.206 of the interim CRP states: Without the placement of borrow material both above and below the liner, this liner would require repair and/or replacement within 10 to 20 years of installation over the stockpile and so, is not a walk away solution. Hence, Option 2d (installation of a geosynthetic liner alone) was ruled out as a suitable closure option for the rock piles. As every closure option has a potential for failure, contingency planning is important and should be updated to reflect the new selected closure activity for the rock piles in the next version of the CRP. The Board is therefore directing Nighthawk to update the contingency options associated with the closure of 20 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) the waste rock piles in the next version of the CRP to address the potential for the low-flux cover and geosynthetic liner to be unsuccessful. Decision #7: Nighthawk is to update the contingency options associated with the closure of the waste rock piles in the next version of the CRP to address the potential for the low-flux cover and geosynthetic liner to be unsuccessful. 3.4.2 Portal/Decline In Version 3.3 of the interim CRP, Nighthawk has proposed the selected closure activity of a controlled demolition of the crown pillar and backfilling of the resulting trench for the portal/decline. During the public review, the TG recommended that Nighthawk provide more information on the stability and compaction of the portal area after the completion of the selected closure activity (TG comment 9). Nighthawk referenced Condition 19 – EXCAVATION AND EMBANKMENTS of Permit W2018X0006, which authorizes the reclamation land use activities at the Damoti Site and stated it would provide additional information in the next version of the CRP. 21 This Permit condition requires that waste material piles have a minimum slope ratio of 2:1 to provide stability. Nighthawk was asked if it had considered backfilling the portal, decline, and trench with the existing rock piles (Board staff comment 14). In response, Nighthawk provided some information but committed to providing additional details in the next version of the CRP. The Board therefore directs Nighthawk to include the additional information referenced in response to TG comment 9 and Board staff comment 14 to address outstanding concerns about portal/decline closure in the next version of the CRP. No other recommendations were received regarding the selected closure activity for the portal/decline. Although there are some outstanding details for the portal/decline selected closure activity, the Board is of the opinion that the proposed selected closure activity, with additional information Nighthawk has committed to providing in the next version of the CRP, is suitable for closure and reclamation of the portal/decline and has approved the controlled demolition of the crown pillar and backfilling of the trench with direction for the next version of the CRP. Decision #8: The Board has approved the controlled demolition of the crown pillar and backfilling of the trench but requires Nighthawk to include the additional information, referenced in response to TG comment 9 and Board staff comment 14, to address outstanding concerns about portal/decline closure in the next version of the CRP. Contingency Options ECCC recommended that Nighthawk identify mitigation measures for potential acid rock draining (ARD) and metal leaching (ML) that may result from demolishing the crown pillar and backfilling the trench, including identifying any drainage management that may be necessary (ECCC comment 2). Nighthawk was asked about the potential for ARD and ML as a result of the demolition of the crown pillar (Board staff question 42). Nighthawk responded that the selected closure activity may result in an increase in the 21 See WLWB Online Registry for W2018X0006 – Nighthawk – Land Use Permit – Feb 15_19 exposed rock, but the groundwater is below the level of the newly exposed rock. Nighthawk also noted low hydraulic conductivity due to local geology, slow groundwater level rebound, little groundwater movement to Lardass Lake, and limited overland flow of water. Based on this information, Nighthawk states that it is unlikely that increased exposed rock will result in ARD and ML from the portal/decline. In its response to ECCC and Board staff, Nighthawk indicated that these comments would be considered in development of the next version of the CRP. The Board therefore directs Nighthawk to develop a contingency plan for the portal/decline by evaluating the potential for the selected closure activity to fail, including being a source of ARD and ML in the next version of the CRP. Decision 9: Nighthawk is to develop a contingency plan for the portal/decline by evaluating the potential for the selected closure activity to fail, including being a source of ARD and ML in the next version of the CRP. 3.4.3 Settling Pond The Damoti site has a settling pond where mine water was previously collected prior to being discharged. In review of Version 3.2 of the CRP, the Board directed Nighthawk to incorporate its commitment to test and manage settling pond materials prior to closure. In Version 3.3 of the CRP, Nighthawk updated the selected closure activity for the settling pond to test the settling pond material for ARD and ML and, if confirmed to be absent, regrade the settling pond to match surrounding topography. During the public review, GNWT-ENR recommended that Nighthawk test settling pond materials for metals and hydrocarbons in addition to PAG material and test water draining from the settling pond to determine whether it may be a residual source of contamination (GNWT-ENR comments 20-22). Nighthawk responded that the settling pond material will be excavated and included in the consolidated rock pile. Any residual material will be sampled for metals, hydrocarbons, PAG material, and other contaminants of concern. This response is inconsistent with Section 4.7.3 of the interim CRP where it indicates that the settling pond material will only be incorporated into the consolidated rock pile if PAG material is present. Nighthawk also stated that sampling of residual sediment will be completed after settling pond material is removed to confirm there is no potential for residual contamination. The Board is of the opinion that Nighthawk's response addresses the concern raised by the GNWT-ENR. The Board has approved the selected closure activity proposed in response to GNWT-ENR's recommendations 20-22 and requires Nighthawk to reflect this change in the next version of the CRP. Decision #10: The Board has approved the selected closure activity for the settling pond as proposed by Nighthawk in response to GNWT-ENR's recommendations 20-22 and requires Nighthawk to reflect this change in the next version of the CRP. 3.4.4 Trails, Buildings, and Equipment The selected closure activity for buildings and equipment remaining at the Damoti site is to demolish, burn as appropriate, and remove other materials from site. For closure of the trails at the Damoti site, the selected closure activity is to conduct some regrading and allow for natural revegetation. With respect to the trails, the TG recommended that Nighthawk have sediment and erosion control, as well as dust prevention measures in place throughout the time that the trails are being revegetated (TG comment 8). In response, Nighthawk referenced conditions 12 to 19 and 54 of Permit W2018X0006 that require Nighthawk to use erosion control methods and leave the Damoti site in a manner to allow for natural revegetation. 22 Additionally, Nighthawk stated that erosion control measures and dust prevention will be discussed with the TG in the development of the next version of the CRP. The Board therefore requires Nighthawk to update sediment and erosion control and dust prevention measures through engagement with the TG in the next version of the CRP. Decision #11: Nighthawk is to update sediment and erosion control, and dust prevention measures through engagement with the TG in the next version of the CRP. Nighthawk was asked to provide more information regarding the methodology used to measure and mitigate any soils with hydrocarbon contamination (Board staff comment 21). Nighthawk indicated that this information will be provided in the next version of the CRP and referenced the GNWT Environmental Guideline for Contaminated Site Remediation as a general guide for procedures that will be followed. 23 The Board therefore directs Nighthawk to engage with Parties to identify appropriate standards for the remediation of hydrocarbon impacted soils and include this information in the next version of the CRP. Decision #12: Nighthawk is to engage with Parties to identify appropriate standards for the remediation of hydrocarbon impacted soils and include this information in the next version of the CRP. GNWT-ENR recommended that Nighthawk include reference to surveys for nesting birds and unoccupied raptors nests during demolition or deconstruction of camp structures (GNWT-ENR comment 30). Additionally, GNWT-ENR recommended that the regional ENR office be contacted if disturbance or destruction of the nests can not be avoided to determine if a permit to disturb or destroy the nest/eggs can be obtained (GNWT-ENR comment 31). Nighthawk responded that Nighthawk's Wildlife Mitigation and Management Plan (WMMP) applies to activities at the Damoti site, and all procedures outlined in the WMMP will be followed. 24 Additionally, Permit W2018X0006, Condition 24 – HABITAT DAMAGE requires Nighthawk to prevent damage to wildlife and fish habitat. The Board is of the opinion that Nighthawk has addressed GNWT-ENR's recommendation; for clarity, the Board requires Nighthawk to include reference to its requirement for following procedures outlined in the WMMP in the next version CRP. Decision #13: The Board has decided to direct Nighthawk to include reference to its requirement for following procedures outlined in the WMMP in the next version CRP. Although some revisions are required to improve the methods and details associated with the closure activities, no objections were received regarding the selected closure activities for the buildings, equipment, and trails. The Board is thus of the opinion that the selected closure activities for the buildings, 22 See WLWB Online Registry for W2018X0006 – Nighthawk – Land Use Permit – Feb 15_19 23 See GNWT 'Guidelines' webpage for Guidelines for Contaminated Site Remediation 24 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Wildlife Mitigation and Monitoring Plan – Version 3.1 – Feb equipment, and trails are acceptable and that the required updates (as described in Decisions #11 to 13) will address any outstanding concerns. Decision #14: The Board has approved the selected closure activities for the trails, buildings, and equipment. 3.5 Water Quality Model Version 3.3 of the interim CRP presented water quality modelling results for the consolidated waste rock piles without a cover. The modelling results indicated a need for a mixing zone in Lardass Lake to allow Nighthawk to meet proposed closure criteria at the edge of the proposed mixing zone. Questions were asked about the water quality model assumptions and results (Board staff comments 22-25, 27, 34, 35, 37, 49, and 50). Nighthawk responded by either addressing the question or stating that the low-flux cover will mitigate the potential issue. The MVLWB/GNWT Guidelines for Effluent Mixing Zones (Mixing Zone Guidelines) state "that the size of the mixing zone should be minimized to the extent practical." 25 The Board will only consider a mixing zone if there is adequate evidence demonstrating that it is required. During the public review, many comments and recommendations were received regarding the proposed mixing zone (ECCC comment 5; GNWT-ENR comments 14, 15, 28, and 29; Board staff comments 30-33, 36, and 48). Reviewers recommended that Nighthawk conduct additional sampling around the proposed mixing zone boundary, complete a plume delineation study, and update the associated closure criteria. Given the new selected closure activity where the waste rock piles will be consolidated and a low-flux cover and geosynthetic liner installed, it is unclear how the modelling results apply and whether a mixing zone is still necessary. The Board has therefore decided not to approve the proposed mixing zone. Decision #15: The Board has not approved the proposed mixing zone. The purpose of the water quality model is to predict water quality following completion of the selected closure activity for the rock piles. This allows Nighthawk to determine where closure criteria can be met and if a mixing zone would be necessary. Given that the water quality model in Version 3.3 of the interim CRP has not yet been updated to reflect the selected closure activity for the waste rock piles, some uncertainty remains about the water quality at closure, ability to meet proposed closure criteria, and need for a mixing zone. This information will inform other changes in the CRP and allow the Board to decide on the potential need for a mixing zone. To allow Nighthawk to move forward with the closure planning process, the Board requires Nighthawk to submit a supplementary report within six months of the Board's decision. This supplementary report must include updated water quality modelling that incorporates the selected closure activity for the rock pile, and either: rationale for why a mixing zone is not needed or the information required by the Mixing Zone Guidelines if a mixing zone is being proposed. Decision #16: Nighthawk is to submit a supplementary report within six months of the Board's decision. The supplementary report must include updated water quality modelling that 25 See WLWB 'Policies and Guidelines' webpage for MVLWB/GNWT Guidelines for Effluent Mixing Zones (2017) incorporates the selected closure activity for the rock pile, and either: rationale for why a mixing zone is not needed or the information required by the Mixing Zone Guidelines if a mixing zone is being proposed. 3.6 Post-Closure Monitoring and Maintenance At the Damoti site, the rock piles are the most significant concern for environmental impacts. Nighthawk was required to update Version 3.3 of the interim CRP to provide a detailed explanation for why each mine component would not require long-term maintenance and to determine how long post-closure monitoring will continue to ensure closure criteria have been met. 26 During the review of Version 3.3 of the interim CRP, several reviewers recommended additional monitoring beyond that proposed by Nighthawk to ensure there were early warning systems and mitigations in place to prevent impacts to the receiving environment. The monitoring program proposed in Version 3.3 is based on consolidation of the rock piles without a cover. Nighthawk has now proposed a new selected closure activity that includes a low-flux cover and geosynthetic liner on the consolidated rock pile. It is unclear at this time how the new selected closure activity will change water quality predictions as presented in Version 3.3 of the interim CRP and the associated need for long-term monitoring. During the public review, many comments were received on the proposed monitoring plan for drainage from the Damoti site (TG comment 7; ECCC comment 3; GNWT-ENR comments 24, 25, 26; Board staff comments 38 and 39). ECCC recommended Nighthawk develop a robust monitoring and adaptive management plan to mitigate ARD and ML (ECCC comment 1). Nighthawk responded that the recommendations or questions would be considered as part of the development of the post-closure monitoring program in the next version of the CRP to include the new selected closure activity for the rock piles. Given the change in selected closure activity for the waste rock piles and reviewer comments, the Board has not approved the post-closure monitoring and maintenance plan proposed in Version 3.3 of the interim CRP. The Board directs Nighthawk to address outstanding post-closure monitoring and maintenance issues, by revising details through engagement with Parties and providing updates, with consideration of these recommendations made during review of Version 3.3 of the interim CRP, in the next version of the CRP. Decision #17: The Board has not approved the post-closure monitoring and maintenance proposed in Version 3.3 of the interim CRP. Decision #18: Nighthawk is to update post-closure monitoring and maintenance by refining details through engagement with Parties and providing updates, with consideration of the recommendations made during review of Version 3.3 of the interim CRP, in the next version of the CRP. 3.7 Integrated Schedule of Activities The Closure Guidelines describe permanent closure as "the final closure of a mine site with no foreseeable intent by the existing proponent to return to either active exploration or mining." 27 Nighthawk has indicated that permanent closure of the Damoti site will not take place until a decision is made about whether Colomac will become operational. A timeline was not provided for when closure activities would begin, independent of Nighthawk's decision on operations at Colomac. Nighthawk was asked to describe the environmental trigger(s) to begin reclamation of the rock piles independent of the decision regarding operations at Colomac (Board staff comment 43). Nighthawk did not address this question in its response and an IR was issued to gather additional information regarding environmental triggers for closure. 28 In response to the IR, Nighthawk indicated it will continue with the monitoring requirements outlined in the Licence and interim CRP (e.g., sampling at proposed SNP station 5-15) to monitor for changes in the receiving environment and proposed enhanced monitoring requirements prior to closure and reclamation, beginning with thresholds that would require Nighthawk to begin permanent closure and reclamation. 29 The Board notes that recent SNP Reports have shown SNP exceedances at various SNP stations and there have been CCME Chronic Guidelines for the Protection of Aquatic Life Guideline exceedances in Lardass Lake. 30,31,32,33 GNWT Inspectors have been in contact with Nighthawk to address the on-going exceedances at the Damoti site. 34 At this time, reviewers have not had an opportunity to provide comments and recommendations on the triggers Nighthawk proposed in response to the IR. The Board thus directs Nighthawk to engage with Parties to revise and refine the proposed triggers for beginning permanent reclamation and incorporate its proposed triggers in the next version of the CRP. Decision #19: Nighthawk is to engage with Parties to revise and refine the proposed triggers for beginning permanent reclamation and incorporate its proposed triggers in the next version of the CRP. The Board notes that according to the MVLWB (2011) Water and Effluent Quality Management Policy "the proponent must ensure that the waste discharged meets the EQC in order to remain in compliance with 27 See WLWB 'Policies and Guidelines' webpage for MVLWB Guidelines for the Closure and Reclamation of Advanced Mineral Exploration and Mine Sites in the Northwest Territories (2013) 28 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request to Nighthawk, GNWT, ECCC, and TG – Feb 26_21 29 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Information Request Response from Nighthawk – Mar 31_21 30 See WLWB Online Registry for W2018L2-0003 – Nighthawk – SNP Report – September 2020 – Oct 30_20 31 See WLWB Online Registry for W2018L2-0003 – Nighthawk – SNP Report – June 2020 – Aug 12_20 32 See WLWB Online Registry for W2018L2-0003 – Nighthawk – SNP Report – September 2019 – Aug 27_20 33 See WLWB Online Registry for W2018L2-0003 – Nighthawk – SNP Report – June 2019 – Aug 27_20 34 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Correspondence with Inspectors Re SNP Exceedances – Mar the Water Licence." 35 The Board recognizes that further actions may need to be taken based on recent water quality results from the SNP. 3.8 Security Deposit The Board has the responsibility to set the financial security amount for proponents to cover the cost of closure and reclamation. Under Nighthawk's authorizations for the Damoti site, Nighthawk has posted a total security deposit for $420,178 under Land Use Permit W2018C0007 and $110,078 under Water Licence W2018L2-0003. During the issuance of Nighthawk's Land Use Permit and Water Licence, the Board stated that it recognized the need for Nighthawk to assess and potentially refine its security estimate during the interim CRP review. 36 During the review of Version 3.2 of the interim CRP, ENR recommended the security estimate be revised when an interim CRP has been approved. Nighthawk agreed with this recommendation and the Board stated that once the interim CRP has been approved, Nighthawk should engage on the closure cost estimate and submit an updated RECLAIM estimate. 37 The Board understands the intent of this review to be a holistic review of security under the following authorizations: W2018L20002, W2018L2-0003, W2018C0007, and W2018X0006. The MVLWB/GNWT/INAC (2017) Guidelines for Closure and Reclamation Cost Estimates for Mines (Closure Cost Guidelines) addresses the need for engagement with the landowner (page 3-4): 38 When preparing closure cost estimates, proponents are strongly encouraged to collaborate closely with the GNWT, INAC, or other landowners. This collaboration should occur prior to and during the Boards' public process, with the goal of building consensus and enabling the proponent and the appropriate authority (e.g., the GNWT, INAC, etc.) to provide a thorough rationale for any differences in their cost estimates. As the Board has approved Version 3.3 of the interim CRP, the Board now requires Nighthawk to collaborate with the land managers (i.e., the GNWT and CIRNAC) and to submit updated RECLAIM estimate(s) within 120 days of the Board's decision on Version 3.3 of the interim CRP to reflect the cost to carry out closure and reclamation under the W2018L2-0002, W2018L2-0003, W2018C0007, W2018X0006 authorizations. The Board reminds Nighthawk that a written request 39 for any changes to Permit condition(s) should accompany the new cost estimates if changes to land-based security are proposed. Decision #20: Nighthawk is to submit updated RECLAIM estimate(s) to reflect the approved CRP Version 3.3 and propose any associated changes to security for W2018L2-0002, W2018L2-0003, W2018C0007, and W2018X0006 within 120 days of the Board's decision on Version 3.3 of the interim CRP. Nighthawk is to engage and collaborate with the GNWT and INAC when preparing updated closure cost estimates. 35 See WLWB "Policies and Guidelines" webpage for MVLWB (2011) Water and Effluent Quality Management Policy 36 See WLWB Online Registry for W2018L2-0003 – Nighthawk – LUP and WL Applications – Reasons for Decision – Jan 24_19 37 See WLWB Online Registry for W2018L2-0003 – Nighthawk – ICRP Version 3.2 – Reasons for Decision – Jun 25_19 38 See WLWB "Policies and Guidelines" webpage for MVLWB/GNWT/INAC (2017) Guidelines for Closure and Reclamation Cost Estimates for Mines 39 26(2) of the Mackenzie Valley Land Use Regulations Section 2.4 of the Closure Cost Guidelines states that "a document that describes the assumptions and inputs used to develop a closure cost estimate must accompany the estimate when submitted to the Board." 40 When Nighthawk submits an updated cost closure estimate, it will be distributed for public review allowing Parties to provide comments and recommendations. The Board recognizes that most of the supplementary information can be found in Version 3.3 of the interim CRP but to assist Parties in the review of the closure cost estimate, specific references to relevant sections or pages should be provided. 3.9 Engagement It is clear that Nighthawk has conducted significant engagement with various Parties in the development of Version 3.3 of the interim CRP. As per the Board's Closure Guidelines "effective communication, along with thorough and frequency engagement, needs to occur on various levels when developing CRPs." The TG recommended that Nighthawk plan and carry out an update of the Engagement Plan to reflect the TG's Engagement Guidelines, provide an opportunity for site visits before and after closure, and continue to engage with the TG in the development of future versions of the CRP (TG comment 10). Nighthawk responded indicating that it will update the Engagement Plan to reflect requests from the TG and include specific engagement triggers for the development of the final CRP and incorporation of the TG Engagement Guidelines. The Board directs Nighthawk to engage with the TG, the WRRB, and the NSMA, as outlined in the approved Engagement Plan, 41 to revise the Engagement Plan to address the TG's recommendations and submit Version 4.0 of the Engagement Plan within ninety (90) days of the Board's decision on interim CRP Version 3.3. The Board directs Nighthawk to reference the "currently approved Engagement Plan" in the next version of the CRP. Decision #21: Nighthawk is to engage with the TG, the WRRB, and the NSMA when revising the Engagement Plan to address the TG's recommendations and submit Version 4.0 of the Engagement Plan within ninety (90) days of the Board's decision on interim CRP Version 3.3. Decision #22: The Board directs Nighthawk to reference the "currently approved Engagement Plan" in the next version of the CRP. 3.10 Other Revisions There were several recommendations and questions to which Nighthawk responded with commitments for the next version of the CRP. Decision #23: Nighthawk is to incorporate the following Revisions A through E in the next version of the CRP: A. Include details about analytical detections limits used to ensure results can be compared to CCME chronic water quality criteria (GNWT-ENR comment 19); 40 See WLWB "Policies and Guidelines" webpage for MVLWB/INAC/GNWT (2017) Guidelines for Closure and Reclamation Cost Estimates for Mines 41 See WLWB Online Registry for W2018L2-0003 – Nighthawk – Engagement Plan – Version 3.2 – Jul 4_19 B. Ensure SNP stations in the CRP are consistent with the Surveillance Network Program annexed to the Licence (Board staff comment 1); C. Update section reference in Section 4.7.3 of the CRP (Board staff comment 19); D. Include a final version of Appendix J – Consolidated Rock Pile Stability Assessment stamped by a Professional Engineer, as defined in Water Licence W2018L2-0003 (Board staff comment 51); and E. Include a final version of Appendix K stamped by a Professional Engineer, as defined in Water Licence W2018L2-0003 (Board staff comment 52). 3.11 Other Reviewer Comments There are recommendations from the public review that have not been specifically addressed in this Reasons for Decision. The Board is of the opinion that all issues raised in the public review were adequately addressed by the proponent or can be addressed in future versions of the CRP. Signed the 6 th Day of May, 2021, on behalf of the Wek'èezhìi Land and Water Board Witness Joe Mackenzie Chair, Wek’èezhìi Land and Water Board
Ryberg Group's GUIDE TO A JOB SEARCH Table of Contents Resume Builder Worksheet Date: Client Name: Please type in any applicable areas that are not already provided on an existing cover letter, resume or LinkedIn profile. Time Saver Hint: Obtain Job Descriptions and Performance Reviews from any previous positions, experiences or projects. Please send these copies directly to your consultant. Relax and keep it simple. Your consultant is looking for a total of 3-4 major items per position. As you go through each position, make it a goal to have at least a few of the items filled out that have not already been provided. Your consultant will have more than enough material. Home Address: List Cities, States or Geographic Locations You Are Available to Work In: Cell Phone: Email Address: Objective: What type of position are you seeking? Include position titles, industries, pay ranges and any other requirements you identified as Goals on your Job Search Checklist. Education: List all high schools, colleges and universities from which you have earned credits, a degree or will earn a degree. Start with your most recent first. 1. Include school, city, state, degree, GPA, graduation date, majors, concentrations, minors and semester honors. 2. Include any research or class projects which are related to your field of interest if appropriate. a. Include number of credits earned if you did not graduate and expected graduation date if still actively pursuing degree. a. This is critical if you do not have internships or any work experience in your field of study. 3. Include any special recognition or awards. b. If this is the case, use the space provided for "Experience" below and treat your project or research as thoroughly as an experience and provide more details in that section. Time Saver Hint: If you have already started or finished a higher education program outside of high school, you can skip all of your high school information. Education Continued: Training Courses: List all training courses you have participated in that are relevant to your profession or field of study. Include vendor, date and any credits earned. Certifications and Licensures: Examples might include CPR, First Aid, Microsoft, CPA, Bar Exam, etc. Include name of certificate or license, license number assigned, date received, date expired and granting organization. Experience – Work History, Internships, Volunteer Opportunities, Projects and/or Related: Please list any key information that is not already provided in your attached materials. Ideally you only need the last 0-5 positions or 0-10 years of experience. Tip: For outstanding achievements outside of these date ranges there will be a separate section at the end to list it so material can be incorporated as needed by your consultant. You can provide minimal data to save you time. If your consultant needs something clarified, they will let you know. Do not let the enormous number of fields overwhelm you. They are provided to trigger your brain to think of important pieces of information you might otherwise have forgotten about. Each client will be triggered by a certain field differently so relax and complete yours to the best of your own ability and interest. Our goal? We love numbers so if we have just one number per experience, that's awesome – even something as simple as the number of people in your company can help us make your resume pop! Current or Most Recent Position/Experience: Please complete as applicable for your current or most recent position or experience. Additional space is provided at the end of the worksheet for experience/position(s) 2-5 in the same format. Position: Dates Employed: City, State: Employer: 3-5 Position Responsibilities: 2-5 Work Accomplishments using the P.A.R. Approach: a. What Problem Existed? b. What Action did you take to resolve it? c. What were the beneficial Results of your action? Number of People in Department: Number of People in Company: Number of People Supervised: Opportunities or Praises based on Recognition: a. Were you asked to take on more responsibility? b. Were you awarded a promotion or award? c. Did you earn a special bonus? d. Did you receive positive feedback from a supervisor, co-worker, vendor or customer? Are you able to quote anyone on this feedback from a review or their written consent? If so, please include. Numerical Achievements: Total Volume of your Assigned Work in Dollars, Repetitions or Customers: Sales Increases: Revenue Increases: Market Growth Increases: Number of Terminations: Cost Savings: Number of Hires: Number of Employees Trained: This is the hardest part of the process but most of us have something we accomplished that can be stated in a numerical format. You only need one example per job no matter how minor it may seem if it’s not already listed in another place on here or in your materials to really make your resume pop. a. List anything that can be numerically stated. b. Examples include increased efficiency by 25%, decreased coordination time by 2 hours, or increased volume by 10%. Anything else that demonstrates your talents? a. Examples include creation of a manual, checklist, process, policy or training provided to others. Additional space is provided at the end of the worksheet for position(s) 2-5 in the same format and achievements outside of those timeframes. Please list the name(s) of any honors or awards received as well as the date received and name of organization giving award. Please list any proficiencies not already identified in this worksheet or your materials that addresses any professional techniques or key skills related to your future desired job. Note the level of fluency of any languages spoken besides English. Honors and Awards: Professional Skills: Languages: Please list programs and languages you are able to use and industry related systems you are familiar with. If you have implemented, upgraded or provided training on any of these systems, please note that experience too. Computer or Technical Skills: Professional Associations and Networking Groups: Please list the name of any organizations you belong to that are relevant to your profession including dates of membership and any leadership positions held. Highlight any activities or community involvement not already listed and include leadership roles and length of membership or participation. Community Involvement: Name the top 5 skills you feel you possess for a professional setting. Name the top 3 weaknesses you feel you possess for a professional setting. Top 5 Skills: Top 3 Weaknesses: 2nd Most Recent Position/Experience: Position: Dates Employed: City, State: Employer: 3-5 Position Responsibilities: 2-5 Work Accomplishments using the P.A.R. Approach: a. What Problem Existed? b. What Action did you take to resolve it? c. What were the beneficial Results of your action? Number of People in Department: Number of People in Company: Number of People Supervised: Opportunities or Praises based on Recognition: a. Were you asked to take on more responsibility? b. Were you awarded a promotion or award? c. Did you earn a special bonus? d. Did you receive positive feedback from a supervisor, co-worker, vendor or customer? Are you able to quote anyone on this feedback from a review or their written consent? If so, please include. Numerical Achievements: Total Volume of your Assigned Work in Dollars, Repetitions or Customers: Sales Increases: Revenue Increases: Market Growth Increases: Number of Terminations: Cost Savings: Number of Hires: Number of Employees Trained: a. List anything that can be numerically stated. b. Examples include increased efficiency by 25%, decreased coordination time by 2 hours, or increased volume by 10%. Anything else that demonstrates your talents? a. Examples include creation of a manual, checklist, process, policy or training provided to others. 3rd Most Recent Position/Experience: Position: Dates Employed: City, State: Employer: 3-5 Position Responsibilities: 2-5 Work Accomplishments using the P.A.R. Approach: a. What Problem Existed? b. What Action did you take to resolve it? c. What were the beneficial Results of your action? Number of People in Department: Number of People in Company: Number of People Supervised: Opportunities or Praises based on Recognition: a. Were you asked to take on more responsibility? b. Were you awarded a promotion or award? c. Did you earn a special bonus? d. Did you receive positive feedback from a supervisor, co-worker, vendor or customer? Are you able to quote anyone on this feedback from a review or their written consent? If so, please include. Numerical Achievements: Total Volume of your Assigned Work in Dollars, Repetitions or Customers: Sales Increases: Revenue Increases: Market Growth Increases: Number of Terminations: Cost Savings: Number of Hires: Number of Employees Trained: a. List anything that can be numerically stated. b. Examples include increased efficiency by 25%, decreased coordination time by 2 hours, or increased volume by 10%. Anything else that demonstrates your talents? a. Examples include creation of a manual, checklist, process, policy or training provided to others. 4th Most Recent Position/Experience: Position: Dates Employed: City, State: Employer: 3-5 Position Responsibilities: 2-5 Work Accomplishments using the P.A.R. Approach: a. What Problem Existed? b. What Action did you take to resolve it? c. What were the beneficial Results of your action? Number of People in Department: Number of People in Company: Number of People Supervised: Opportunities or Praises based on Recognition: a. Were you asked to take on more responsibility? b. Were you awarded a promotion or award? c. Did you earn a special bonus? d. Did you receive positive feedback from a supervisor, co-worker, vendor or customer? Are you able to quote anyone on this feedback from a review or their written consent? If so, please include. Numerical Achievements: Total Volume of your Assigned Work in Dollars, Repetitions or Customers: Sales Increases: Revenue Increases: Market Growth Increases: Number of Terminations: Cost Savings: Number of Hires: Number of Employees Trained: a. List anything that can be numerically stated. b. Examples include increased efficiency by 25%, decreased coordination time by 2 hours, or increased volume by 10%. Anything else that demonstrates your talents? a. Examples include creation of a manual, checklist, process, policy or training provided to others. 5th Most Recent Position/Experience: Position: Dates Employed: City, State: Employer: 3-5 Position Responsibilities: 2-5 Work Accomplishments using the P.A.R. Approach: a. What Problem Existed? b. What Action did you take to resolve it? c. What were the beneficial Results of your action? Number of People in Department: Number of People in Company: Number of People Supervised: Opportunities or Praises based on Recognition: a. Were you asked to take on more responsibility? b. Were you awarded a promotion or award? c. Did you earn a special bonus? d. Did you receive positive feedback from a supervisor, co-worker, vendor or customer? Are you able to quote anyone on this feedback from a review or their written consent? If so, please include. Numerical Achievements: Total Volume of your Assigned Work in Dollars, Repetitions or Customers: Sales Increases: Revenue Increases: Market Growth Increases: Number of Terminations: Cost Savings: Number of Hires: Number of Employees Trained: a. List anything that can be numerically stated. b. Examples include increased efficiency by 25%, decreased coordination time by 2 hours, or increased volume by 10%. Anything else that demonstrates your talents? a. Examples include creation of a manual, checklist, process, policy or training provided to others. Outstanding Achievements Outside of Your Last 10 Years of Experience or 5 Last Positions: Please list anything not already provided above or with your materials that you feel is important such as prior roles, accomplishments or achievements. Anything Else: Please list anything else you would like your consultant to be aware of such as terminations, layoffs, or pertinent information that needs to be weaved into your professional history. If there is anything else that you would like to consider including, list it here as well. Notice: All information provided in this document is the sole property of Ryberg Group, LLC. Any reproduction or reuse of the information in this document without the express written consent of Ryberg Group, LLC is strictly prohibited and unlawful. The Ryberg Group, LLC assists individuals seeking and obtaining employment, but it does not and cannot guarantee that employment will result. The information provided in this document is not legal advice, and individuals should find an attorney for legal advice and counsel. Job Search Checklist Preliminary Organization Obtain job descriptions from previous positions and experiences. Obtain positive performance reviews from previous positions and experiences. Obtain positive quotes or testimonials from previous positions and experiences. Obtain numerical facts, statistics and data from previous positions and experiences (minimum of 1 per position or experience). Obtain factual details and dates from previous positions and experiences. Obtain education, training details and dates from previous schooling, training courses, certifications earned and relevant professional continuing education or designations. Ensure you have a professional email address, voicemail greeting and mailbox settings activated. Create a list of at least 3 professional references including their names, title, current organization, email address and phone number reachable during business hours. If you need to locate this information, do so now so that is current and ready to be given out quickly during the offer stage. Use this opportunity to check in with your references and ensure they are willing to advocate for you regarding an opening. ✓ You never know what may happen; oftentimes your references may already know of an opening you're perfect for. ✓ HINT: Keep this information in a folder and continue to add to it as you grow in your career so the next time you need to do this, it's so much easier. Goals Research your desired job(s) and location(s) to see what is available. Indeed, Glassdoor, LinkedIn and Google are great sources for this. ✓ Determine your ideal top 3 scenarios and write a list of why they are in your top picks. Identify the ideal salary range, schedule and requirements for your next position. Utilize Salary.com, Glassdoor and Indeed for this data. ✓ The U. S. government maintains an adequate place for comparing the data you find at this site: https://www.bls.gov/bls/blswage.htm. ✓ Think about how you will make a roadmap to land your desired next position or experience. Begin to write a plan of action down. By having something in writing, you can make it more manageable and real. ✓ Break your action plan into daily/weekly/monthly tasks based on your goal date of a new position. ✓ STUCK ALREADY? Let's talk so we can identify your goals before proceeding further. You cannot get to where you are going if you don't have a clue what that should look like for you. DON’T TIP OFF YOUR CURRENT GIG. Ensure you mark off for “Sharing Profile Edits” on LinkedIn. There is no faster way to notify your current boss or HR Department you may be looking for a new position than seeing your massive profile edits (don’t worry – we talk about those further down). NEED HELP? The Ryberg Group, LLC can help with any of these steps. Consider hiring a professional such as us to write this important document for you or provide constructive feedback based on your identified goals. Resume Google Yourself Correct any negative search results as possible. Switch your social media settings to private as possible or update your personal name as applicable to limit any hiring managers, recruiters or nosey parties from finding your personal information. Push out any positive search results as possible. Write or update your resume based on your goals identified above. Word has some great starter templates to assist with formatting. Have someone else proof your updated resume to catch anything you may have missed. Save a completed version of your Resume in Word for ongoing edits as you’ll likely need to tweak it for each job you apply with. Do not forget to always send your Resume as a PDF document. It looks so much better to the end user in PDF plus many professionals may be viewing it on a tablet or phone so it will read and print more clearly to them this way. ✓ Cover Letter Write or update your cover letter based on your goals identified above. Word has some greater starter templates to assist with formatting. Have someone else proof your updated cover letter to catch anything you may have missed. Save a completed version of your Cover Letter in Word for ongoing edits as you’ll likely need to tweak it for each job you apply with. user in PDF plus many professionals may be viewing it on a tablet or phone so it will read and print more clearly to them this way. ✓ Do not forget to always send your Cover Letter as a PDF document. It looks so much better to the end You will need to consider minor edits to your cover letter for each job you apply to based on the job advertisement details. ✓ ROADBLOCK? The Ryberg Group, LLC can help with any of these steps. Consider hiring a professional such as us to write this important document for you or provide constructive feedback based on your identified goals. The Ryberg Group, LLC can help with any of these steps. Consider hiring a professional such as us to write or edit this important platform for you or provide constructive feedback based on your identified goals. LinkedIn Profile Networking, Professional Societies and Relevant Groups Create or update your profile based on your goals identified above. Consider blocking individuals you may be very concerned about during your search if you feel they could jeopardize your current position. ✓ 4. Your content should follow and mirror your resume but differentiate too. The goal is to land an interview or be found by a recruiter so the 2 items should be similar but still stand out from one another. 5. Add skills and ask for Endorsements. 6. Definitely obtain a minimum of 3 recommendations. Consider supervisors, peers, vendors, professors, clients, customers or professional group contracts as sources of reommendations. 7. Keep years off of education unless you're a total new grad (less than 1.5 years out from graduation). 8. Turn on the Career Interests section and ensure you fill it out based on your above goals. Have someone else proof your profile to catch anything you may have missed. Join at least two professional societies related to your profession. Save your receipts on this or any job search related expenses and check with your accountant on which ones are tax deductible. Note, some of the services the Ryberg Group, LLC offers may even be tax deductible! Track which groups will be important to you throughout your career and negotiate the expenses to join or attend events as part of your offer package when you receive a job so you can continue your career development and networking opportunities. Join at least one local networking group or select one in the location of your desired job. 1. Add a current, professional headshot. We recommend a new one every 3 to 4 years. No budget? Consider JC Penney’s, Portrait Innovations, or someone with a good talent take for you. Dress like you would for an interview! 2. Create a custom URL. 3. Update your privacy settings to your comfort level. See above – lock what you don’t want current employers to see. Applications Apply to jobs of interest based on your identified goals. Tailor each application to match the job you are applying to by tweaking key words into your cover letter, resume or LinkedIn profile. ✓ Yes, you do need to slow down and diligently fill out all pieces of an ATS (Applicant Tracking System) submission. It's a site that helps prepare you for strong personality assessment results. We were skeptical too - but our clients had tremendous success in their interview invitations after utilizing it. ✓ TIP: Go to https://skillsyncer.com to compare your resume against the job ad to see if you meet the key words requirement. Tweak as needed to boost your chances of being called. Our clients have had tremendous success with this site and their interview invites! ✓ Post your resume to relevant job boards or professional societies in order to be found by recruiters. Consider blasting your resume to multiple boards via one of the recommended sites stated in this article: https://www.careercloud.com/news/2015/3/8/10-sites-you-should-be-posting-your-resume-on This method is not recommended for executive level candidates if seeking another C-suite level ✓ position but is sufficient for mid-level candidates and below. Network. Who do you know that helps make hiring decisions? How can you begin to network with these types of individuals? Do your research – find out who the key recruiters, staffing agencies and parties are on the scene for your ideal jobs. Find ways to have information sessions, coffees or other facetime with these parties. Utilize your network for introductions to these contacts. ✓ The Ryberg Group, LLC can help with identifying relevant places to start if you’re unsure. Consider hiring a professional such as us to help you identify unique ways to network and become established with the right contacts. Utilize your existing contacts to set up coffees, informational sessions or phone calls to strengthen your current contacts and develop more through them. EASIER SAID THAN DONE? Our consultants can help you come up with a plan and scripts for these situations. Each person’s situation, goals and roadmap will look different so let us help you if you need it. Interview Preparation Get ready for your upcoming interviews via Skype, phone, and in-person. These may include group interviews, casual coffees or intense round after round after round. Each employer does this differently so the more you can prepare, the better. Set up Skype now if there is any chance of it being part of the process. Test it out and get used to it before the first interview. ✓ Personality assessments scaring you or preventing you from moving forward? Our clients have had positive results from www.jobtestprep.com. ✓ SECRET TIP? Get experience in a real setting. Apply to some jobs of no interest to you for the sake of getting interview practice. Learn from these experiences and help settle future nerves by having a few under your belt. [x] Consider hiring a professional such as us to conduct a highly customized mock interview for your goals identified above. This will help you with questions to be prepared for as well as advice on how to best answer them. Practice makes perfect. Research your ideal employer on Glassdoor or similar sites for examples or feedback from other candidates. Are you ready for any of the questions listed at this link: https://www.glassdoor.com/blog/common-interview-questions/ ? How to Interview the Employer and Obtain Your Goals Ask questions, pay attention and don’t miss the signs of what you may or may not be getting into should you receive an offer. Come prepared with at least 5-8 questions to ask. Focus on questions that ensure the position and culture is the right fit for you. Do your research in advance through sources such as Glassdoor to ask the right questions and get the most of your experience. Use this opportunity to gather information that may be needed during the offer negotiation process too. Make an employer want you before you ask for or attempt to negotiate anything such as a flexible or reduced hours schedule, remote office days or other ideal scenario. You will get further in this arrangement if you wait until you have been extended an offer. Thus, ask cautiously about these ideal desires to learn more without giving away your wishes until an offer is in hand. At that point, you will have more leverage as the top candidate. ✓ DO NOT FORGET THEY ARE SELLING YOU. Ensure you interview them too. Not sure how to do this? Utilize a professional to help you prepare for the interview and obtain the necessary information you need prior to accepting an offer. The Ryberg Group, LLC is available to help in this capacity. Examples 1. Why is the position open? 2. Can I see a current Organization Chart? How long has each person been working for my potential boss or other managers at this organization? 3. Are bonuses, merit increases and other opportunities for financial growth in writing or purely subjective each year? 4. Is the 401(k) match in writing or discretionary? 5. If you state you offer continuing education or tuition reimbursement, can you tell me about someone that has utilized it recently and how that worked out for their position and career growth here? 6. How does new hire orientation and training work at your company? 7. What types of team building or leadership development takes place here? 8. Can I see a Summary of Benefits for all items offered to employees? What was the average increase of costs to the employee for the past 3-5 years? [x] The same advice goes to 401k, bonuses and annual merits. Ensure you receive something in writing if they claim something is part of your package or will be in the future. Lots of companies will "undersell" you on the promise of what is to come but there is nothing in writing to guarantee it in the future. That typically means because it does not nor will it exist in the near future. [x] Always ensure you receive a Summary of Benefits for what someone claims is offered to you. If you have health or dental concerns that can be expensive, ensure you ask to see the Summary Plan Document for that particular plan and check with the vendor to ensure your items are covered before accepting any offers. a) Sometimes this is fair – start-ups, new acquisitions, or major shake-ups could make this risk worth taking and could indeed pay off for you. b) It's important to carefully weigh these items before accepting any position and truly understand the risk you are taking and what you are receiving. 9. Do at least 2 people give the same answers? A good sales person will tell you what you want to hear. It's more likely to be true if you obtain universal answers. [x] No job will be perfect but it's important to find the one that is the right fit for you at the right time so you can reach your goals and progress as you desire for your situation. [x] If you do not receive consistent answers, warning bells should go off and you should get clarification in writing on any areas in dispute. Post Interview Necessities Always send an email thank you to anyone you interviewed with. You do not need to do a hand written one any longer as it may get there after they make their decision. Wait. Be patient. Stay busy with something else. Forgo the desire to check in too soon. ✓ If you have waited at least 7 days from an interview and have not heard back, it’s appropriate to follow-up with the recruiter to see if any decisions have been made in the process. If they’re interested in you, you will hear when the timing is right. After one check-in, let it go and move on to other possibilities. Stay open to the opportunity should their timing work out later but don’t put all your eggs in one basket and wait for months either. ✓ We recommend at least 1 prior supervisor as a reference; the more the better if you can offer them. Peers or management level titles are always preferred over "friends" or subordinate level positions. This can be hard as the years go on depending on your level and duties - consider clients, customers or business partnerships in authority level positions or strong reputations as well. We suggest having references listed on a template that matches your cover letter and resume for giving the end viewer a solid document and overall package to look at - this shows incredible attention to detail. We provide our template and writing clients with one free of charge. ✓ Remote Work Schedules Steer Carefully with Current Supervisors for Reference Checks. How to handle the dreaded current supervisor dilemma? State in your email or verbal message My attached references will enthusiastically confirm X, Y and/or Z. Please note since I am applying for this position confidentially, I have listed a reference at my current company that is not my supervisor. Should I be considered the top candidate for an offer, I would happily provide my supervisor's contact information following my ability to have a conversation notifying them of my pending offer and reference check. I appreciate your understanding in my need to remain confidential until that point in time. PATIENCE. Most recruiters or hiring managers are juggling a million tasks. While it is your priority, it may not be their number one priority or they may need approval that takes time. TIP? Use this time to organize your interview notes and materials to ensure you verify any key items prior to accepting an offer. Offer Stage Congratulations! Evaluate this offer. Does it meet the job duties, salary range, schedule and other requirements you identified above? Should you accept it? If not, respectfully decline. If yes, now what? Would you like to negotiate any terms? Typically the answer is yes. Examples include: Pay Vacation or PTO Hours Severance Based on Sale or Acquisition of Organization Travel Points and Your Ownership of Any Earned Start Date Professional Organization or Networking Group Costs Continuing Education or Higher Education Credits Stock Options Payback Agreements Profit Sharing Vehicle or Auto Allowance Partnership Terms Cell Phone Benefits *Reimbursements for Internet or Home Office Expenses Conclusion We sincerely hope you land the job of your dreams for right now in your career. When you're ready to move in your current company or look elsewhere again, we recommend you refer back to this checklist for tips and pointers. You can find more information about any of our economical and customized job and career consulting services at www.ryberggroup.com. Notice: All information provided in this document is the sole property of Ryberg Group, LLC. Any reproduction or reuse of the information in this document without the express written consent of Ryberg Group, LLC is strictly prohibited and unlawful. The Ryberg Group, LLC assists individuals seeking and obtaining employment, but it does not and cannot guarantee that employment will result. The information provided in this document is not legal advice, and individuals should find an attorney for legal advice and counsel. Thank You Letter Template Month Day, Year COMPANY Attention: Hiring Manager or Human Resources 1208 Street Name, Suite 132 City, XY 55555 Dear Name: Thank you for taking time from your busy schedule to meet with me yesterday regarding the position of Insert Name. Insert 1-2 sentences describing what interested you the most about the culture/fit of organization or interviewer based on this interview (for example: It was fascinating to learn more about your background and vision for the growth of the department. I loved the fact it sounded very fast-paced and cutting edge). I am confident that I can meet your performance expectations if hired as an employee of Insert Company Name. The desired attributes you mentioned most often in our meeting, along with my qualifications and experience would make me an excellent fit for your vacancy. Based on our meeting, I feel I could bring the following essential skills and personality traits for your position and team: List Top Soft Skill List Top Technical Skill List Top Personality Fit Describe top soft skill you possess that they mentioned needing. Describe top technical skill you possess that they mentioned needing. Describe top personality fit you possess that you thought matched their culture. My references will enthusiastically confirm I am a dependable and flexible team player with the skill set you are looking for in this position. I sincerely look forward to hearing back from you regarding your final hiring decision. I would greatly appreciate any feedback you may have to give to me as well. If you need any additional information from me, please do not hesitate to reach out. Sincerely yours, Signature FULL NAME Cc: Human Resources or Hiring Manager Letter of Resignation Template Month Day, Year COMPANY Attention: Hiring Manager or Human Resources 1208 Street Name, Suite 132 City, XY 55555 Re: Letter of Resignation Dear Name, Please accept this letter as formal notification that I am resigning from my position as Title with Company. My last day will be on Month Day, Year. Thank you so much for the opportunity to work [in/with this position or company] for the past Insert Tenure. I’ve greatly enjoyed and appreciated the opportunities I’ve had to [name a few of your favorite job responsibilities], and I’ve learned [a few specific things you’ve learned on the job], all of which I will take with me throughout my career. During my last two weeks, I’ll do everything possible to wrap up my duties and train other team members. Please let me know if there’s anything else I can do to aid during these last two weeks. I wish the company continued success, and I hope to stay in touch in the future. Sincerely yours, Signature FULL NAME Cc: Human Resources or Hiring Manager RYBERG GROUP, LLC Employee Branding Career Consulting 100% Customized to Your Needs My approach is to make this process as simple as possible for you, yet offer you more than you could come up with on your own, guiding you to the ideal position for you during each season of life. HR Leadership Background 15+ years of senior-level human resources and business experience now focused exclusively on helping clients see through the lens of a hiring manager. Certified Professional Resume Writer Obtained through the Professional Association of Resume Writers and Career Coaches. Direct and Practical Guided coaching to get you where you need to go quickly. Don't mistake a "no-frills" approach as not enough. Be prepared to be blown away with personalized feedback and action steps. If you would like to explore one of my products or services further, please visit ryberggroup.com Save PDF SMARTEST Job Search Action Plan Your Dream Jobs: Your Top 5 Job Requirements at this Season of Life: \| \| S \| M \| A \| R \| T \| E \| S \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| Categories for your NEEDS and WANTS \| List down your goals SPECIFICALLY \| How would you MEASURE your success? \| Describe your ACTION PLANS \| Are your goals REALISTIC? Doable? Attainable? Yes/No \| What is your TIME frame for these goals? \| EXPECTATION MANAGEMENT Under what circumstances will you consider adjustments? \| SCHEDULED Have you blocked the necessary time to complete or outsource tasks into your planner or personal schedule? \| \| Mental Game \| \| \| \| \| \| \| \| \| In-Progress Skills \| \| \| \| \| \| \| \| \| Cover Letter \| \| \| \| \| \| \| \| \| Resume \| \| \| \| \| \| \| \| \| LinkedIn Profile \| \| \| \| \| \| \| \| \| Job Search Tracker \| \| \| \| \| \| \| \| \| Apply Online \| \| \| \| \| \| \| \| \| Networking \| \| \| \| \| \| \| \| \| Assessment Preparation \| \| \| \| \| \| \| \| \| Interview Preparation \| \| \| \| \| \| \| \| \| Reassessment and Progress Check-In \| \| \| \| \| \| \| \| \| Your Market Value \| \| \| \| \| \| \| \| \| Personal Branding and Appearance \| \| \| \| \| \| \| \| \| Research and Trusting Your Gut \| \| \| \| \| \| \| \| \| Interview Them and Verify Your Gut \| \| \| \| \| \| \| \| \| Thank Yous and Rejections as a Network Opportunity \| \| \| \| \| \| \| \| \| Counter Offers and Negotiating \| \| \| \| \| \| \| \| \| Keep Options Open \| \| \| \| \| \| \| \| created by Ryberg Group, LLC www.ryberggroup.com firstname.lastname@example.org Set up a free 15-minute consultation to discuss how Ryberg Group, LLC can help you at www.calendly.com/nryberg
financial institutions trading in Europe significantly shifted their investments to US dollar bonds. In the future, however, the distinction between the role of the IMF and that of central banks in dealing with international sudden stops will likely be less clear. These loans of last resort are clearly the domain of central banks. Unlike the IMF, central banks can create money quickly, assess the solvency of banks, and judge the quality of collateral. Unlike IMF loans, swap lines are not loans to governments and do not monetize public debt, whether domestic or foreign; they use collateral rather than conditionality as the incentive; and they lead to conventional credit risk for the recipient central bank but little risk for the originator central bank. Why? Second, central bank lending facilities are set up to deal only with short-term liquidity problems and require a transition to a fiscal operation if the problems persist. When a bank has difficulty repaying the central bank for a prolonged period, the fiscal authorities are called in and a bailout package that replaces monetary with fiscal policy is arranged. Although central banks strive to lend to institutions that are illiquid but solvent, sometimes these institutions turn out to be insolvent. When that happens the problem is fiscal and involves government finances, the purview of the IMF. First, because capital flows are often intermediated by banks, a run on a country often starts with a run on its banks. Further, because of the diabolic loop that arises when banks hold a large amount of their government's bonds, the solvency of both becomes intertwined. Central bank swap lines may be used at first, but soon the IMF is called, with the distinction between the two becoming one of timing. In fact, during the euro crisis of 2010–12, the sudden stop in stressed euro area economies first triggered credit between the euro area central banks in their TARGET II (the euro area's payments processing network) balances. Eventually IMF lending was needed. Third, the number of central bank swap lines has grown quickly. There are roughly three types of such arrangements today. Type I are bank-focused, as just described. Type II are arrangements such as those between the People's Bank of China and central banks in countries where there is significant Chinese investment or where large financial centers facilitate bilateral trade settlements between firms. Type III include the Chiang Mai Initiative among Southeast Asian countries, which pools foreign reserves in case of a speculative attack, and the European Central Bank's Exchange Rate Mechanism II arrangements, which support confidence in exchange rate pegs. Type III swap lines closely complement or substitute for IMF actions; however, they are bilateral, up for frequent renewal, and subject to discretionary political choices between nations, so they can conceivably be withdrawn just as they are needed. The IMF could play a role in future swap lines and in promoting multilateralism. The Fed has only five standing Type I swap lines, all with advanced economies, but many other central banks, especially in emerging markets, would benefit from them, given the dollarization of their banks and exports. Advanced economy central banks legitimately worry that swap lines may not be honored by recipient central banks and that the foreign currency held could be worth less if the exchange rate is very volatile. The IMF is in the best position to assess this risk, choose the margin to apply to the current exchange rate, and underwrite these contracts. The central bank that is the originator would then bear no risk, nor should it. If the recipient central bank and its government default, the IMF would control how much domestic currency enters circulation, the amount of IMF lending, and how much IMF capital is put at risk. IMF lending and central bank swap lines are very different instruments, but the IMF could play a role in the latter to complement the former. RICARDO REIS is the A. W. Phillips Professor of Economics at the London School of Economics and Political Science. June 2019 \| FINANCE & DEVELOPMENT ©International Monetary Fund. Not for Redistribution 43 Economist as Engineer Bob Simison profiles Stanford's Susan Athey, who brings machine learning to economics 44FINANCE & DEVELOPMENT\| June 2019 ©International Monetary Fund. Not for Redistribution I t was just plain luck when Susan Athey glanced out the kitchen window one day last January. A coyote was making off with one of the family's pet chickens clutched in its fangs. "The idea that I kept a chicken in my house for a month would be horrifying to my relatives in Alabama," where her grandmother once raised chickens, says Athey, a Stanford economist. As for the choice of chickens as pets, that was simple resource-allocation economics, says Guido Imbens, a Stanford econometrics professor who's been married to Athey since 2002. Chickens are lowermaintenance than dogs or cats, and they lay a couple of dozen eggs a week. Athey grabbed a broom, fought off the coyote, and got Viola, a buff-colored chicken, to a veterinarian to be stitched back together. After a month-long convalescence in the family home on the Stanford campus, Viola rejoined the ninechicken flock. The Superwoman episode is no surprise to those who know Athey as an academic superstar. At the age of 48, she is the economics of technology professor at the Stanford Graduate School of Business and has won just about every award imaginable. She has published an array of papers on some of the hottest issues in economics, pioneered the role of tech economist, and helped confront her profession's #MeToo history. "It's astonishing the breadth and depth of what she has worked on," says Robert Marshall, an economics professor at Penn State University. "That's not usual. Scott Adams, the creator of the comic 'Dilbert,' has said that there are 100 people on the planet at a given time who will make a difference. She is one of them." Through academic positions at Stanford, Harvard, Yale, and the Massachusetts Institute of Technology (MIT), as well as consulting for Microsoft and other companies, she has since broken ground studying the economics of the internet, applying auction theory to online services such as search-related advertising, and developing the emerging field of tech economics. In 2007, Athey won the John Bates Clark Medal for outstanding economists under the age of 40, the first female to do so. It normally goes without saying that winners are a good bet for a Nobel. Marshall says it anyway. Marshall was a mentor of Athey's when she was a Duke University undergraduate in the late 1980s. Before she landed a job as Marshall's research assistant, Athey focused on math and computer science. The Clark medal recognized her work in solving complex statistical problems, advancing knowledge of market design and the mechanics of auctions, econometrics, and industrial organization. Some of her early findings supported the Federal Reserve's adoption of inflation targeting for managing monetary policy. "Susan is really a model of what I think economists should be," says Matthew Gentzkow, a Stanford economics professor who won the Clark medal in 2014. "She combines absolutely cutting-edge engagement with research on the frontiers of economics, while having a deep level of engagement with communities outside of economics. She's translating science into an impact on the real world." For an academic of her prominence, Athey has few visible critics, according to those who know her and her work well. Some of them say there may be quiet resentment over her success academically and economically as a woman. Athey sees the diverse elements of her career on a continuum. Her early research on timber auctions and pricing schemes flowed into work on technology markets such as designing search-engine advertising auctions, she says. When she realized that the tools for finding cause-and-effect links using machine learning or artificial intelligence didn't exist, she set out to develop them. That led to her current interest in using technology, machine learning, and other tools of tech economics to help address social problems, she says. Athey is known as a hard worker. The day after Christmas 2004, she came to school to help Catherine Tucker, then a Stanford PhD candidate and now a professor at MIT, prepare a key presentation. As an assistant professor, she worked all hours, says Stanford business dean Jonathan Levin. Athey responded to an email from Joshua Gans, an economics professor at the University of Toronto and a former grad school colleague, by phoning him in Australia from the labor and delivery room while having the first of her three children. "Market design is a cross-cutting theme all the way through," Athey says. "We want to think of the economist as engineer, that we want to get out and actually use the tools of economics to make markets work better." The daughter of a physicist and an English teacher, Athey enrolled at Duke University in Durham, North Carolina, at the age of 16 after growing up in the Maryland suburbs of Washington. She was active in a sorority and was president of the Duke field hockey June 2019 \|FINANCE & DEVELOPMENT ©International Monetary Fund. Not for Redistribution 45 46 PEOPLE IN ECONOMICS club. Then a friend introduced her to Marshall, who was working on procurement auctions at the time. In 2007, Microsoft was working to make its search engine—which eventually became known as Bing—competitive with Google. Such companies sell advertising space for search results through auctions, Athey says. "Susan was instrumental in doing work on my paper," Marshall says. "She made me very much more productive. I told colleagues that she was smarter and better than I was." "I asked my research assistant, who was leaving, to find me someone who was as good as she was or better," Marshall says. "She came back with what looked like a high school student." Athey soon impressed him as eager, thoughtful, deliberate, and brilliant. At Marshall's suggestion, Athey began searching for information about the timber industry and found a source who had digitized the records from thousands of timber auctions. This formed the basis of several research papers for Marshall, and years later Athey returned to write several papers using the same data set. As a newly minted, 24-year-old Stanford PhD in 1995, Athey was the subject of a New York Times profile proclaiming her "the top draft pick in economics" and reporting that she fielded two dozen job offers, from which she chose MIT. Athey went on to publish paper after paper on auctions and government procurement, showing how market structures can encourage collusion among buyers and sellers and how government agencies were leaving vast amounts of money on the table. She points out that she designed the timber auction system now used by the government of British Columbia, one of the world's largest producers of lumber. Bidding war "I quizzed the real estate agent and went through previous types of auctions he'd been part of," she says. That helped her calculate just the right bid to win the house. Athey put her knowledge of markets and auctions to practical use in 2001, when she and husband Imbens found themselves in the quintessential California experience, a four-way bidding war for a house. It showed how she approaches problems, methodically gathering all the information, according to Imbens. Athey says it wasn't rocket science, just Auctions 101. Athey caught the attention of Microsoft's thenCEO Steve Ballmer in 2007. He says he read about her Clark award in a Harvard publication and recruited her as a consultant. It lasted until 2014, when the company asked her to come on full-time and she chose to stick with her academic career. "The early academic literature on these auctions hadn't really accounted for the fact that auction design affects the quality of the advertisements, and further, how much attention consumers pay to the advertisements depends on that quality," she says. Together with MIT economist Glenn Ellison, Athey published a paper "that brought the consumer into the picture." Athey's work at Microsoft extended well beyond market design and included work on mapping economic objectives into the measurements that were used to guide and operate the search advertising business. It was an important insight that applies not just in search, but also to online marketplaces like Airbnb and others, Athey says. It pointed toward paying more attention to the role of auction design on the quality of the user's experience, which feeds back into the advertisers' incentives to participate and create high-quality advertisements. "When the advertisements are a better match to the consumer intent, the advertisers will pay more for a click," she says. Athey's contributions were significant, says Ballmer, the billionaire businessman who stepped down as Microsoft CEO in 2014. That's why other top tech companies have taken to hiring PhD economists by the hundreds, he says. Athey cites her role in "pioneering tech economics" alongside economists such as Google's Hal Varian as one of her proudest contributions. "We've entered a world in which computer science, instead of figuring out absolute answers, is using data to guess at answers statistically," Ballmer says. Athey was one of the first economists to help develop that approach, he says. "Economics and computer science are both evolving, and economists are using statistical technology to think about all things economic." "When I think about tech economics, it's actually a very broad thing," Athey says. "Tech economics includes market design, but it also includes machine learning and understanding the impact of technology on the economy." Women in economics Colleagues both male and female credit Athey for providing an important role model for women in a traditionally male-dominated discipline. Of the FINANCE & DEVELOPMENT\| June 2019 ©International Monetary Fund. Not for Redistribution
1804 USMAN DAN FODIO'S JIHAD ON INTER-GROUP RELATIONS IN THE CONTEMPORARY NIGERIAN STATE Nmah, Patrick Enoch Department of Religion and Human Relations Nnamdi Azikiwe University, Awka-Nigeria Amanambu, Uchenna Ebony Department of Religion and Human Relations Nnamdi Azikiwe University, Awka-Nigeria Abstract The history of mankind is replete with the issues of conflicts, wars, crises, intolerance as well as series of moves for peace, tolerance, understanding and mutual cohesion aimed at ensuring common good. Most times these activities hardly live out long lasting objectives. Therefore, this paper seeks to discuss the brief history of Usman dan Fodio and his 1804 jihad, the state of Hausa land before the jihad, some remote and immediate causes of the jihad, the outcomes of the jihad, the amalgamation of Nigeria and its effects on the inter-group relationships in Nigeria. Introduction An unforgettable event occurred across the ancient Hausa land in 1804 when Usman dan Fodio launched a jihad war that overran almost all northern and some parts of Yoruba land. After about one hundred and ten years of that jihad, precisely in 1914, the colonial government unified both the ancient Hausa states and all the parts that were conquered by the jihad with other tribes that never knew about the jihad to produce the present day Nigerian state. About forty six years after that unification, Nigeria secured the so-called independence from her colonial masters. In spite of its deficiencies, the unilateral amalgamation was sustained by Nigerians with the aim of having a nation state like other progressive nations of the world, where all avenues should be exploited to make her an economically strong and virile nation. A place where like the Independence National Anthem acknowledged and reflected; "though tribe and tongue may differ, in brotherhood we stand". Many of the citizens yearned for a united country where tribes and tongues may naturally differ, yet live in peace and harmony as one united and indivisible country. A country where people can stand for brotherhood and be proud to serve their sovereign motherland as symbolized in the Green-White- Green of the national flag, that signifies Peace, Justice and Prosperity. Incidentally, this was echoed by the preface of the Nigerian 1999 Constitution as amended in 2011, "we the people of the Federal Republic of Nigeria having firmly and solemnly resolved to live in unity and harmony as one indivisible and indissoluble sovereign nation under God". But sectarian killings in the giuse of religion and ethnic leaning, crises and instabilities occasioned by religious fundamentalists have repeatedly defied these hopes and wasted the chances of the country in becoming the nation of her dream. One of the issues that come handy is the concepts of jihad and sharia vis-àvis Usman dan Fodio's 1804 jihad. Clarification of Terms Critical means making careful judgment about the good and bad qualities of something or somebody. Analysis means a detailed examination of something so as to understand it or what it consists of. Effects: simply stands a result of something, Usman dan Fodio's Jihad in the view of Kukah (1993) is a war launched by Usman dan Fodio in 1804 with the aim of establishing Islamic state (p.115). Inter-Group Relationship means a way or pattern through which different people behave towards each other. Contemporary implies a person or thing living or existing at the moment. Nigeria state according to Meek (1925), is a name given by Flora Shaw, meaning Niger or river areas (p.59). Nigeria can be briefly defined as the conglomerates of nations that were st amalgamated into one country in 1914 but on 1 October, 1960, gained political independence from Britain. In the context of this study, a Critical Analysis of the Effects of the 1804 Usman dan Fodio's Jihad on Inter-Group Relations in Contemporary Nigerian State means an unbiased explanations of how Usman dan Fodio's jihad has been dictating and influencing the behaviours and interactions between the conquered and those who were not part of the war. This study is premised on the fact that the 1804 Usman dan Fodio's jihad ended officially between 1809 and 1810 but its continuity and effects have not ceased. Theoretical Framework Interactionist Theory Interactionist theory is a veritable social theory which according to Mooney, Knox and Schacht (2007) is largely influenced by the works of early sociologists and philosophers such as George Simmel, Charles Cooley, George Herbert Mead and Erving Goffman (p.14). Alix (1995) argues that interactionist can be divided into symbolic, exchange and dramaturgical dimensions. Ahamefula and Nnajieto (2005) said that the symbolic dimension of the interactionist theory has to do with how people attach values to rituals, language, how people mutually emits and interpret each other's gestures (pp.14-17). Crossman (2016) asserts that this dimension of interactionism is a major framework of sociological theory because people develop and rely upon it in the process of social interactions. Thus, society is thought to be socially constructed through human interpretation. People interpret one another's behaviour and these interpretations often form the social bond (p.13). Interactionism is a theoretical perspective in which a society is thought to be a product of the everyday social interactions among millions of people. Instead of looking at a social system on a larger scale, it focuses on the way that people act, or make conscious choices regarding people's behaviour and that proceed from how these situations are interpreted. In other words, human beings are not only reacting to social stimuli, but also react to individual stimuli. Therefore, it is considered in this study because it connotes social processes such as conflict, cooperation and identity formation arising from human interactions. It is the study of how individuals act within society. It is a social interaction of face-to-face process consisting of actions, reactions, and mutual adaptation between two or more individuals. This is because according to Ahamefula and Nnajieto (2005), views society as a product of everyday social interactions of individuals (p.19). Usman dan Fodio's jihad took place in an environment hence the need to succinctly discuss the environment. Hausa Land before the Coming of Islam Hunwick (1966) said that the Hausa land before the arrival Islam was largely a pagan oriented society. There were about fourteen independent kingdoms of Hausa states before the arrival of Islam (p.293). Similarly, Abiola (1984) and Kaura (2004) affirm that the pre-Islamic Hausa state was that of religious syncretism, worship of lifeless objects as well as misadministration and misuse of powers. Therefore, the state of Hausa land before the arrival of Islam was purely an environment governed by traditional religion and culture. Brief Stint on the Life and Teachings of Usman Dan Fodio According to Crowder and Abdullahi (1979), Milsome (1979) and Fage (1988), Usman dan Fodio, of Fulani origin was born in 1754 in Marata, Gobir, to the Toronkawa tribe. Sulaiman (1986) adds that shortly after his birth, his parents and the rest of the family relocated to Degel. It was at Degel that Usman dan Fodio grew up. He received most of his education from his parents and relatives because in Timbukutu tradition parents and relatives were the first teachers for any child. Again, Usman dan Fodio's descent has been traced to one Mura Jakolo, who had migrated to Gobir from Futa-Toro around the 15th century. His ancestors were also believed to have settled originally in Konni before they eventually migrated to Degel (p.109). Olupona (1991) asserts the Toronkawa claimed descent from Prophet Mohammad and they were the first occupants of Gobir land (p.39). It is not surprising therefore that Usman dan Fodio himself was an erudite scholar who had undertaken a deep study of Islamic law, theology and mysticism. But Milsome (1979) posits that he received his first tutelage under his father, his uncles and later at Agades, north of Marata, at the feet of Jebril (p.19). Furthermore, Cook (2011) asserts that Usman dan Fodio's life can be divided into two sections which are: his teaching phase and the active phase. During the first phase, he was closely linked with the Hausa rulers especially in a preaching and hortatory capacity, calling for the suppression of innovation. But after twenty years of his preaching ministry, in 1804 he performed hijra to a small town of Gudu (p.5). Isichei (1983) said that he started preaching at the tender age of twenty in the area around Degel (p.202). About the 1804 Usman Dan Fodio's Jihad Everything about the 1804 jihad in Hausa land revolves around the life, person and teachings of Usman dan Fodio. Hunwick (1966) said that the mixture of migrated Fulani tribe and the original inhabitants Hausa land produced a high degree of cultural mix among the indigenes and the alien group. The Hausa people were largely pagan while the Fulani people were predominantly Muslims (p.293). Adeleye (1971) observes that through the obvious ensuing admixture between the Islamic culture and the indigenous Hausa pagan culture, a gradual polarization of society along the lines of two conflicting religio-political ideologies occurred. In order to correct this abnormally, Usman dan Fodio embarked on preaching tours or missionary journeys to Kebbi, Zamfara and Gobir where he adroitly explained the tenets of Islam to the people. He employed the use of poems and pamphlets written in Arabic, Fulfude and Hausa languages in his missionary activities. He was able to spread his teachings to most parts of Northern Nigeria. As a reward for his zeal, he won a great number of admirers and followers across the whole of Hausa land. This was to play a decisive role in the success of the Jihad some years later. The leadership ability soon earned him wider credibility and recognition (p.560). Meanwhile, Sulaiman (1986) notes that by 1789, Usman dan Fodio had raised so many followers that Bawa Jan Garzo, King of Gobir, viewed him as a political threat. He feared the Jamaa or Muslim community was becoming highly organized and that could make his own leadership without influence and power (p.187). Many scholars like Afigbo (1999) seem to agree that the Usman dan Fodio's Jihad was a holy war declared and prosecuted with a view to establishing a purer form of Islam in a predominantly decadent pagan society. Khalid (2012) maintains that by 1795, the power was eroding the Gobir rulers and they tried to consolidate. This move was around this period that Usman dan Fodio wrote a poem in praise of Sheikh Abdul Kadir Jilani. In the poem, he urged his jamaa to acquire arms to establish Islamic rule in Hausa land. To quell his insecurity, the King promulgated new laws which include: that no one was allowed to preach except Usman dan Fodio, conversions were not allowed and those who were not born Muslims should revert back to their old religion, no man was allowed to wear the turban and no woman a veil. This attempt to control the masses failed and provoked Muslims to become militant and amass arms. The failure of enforcing the policy forced desperate King Nafata to take Usman dan Fodio's family hostage and coerce him to discontinue his activities but this too failed and the king died in 1802. His son, Yunfa took over the throne when Usman dan Fodio wrote on the theme of Hijra and Jihad in Al-Masa'il al-Mu-himma. Like his father, Yumfa made an attempt on Usman dan Fodio's life but again failed. He performed the hijra and the jihad was subsequently launched. Afigbo (1999) agrees that the Jihad was the most successful of all other Jihads carried out in the Western Africa (p.67). There are manures that fertilized the ground for the launching of the jihad and some of them are thus highlighted. Some of the Observable Remote Causes of the Jihad Compromised religion and desire for its purification. Milsome (1979) states that Usman dan Fodio's jihad was aimed at reviving Islam in Hausa land towards the orthodox line. The Fulanis accused the Hausa rulers of polytheism and other un-Islamic practices (p.12). As Adeleye (1971) affirms, it was circumstances like these which Muslims were radically hated that brought about the tension which precipitated the Jihad (p.599). Horrible and Unfriendly Environment The general state of Hausa land was that of oppression and suppression of the masses. Milsome (1979) notes that Usman dan Fodio alleged that corruption was widespread in the Hausa government with appointments being based on bribes, rather than merit (pp.11-12). Clarke (1982) confirms the fact that Hausa land before the jihad was that of extortion and oppressive taxation (p.99). Nwanaju (2008) affirms that the Pre Jihadist Hausa state was that of an environment where slave trade thrived. They raided their neighbours to the south and west for the acquisition of slaves. From the fourteenth to the sixteenth century, the use of human beings for slavery was very popular in Hausa land (pp.24-25). Sulaiman (1986) identifies a ceaseless interplay between the forces of decay and regeneration in Hausa land before the jihad (p.90). Lenshie and Ayokhai (2013) affirm that the repressive nature of Hausa people particularly Gobir rulers, by their actions showed them as wicked in a land considered the land of Islam (p.4). The quest for freedom: Abiola (1984) said that many factors combined to make the Fulani people take up arms against the Hausa states. Apart from the aim of reforming Islam from its fast fading fame and glory, the political interest of wrestling power from the Hausa rulers who they could not imagine lording policies over them (p.12) The Thirst for Wealth. This is another stronger factor that played incisive part in launching of the 1804 jihad. Abiola (1984) states that the Fulani group wanted to become economically independent and set also their eyes on the Caravan routes across the Sahara Dessert which the Hausa kings controlled as they knew this route would fetch them a lot of money if they take charge (p.109). Arguably, if the common patrimonies are evenly shared, there may not be any need to fight. Tribalism and Mutual suspicion. This another observable reason that caused the rise of the jihads. Abubakar (2003) said that it is evident that divisions on ethnic lines especially between the Fulbe people who were mostly nomadic herdsmen and the ruling agrarian Hausa people persisted. The groups did not only have different dominant occupations but also their societies were differently structured. The population was increasingly growing, making it increasingly difficult for the Fulbe to move their herds. This increased tensions over limited land and the migratory ability of the Fulbe group threatened their neighbours (pp.8-10). This is similar to the deadly Fulani herdsmen attacks today which have turned worse than jihad itself against every state and tribe in Nigeria. Religious triumphalism: The desire to make Islam suppress every other religion can be seen as another motivating reason for undertaking that jihad. Abiola (1984) collaborates this saying that there was the irrevocable bid to dip the Quran into the Atlantic Ocean in Lagos (p.11). Nigeria is not in short supply of religious triumphalism whose general activities have been inimical to the growth and development of the country. Hunger for Political Empowerment: The thirst for political enlargement motivated the outbreak of the Jihad has also been emphasized by many authors but Adeleye (1971) said that politically, the Fulani tribe had lived in Hausa land for centuries yet they were no regard for the substantial number of learned men among them and they suffered the disabilities of second-class citizens (p.578). These treatments became the remote causes of the Usman dan Fodio's 1804 Jihad and because the remote causes were not checkmated due to weak and clueless leadership; they gave room for the immediate and full blown outbreak of the war. Fidgeted Leadership Khalid (2012) stresses that in 1789, Usman dan Fodio was invited by Bawa the king of Gobir to celebrate Id al Kabir at Magami but the plan was to kill him but when he was accompanied by a thousand followers, the king quickly changed his mind and instead tried to win them over by offering them gifts (p.23). Afigbo (1999) argues that the popularity of Usman dan Fodio among the populace was a threat the Kings of Gobir could not manage and attempted to seize Usman dan Fodio to punish him. He asserts that the Hausa states proceeded to attacking every Fulani element within and outside Hausa land. Another factor has to do with how Usman dan Fodio released his kinsmen who were slaves under the Gobir rulership. It was against the king's wish. Thus, the Fulani group rallied round their kinsman who initiated the war (p.10). The poor leadership of Nafata, king of Gobir made him take some questionable and irrational response to the ideology of Usman dan Fodio. He thought that Usman dan Fodio was fighting only religious, economic and political war. He responded like most of Nigerian rulers. He thought he could manipulate the system to silence him, terrorize, quarantine or secretly waste his life. The late leader of Boko Haram, Mohamed Yusuf was an example of this irrational and fidgeting attitude of Nigerian leaders' response threat. They often think that killing a leader means the dead of his ideology not knowing that ideological war needs to be fought with stronger and superior ideology. Hence, poor and inept leaders fidget or feel threatened because of seeming opposition. Few of the Immediate Causes of Usman Dan Fodio's Jihad Reluctant and Deaf leadership. The leadership of the ancient Gobir land was reluctant to face the reality of the masses' suffering. Kaura (2004) notes that there were increased oppression and exploitation of the talakawa (commoners) by the Masu sarauta (rulers). The oppression and exploitation were perpetuated through the collection of numerous taxes and levies, occasional confiscation of peasant property, forced labour, compulsory military service and enslavement. The Ulamas (court judges) made matters worse as they were so pervasive in their delivery of judgments that the commoners could not obtain justice or redress in the court. Usman dan Fodio had repeatedly contacted the king of Gobir, Bawa Jan Gwarzo concerning the evil activities and the social decadence prevalent in the area but the king paid no attention and it made Usman dan Fodio Fodio become more popular (pp.7-9). The reluctance of the leader made him major in minor and instead of attacking issues, he was attacking human. According Attempt at the lives of Usman Dan Fodio and his allies. to Crowder (1978), the persecution started from Bawa between 1789 and 1790, to Nafata who ruled between 1794 and 1801 and down to Yunfa in 1801. It culminated in the threat to Usman dan Fodio's life by Yunfa and with his attack on Abdulsalam, a reliable disciple of Usman dan Fodio who resided at Gimbassa in 1801, the stage thus became set for an open confrontation between Usman dan Fodio's followers and the king of Gobir (p.73). Kaura, (2004) confirms that the confrontation which ensued as Gobir's army attempted in 1804 at wiping out the Islamic community at Gudu, led to the defeat of Gobir's army by the mujahhidun led by Abdullah the brother of Usman dan Fodio who was the Amir al-Jaish-commander of the armed forces (p.8). Lenshie and Ayokhai (2013) maintain that the attack and the persecution of Muslims by the Gobir ruler made the war a necessary end (p.4). The Hijrah: Khalid (2012) said that by 1803, the situation was uncontrollable to the point that Muslims' property was looted. Many Muslims were taken captive; some were killed while villages were destroyed. Thus Usman dan Fodio and his party of Jamaa moved from Degel to Gudu marking it as the Hijrah in 1804 (p.11). At this point, the outbreak of the war was inevitable. Some of the Major Outcomes of the Jihad Even though the war ended officially between 1809 and 1810, the fighting for the establishment of emirates as part of wider Caliphate continued. However, the war led to the establishment of the Sokoto caliphate under the Caliph, Usman Dan Fodio. The caliphate comprised two capitals: Sokoto and Gwandu respectively. These capitals were founded over the former Hausa states of Gobir, Zamfara and parts of Kebbi as well as other twenty emirates. The war led to the institutionalization of Fulani emirate where Usman Dan Fodio replaced all the kingdoms with Fulani emirs. Also the war displaced and depopulated some other tribes especially in the Middle belt. Islam became reinforced and sharia introduced into the caliphate. Finally, the war has metamorphosed or inspired many other deadly movements such as Maitatsine and Boko Haram against the Nigerian state. The Effects of The 1804 Usman Dan Fodio's Jihad on InterGroup Relations in Contemporary Nigerian State Aware of the fact that this is a critical and analytical study, efforts shall be made to highlight the strengths and weaknesses of the 1804 Usman dan Fodio's jihad. Positively, the jihad even in the midst of seeming inconsistencies, the 1804 Usman dan Fodio's jihad can be said to have brought about a temporary and relative stability into Hausa land. Adeleye (1971) and Ikime (1985) affirm that the ancient Hausa states repeatedly attempted through inter-tribal wars to impose a regal authority which they believed could ensure political order, stability and unity among the ancient Hausa states yet it did not yield any good fruit. But by the time Islam was enforced through the jihad, it provided the much-needed strong ideology for integration among the Habe states. Abubakar (2003) argues that the jihad brought a new relative peace to the Hausa states because even though there were revolts within and outside the caliphate, the intermittent and internecine wars among the people were brought under control (pp.304-321). One of the factors that led to the success of the jihad as identified by Adeleye (1971) was "the charisma of Usman dan Fodio" (p.600). Unarguably, the success or otherwise of any society or mission is dependent on its leadership quality. The war has proved that leadership should be held responsible for anything going in Nigeria. The jihad has made marks in Nigeria's history because its outcomes and impacts are still topical in the Nigerian socio-political and economic existence. However, the jihad has inspired the rising of several religiomilitant movements and notable among them are the Maitatsine sect, Izala, Shiites, Sharia warlords, Boko Haram and Herdsmen militia. Omolewa (2008) said that Usman dan Fodio mobilized his followers to use force in possessing lands occupied by those he regarded as infidels. Resorting to the concept of Dar al-Harb, he argues that just as Usman dan Fodio called on his warriors to turn the lands of Hausa states and beyond into the lands of the faithful-Dar al-Islam, that has been the approach undertaken by these religiomilitant movements who have terrorized the country (p.116). Right from the launching of that first jihad in Nigeria by Usman dan Fodio, the country had at many times witnessed numerous religious conflicts that had brought her to a state of hopelessness. The disastrous activities of groups such as Maitisine and Boko Haram attest to this. Meanwhile, Abubakar (1999) notes that Usman dan Fodio instituted tributary schemes over the vassal emirates he had established. For instance, the emir of Kano was made to send to the Caliph about five million cowries annually, while the emir of Katsina sent to him close to three million cowries annually. These were not part of the gifts-kyauta and other obligatory booty obtained from jihad as well as irith derived from the property of deceased officials (pp.301-326). The question to be asked here is, why would a man who initiated a war that claimed to free people from taxation and corruption institute tributary systems which were arguably worse than the previous slavery. In a saner clime, this is capable of causing unimaginable uprising and this seems to have irked Abiola (1984) when he submits thus: So far all things being said in favour of the jihad,... one of these was its complete failure to improve the social conditions of the oppressed ones in the Hausa states. One may remember that the Jihad was declared for this objective…but it was unfortunate that the conditions of these unfortunate people (women and children) were in no way better than they were under the Hausa regime. In fact they seemed to be worse…for under the Fulani rule the practice of making women "purdah" still continued unabated,…this unfortunate laxity in the Fulani regime which continues even up till today to make the present-day northern Nigeria look as backward area despite all efforts to change this situation. Another effect was the fall of Oyo Empire… …they did not even consider the fact that they were aiding a pagan rebel against the government of Oyo Empire. Sincere and true Jihadists who were not after political empire would not have committed this unpardonable religious blunder. From all indications it could be seen that far from being purely a religious war, the Sokoto jihad was fought on other reasons. In short, it was a war based on religious fanaticism, political adventurism, economic opportunism and of course, tribal parochialism. (pp.109-111). Similarly, Tanko (2003) argues that the jihad created negative class system in the northern Nigeria. He identified two types of northern Nigeria created by the jihad as the Far North or Upper North and Another Class of North. The Upper North are very comfortable and being a Muslim improves one's position as an Upper Northerner while the others are regarded as second class northern by virtue of hailing from the Middle Belt areas and being a Christian or traditionalist (p.6). This type of social stratification can be ascribed to be the brain behind the current violent and killings going on in the Middle Belt areas especially in Plateau and Benue states where some people believed they are born to rule or live while others are meant to suffer in penury and die. Nwanaju (2008) describes both the northern hegemony and Kaduna Mafia as the political heirs of Ahmadu Bello (p.234). This mentality has created distrust among south and north and by extension, Christians and Muslims in Nigeria. Aremu (2011) argues that the jihad contributed to laying the foundation of the infamous north-south dichotomy. This dichotomy is impeding the national cohesion, unity and stability of the Nigerian polity. Iwuchukwu (2010) argues that just like the 1804 jihad had toppled political leadership of cities beyond Hausa land and installed Fulani as emirs, that is how other succeeding groups especially Boko Haram have sought to dethrone every leadership not instituted by them (p.50). The success of the war made religion turned religion as manipulation tool for vested material interest individuals. Religion became the easiest instrument of engaging in socio-political and economic grudges. Ikime (1985) submits that the middle belt region suffered a great deal of depopulation occasioned by incessant slave raids by the emirates of Sokoto caliphate. Tributaries in form of slaves were part of the obligations of the emirs to the caliph hence the nonMuslims in the middle-belt were in essence under constant attack as enslavement of fellow Muslims was forbidden. In this way, depopulation and displacement of minority groups became the lots of these peoples. This is said to be responsible for the conflicts that reigns between the North and Middle Belt regions of Nigeria today (pp.19-27). Aremu (2011) posits that Ilorin, a one-time province of the Old Oyo Empire became part of the Sokoto caliphate through the jihad and this has been creating tension in Ilorin with respect to political classification. The quagmire has been, is Ilorin part of the South Western states or a part of the North? The writer came across this quote with bated breath according to Oyeyemi (2105) Ahmadu th Bello on 12 October, 1966 said thus, "The new nation called Nigeria should be an estate of our great grandfather, Uthman Danfodio. We must ruthlessly prevent a change of power. We must use the minorities in the North as willing tools and the South as conquered territories and never allow them to rule over us or have control over their future." (p.3). In fact, this statement is not only terrifying but also combustible and incendiary. Arguably, in view of these utterances, the unilateral and forceful inclusion of Nigeria as a member of the Organization of Islamic Conference (OIC) in 1986, the introduction of the Sharia by twelve northern states between 1999 and 2001, the registration of Nigeria as a beneficiary of the Islamic Development Bank amidst heavy protestation in 2005, the unguarded utterances of many Islamic clerics like Late Sheik Abubakar Gumi, who at a point said that Christians should never be voted into power, together with the impacts of many riots championed by Muslim extremists in northern Nigeria are some of the reasons other tribe and religion often point out as the Muslims strategy of Islamizing Nigeria to achieve the unfinished jihad of Usman dan Fodio. The outcomes of these have more often tilted towards the dimension of crises instead of the peace which the 1804 Usman dan Fodio's jihad claimed to achieve. Scholars and experts have classified jihad into various categories, types and kinds but they agree with this basic or popular four kinds of jihad and they are "Jihad by the heart; Jihad by the tongue; Jihad by the hand and Jihad by the sword. The "jihad of the heart" denotes struggle against one's own sinful inclinations. The "jihad of the tongue" requires speaking on behalf of what is good and forbidding what is evil. The "jihad of the sword" (alsaif) -known as "the struggle of the sword" and it is often referred to simply as Jihad. It is the later that disquieted the existence of other tribe and religion in Nigeria. Therefore, it is logical to note that the effects of the jihad on inter-group relations have been largely negative. It has created needless mutual suspicion to point that every action of the northern Nigerian politicians and religious leaders is interpreted as the extension of the Usman dan Fodio's jihad. For example, Tamionu (2016) maintains that judging from the antecedent of the jihad mover, the trails of bloody grazing by the Fulani herdsmen in the southern part of Nigeria is a part of the long time grand design to complete the jihad of Usman dan Fodio whose major objective was to rule the south from the north-a project that the Fulani group through their herdsmen desire to accomplish (p.9). Tamionu is not alone in this kind of mentality rather many if not all the non Muslims and Fulanis have nursed this kind of ill feeling even when it cannot be experimentally proved. Living in a multi religious and cultural setting like Nigeria demands mutual trust which breeds understanding and tolerance. All these virtues ensure progressive and purposeful cohesion. But where the reverse is the case, chaos, conflicts, wars, killings and destruction of property reign unabated as Nigeria is currently experiencing and in view of this, the study makes the following recommendations: Suggestions i. The idea of employing violence, conflicts and war to settle differences should be discouraged and disabused from the mindset of the people because an for an eye will make the whole world go blind. ii. Concerted efforts should be made to ensure that the doctrine of fair play, equity, fairness, tolerance and justice are enthroned because injustice for one is an injustice for all. iii. The masses should strive to refrain from seeing issues and actions of others from the lens of suspicion because not all Muslims that have the thirst for sword jihad. iv. Leaders should be proactive in discharging their obligations to the people so as to lessen threats to their offices instead of being unnecessarily reactive to threats. v. People should not criticize what they are not ready or capable of changing. For Usman dan Fodio to introduce tributaries and taxations to the people he conquered and aided other opposing factions in dethroning kings of Yoruba kingdom betrayed the genuiness of the jihad. Nigerian politicians have been champions at criticizing those in power but when they are finally allowed to rule, they became worse than those they have criticized. Conclusion No doubt the historicity and general idea about the 1804 war have elicited arguments and counterarguments across divides prompting some to nickname it "Fulani or Islamic war". Hence the historical hangover of mutual suspicion because of long years of mutual hostility, political victimization and marginalization, the real and imagined infringements on each other's rights and agitation for freedom have caused heinous crimes against humanity in Nigeria. Amidst this dangerous situation many people believe that religion will kill Nigeria. The effect of the 1804 Usman Dan Fodio's jihad on the intergroup relations in Nigeria has not only been controversial but also suspicious. 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There Is No Communism in Russia Emma Goldman Contents V.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Communism is now on everybody's lips. Some talk of it with the exaggerated enthusiasm of a new convert, others fear and condemn it as a social menace. But I venture to say that neither its admirers—the great majority of them—nor those who denounce it have a very clear idea of what Bolshevik Communism really is. Speaking generally, Communism is the ideal of human equality and brotherhood. It considers the exploitation of man by man as the source of all slavery and oppression. It holds that economic inequality leads to social injustice and is the enemy of moral and intellectual progress. Communism aims at a society where classes have been abolished as a result of common ownership of the means of production and distribution. It teaches that only in a classless, solidaric commonwealth can man enjoy liberty, peace and well-being. My purpose is to compare Communism with its application in Soviet Russia, but on closer examination I find it an impossible task. As a matter of fact, there is no Communism in the U.S.S.R. Not a single Communist principle, not a single item of its teaching is being applied by the Communist party there. To some this statement may appear as entirely false; others may think it vastly exaggerated. Yet I feel sure that an objective examination of conditions in present-day Russia will convince the unprejudiced reader that I speak with entire truth. It is necessary to consider here, first of all, the fundamental idea underlying the alleged Communism of the Bolsheviki. It is admittedly of a centralized, authoritarian kind. That is, it is based almost exclusively on governmental coercion, on violence. It is not the Communism of voluntary association. It is compulsory State Communism. This must be kept in mind in order to understand the method applied by the Soviet state to carry out such of its plans as may seem to be Communistic. The first requirement of Communism is the socialization of the land and of the machinery of production and distribution. Socialized land and machinery belong to the people, to be settled upon and used by individuals or groups according to their needs. In Russia land and machinery are not socialized but _nationalized_. The term is a misnomer, of course. In fact, it is entirely devoid of content. In reality there is no such thing as national wealth. A nation is too abstract a term to "own" anything. Ownership may be by an individual, or by a group of individuals; in any case by some quantitatively defined reality. When a certain thing does not belong to an individual or group, it is either nationalized or socialized. If it is nationalized, it belongs to the state; that is, the government has control of it and may dispose of it according to its wishes and views. But when a thing is socialized, every individual has free access to it and use it without interference from anyone. In Russia there is no socialization either of land or of production and distribution. Everything is nationalized; it belongs to the government, exactly as does the post-office in America or the railroad in Germany and other European countries. There is nothing of Communism about it. No more Communistic than the land and means of production is any other phase of the Soviet economic structure. All sources of existence are owned by the central government; foreign trade is its absolute monopoly; the printing presses belong to the state, and every book and paper issued is a government publication. In short, the entire country and everything in it is the property of the state, as in ancient days it used to be the property of the crown. The few things not yet nationalized, as some old ramshackle houses in Moscow, for instance, or some dingy little stores with a pitiful stock of cosmetics, exist on sufferance only, with the government having the undisputed right to confiscate them at any moment by simple decree. Such a condition of affairs may be called state capitalism, but it would be fantastic to consider it in any sense Communistic. II. Let us now turn to production and consumption, the levers of all existence. Maybe in them we shall find a degree of Communism that will justify us in calling life in Russia Communistic, to some extent at least. I have already pointed out that the land and the machinery of production are owned by the state. The methods of production and the amounts to be manufactured by every industry in each and every mill, shop and factory are determined by the state, by the central government—by Moscow—through its various organs. Now, Russia is a country of vast extent, covering about one sixth of the earth's surface. It is peopled by a mixed population of 165,000,000. It consists of a number of large republics, of various races and nationalities, each region having its own particular interests and needs. No doubt, industrial and economic planning is vitally necessary for the well-being of a community. True Communism—economic equality as between man and man and between communities—requires the best and most efficient planning by each community, based upon its local requirements and possibilies. The basis of such planning must be the complete freedom of each community to produce according to its needs and to dispose of its products according to its judgment: to change its surplus with other similarly independent communities without let or hindrance by any external authority. That is the essential politico-economic nature of Communism. It is neither workable nor possible on any other isis. It is necessarily libertarian, Anarchistic. There is no trace of such Communism—that is to say, of any Communism—in Soviet Russia. In fact, the mere suggestion of such a system is considered criminal there, and any attempt to carry it out is punished by death. Industrial planning and all the processes of production and distribution are in the hands of the central government. Supreme Economic Council is subject only to the authority of the Communist Party. It is entirely independent of the will or wishes of the people comprising the Union of Socialist Soviet Republics. Its work is directed by the pollicies and decisions of the Kremlin. This explains why Soviet Russia exported vast amounts of wheat and other grain while wide regions in the south and southeast of Russia were stricken with famine, so that more than two million of its people died of starvation (1932–1933). There were "reasons of state" for it. The euphonious has from time immemorial masked tyranny, exploitation and the determination of every ruler to prolong and perpetuate his rule. Incidentally, I may mention that—in spite of country-wide hunger and lack of the most elemental necessities of life in Russia—the entire First Five-Year Plan aimed at developing that branch of heavy industry which serves, or can be made to serve, _military_ purposes. As with production, so with distribution and every other form of activity. Not only individual cities and towns, but the constituent parts of the Soviet Union are entirely deprived of independent existence. Politically mere vassals of Moscow, their whole economic, social and cultural activity is planned, cut out for them and ruthlessly controlled by the "proletarian dictatorship" in Moscow. More: the life of every locality, of every individual even, in the so-called "Socialist" republics is managed in the very last detail by the "general line" laid down by the "center." In other words, by the Central Committee and Politbureau of the Party, both of them controlled absolutely by one man, Stalin. To call such a dictatorship, this personal autocracy more powerful and absolute than any Czar's, by the name of Communism seems to me the acme of imbecility. III. Let us see now how Bolshevik "Communism" affects the lives of the masses and of the individual. There are naive people who believe that at least some features of Communism have been introduced into the lives of the Russian people. I wish it were true, for that would be a hopeful sign, a promise of potential development along that line. But the truth is that in no phase of Soviet life, no more in the social than in individual relations, has there ever been any attempt to apply Communist principles in any shape or form. As I have pointed out before, the very suggestion of free, voluntary Communism is taboo in Russia and is regarded as counter-revolutionary and high treason against the infallible Stalin and the holy "Communist" Party. And here I do not speak of the libertarian, Anarchist Communism. What I assert is that there is not the least sign in Soviet Russia even of authoritarian, State Communism. Let us glance at the actual facts of everyday life there. The essence of Communism, even of the coercive kind, is the absence of social classes. The introduction of economic equality is its first step. This has been the basis of all Communist philosophies, however they may have differed in other respects. The purpose common to all of them was to secure social justice; and all of them agreed that it was not possible without establishing economic equality. Even Plato, in spite of the intellectual and moral strata in his Republic, provided for absolute economic equality, since the ruling classes were not to enjoy greater rights or privileges than the lowest social unit. Even at the risk of condemnation for telling the whole truth, I must state unequivocally and unconditionally that the very opposite is the case in Soviet Russia. Bolshevism has not abolished the classes in Russia: it has merely reversed their former relationship. As a matter of fact, it has multiplied the social divisions which existed before the Revolution. When I arrived in Soviet Russia in January, 1920, I found innumerable economic categories, based on the food rations received from the government. The sailor was getting the best ration, superior in quality, quantity and variety to the food issued to the rest of the population. He was the aristocrat of the Revolution: economically and socially he was universally considered to belong to the new privileged classes. After him came the soldier, the Red Army man, who received a much smaller ration, even less bread. Below the soldier in the scale was the worker in the military industries; then came other workers, subdivided into the skilled, the artisan, the laborer, etc. Each category received a little less bread, fats, sugar, tobacco, and other products (whenever they were to be had at all). Members of the former bourgeoisie, officially abolished as a class and expropriated, were in the last economic category and received practically nothing. Most of them could secure neither work nor lodgings, and it was no one's business how they were to exist, to keep from stealing or from joining the counter-revolutionary armies and robber bands. The possession of a red card, proving membership in the Communist Party, placed one above all these categories. It entitled its owner to a special ration, enabled him to eat in the Party stolovaya (mess-room) and produced, particularly if supported by recommendations from party members higher up, warm underwear, leather boots, a fur coat, or other valuable articles. Prominent party men had their own dining-rooms, to which the ordinary members had no access. In the Smolny, for instance, then the headquarters of the Petrograd government, there were two different dining-rooms, one for Communists in high position, the other for the lesser lights. Zinoviev, then chairman of the Petrograd Soviet and virtual autocrat of the Northern District, and other government heads took their meals at home in the Astoria, formerly the best hotel in the city, turned into the first Soviet House, where they lived with their families. Later on I found the same situation in Moscow, Kharkov, Kiev, Odessa—everywhere in Soviet Russia. It was the Bolshevik system of "Communism." What dire effects it had in causing dissatisfaction, resentment and antagonism throughout the country, resulting in industrial and agrarian sabotage, in strikes and revolts—of this further on. It is said that man does not live by bread alone. True, but he cannot live at all without it. To the average man, to the masses in Russia, the different rations established in the country for the liberation of which they had bled, was the symbol of the new regime. It signified to them the great lie of Bolshevism, the broken promises of freedom, for freedom meant to them social justice, economic equality. The instinct of the masses seldom goes wrong; in this case it proved prophetic. What wonder, then, that the universal enthusiasm over the Revolution soon turned into disillusionment and bitterness, to opposition and hatred. How often Russian workers complained to me: "We don't mind working hard and going hungry. It's the injustice which we mind. If the country is poor, if there is little bread, then let us all share that little, but let us share equally. As things are now, it's the same as it used to be; some get more, others less, and some get nothing at all." The Bolshevik system of privilege and inequality was not long in producing its inevitable results. It created and fostered social antagonisms; it alienated the masses from the Revolution, paralysed their interest in it and their energies, and thus defeated all the purposes of the Revolution. The same system of privilege and inequality, strengthened and perfected, is in force today. The Russian Revolution was in the deepest sense a social upheaval: its fundamental tendency was libertarian, its essential aim economic and social equality. Long before the OctoberNovember days (1917) the city proletariat began taking possession of the mills, shops and factories, while the peasants expropriated the big estates and turned the land to communal use. The continued development of the Revolution in its Communist direction depended on the unity of the revolutionary forces and the direct, creative initiative of the laboring masses. The people were enthusiastic in the great object before them; they eagerly applied their energies to the work of social reconstruction. Only they who had for centuries borne the heaviest burdens could, through free and systematic effort, find the road to a new, regenerated society. But Bolshevik dogmas and "Communist" statism proved a fatal handicap to the creative activities of the people. The fundamental characteristic of Bolshevik psychology is distrust of the masses. Their Marxist theories, centering all power in the exclusive hands of their party, quickly resulted in the destruction of revolutionary cooperation, in the arbitrary and ruthless suppression of all other political parties and movements. Bolshevik tactics encompassed the systematic eradication of every sign of dissatisfaction, stifled all criticism and crushed independent opinion, popular initiative and effort. Communist dictatorship, with its extreme mechanical centralization, frustrated the economic and industrial activities of the country. The great masses were deprived of the opportunity to shape the policies of the Revolution or to take part in the administration of their own affairs. The labor unions were governmentalized and turned into mere transmitters of the orders of the state. The people's cooperatives—that vital nerve of active solidarity and mutual help between city and country—were liquidated. The Soviets of peasants and workers were castrated and transformed into obedient committees. The government monopolized every phase of life. A bureaucratic machine was created, appalling in its inefficiency, corruption, brutality. The Revolution was divorced from the people and thus doomed to perish; and over all hung the dreaded sword of Bolshevik terrorism. That was the "Communism" of the Bolsheviki in the first stages of the Revolution. Everyone knows that it brought the complete paralysis of industry, agriculture and transport. It was the period of "military Communism," of agrarian and industrial conscription, of the razing of peasant villages by Bolshevik artillery—those "constructive" social and economic policies of Bolshevik Communism which resulted in the fearful famine in 1921. IV. And today? Has that "Communism" changed its nature? Is it actually different from the "Communism" of 1921? To my regret I must state that, in spite of all widely advertised changes and new economic policies, Bolshevik "Communism" is essentially the same as it was in 1921. Today the peasantry in Soviet Russia is entirely dispossessed of the land. The _sovkhozi_ are government farms on which the peasant works as a hired man, just as the man in the factory. This is known as "industrialization" of agriculture, "transforming the peasant into a proletarian." In the _kolkhoz_ the land only nominally belongs to the villaoe. Actually it is owned by the government. The latter can at any moment—and often does—commandeer the _kolkhoz_ members for work in other parts of the country or exile whole villages for disobedience. The _kolkhozi_ are worked collectively, but the government control of them amounts to expropriation. It taxes them at its own will; it sets whatever price it chooses to pay for grain and other products, and neither the individual peasant nor the village Soviet has any say in the matter. Under the mask of numerous levies and compulsory government loans, it appropriates the products of the _kolkhoii_, and for some actual or pretended offenses punishes them by taking away all their grain. The fearful famine of 1921 was admittedly due chiefly to the _razverstka_, the ruthless expropriation practiced at the time. It was because of it, and of the rebellion that resulted, that Lenin decided to introduce the NEP—the New Economic Policy which limited state expropriation and enabled the peasant to dispose of some of his surplus for his own benefit. The NEP immediately improved economic conditions throughout the land. The famine of 1932–1933 was due to similar "Communist" methods of the Bolsheviki: to enforced collectivization. The same result as in 1921 followed. It compelled Stalin to revise his policy somewhat. He realised that the welfare of a country, particularly of one predominantly agricultural as Russia is, depends primarily on the peasantry. The motto was proclaimed: the peasant must be given opportunity togreater "well-being." This "new" policy is admittedly only a breathing spell for the peasant. It has no more of Communism in it than the previous agrarian policies. From the beginning of Bolshevik rule to this day, it has been nothing but expropriation in one form or another, now and then differing in degree but always the same in kind—a continuous process of state robbery of the peasantry, of prohibitions, violence, chicanery and reprisals, exactly as in the worst days of Czarism and the World War. The present policy is but a variation of the "military Communism" of 1920–1921, with more of the military and less of the Communist element in it. Its "equality" is that of a penitentiary; its "freedom" that of a chain gang. No wonder the Bolsheviki declare that liberty is a bourgeois prejudice. Soviet apologists insist that the old "military Communism" was justified in the initial period of the Revolution in the days of the blockade and military fronts. But more than sixteen years have passed since. There are no more blockades, no more fighting fronts, no more counter-revolution. Soviet Russia has secured the recognition of all the great governments of the world. It emphasizes its good will toward the bourgeois states, solicits their cooperation and is doing a large business with them. In fact, the Soviet government is on terms of friendship even with Mussolini and Hitler, those famous champions of liberty. It is helping capitalism to weather its economic storms by buying millions of dollars' worth of products and opening new markets to it. This is, in the main, what Soviet Russia has accomplished during seventeen years since the Revolution. But as to Communism—that is another matter. In this regard, the Bolshevik government has followed exactly the same course as before, and worse. It has made some superficial changes politically and economically, but fundamentally it has remained exactly the same state, based on the same principle of violence and coercion and using the same methods of tenor and compulsion as in the period of 1920–1921. There are more classes in Soviet Russia today than in 1917, more than in most other countries in the world. The Bolsheviki have created a vast Soviet bureaucracy, enjoying special privileges and almost unlimited authority over the masses, industrial and agricultural. Above that bureaucracy is the still more privileged class of "responsible comrades," the new Soviet aristocracy. The industrial class is divided and subdivided into numerous gradations. There are the _udarniki_, the shock troops of labor, entitled to various privileges; the "specialists," the artisans, the ordinary workers and laborers. There are the factory "cells," the shop committees, the pioneers, the _kom- somoltsi_, the party members, all enjoying material advantages and authority. There is the large class of _lishentsi_, persons deprived of civil rights, the greater number of them also of chance to work, of the right to live in certain places, practically cut off from all means of existence. The notorious "pale" of the Czarist times, which forbade Jews to live in certain parts of the country, has been revived for the entire population by the introduction of the new Soviet passport system. Over and above all these classes is the dreaded G.P.U., secret, powerful and arbitrary, a government within the government. The G.P.U., in its turn, has its own class divisions. It has its own armed forces, its own commercial and industrial establishments, its own laws and regulations, and a vast slave army of convict labor. Aye, even in the Soviet prisons and concentration camps there are various classes with special privileges. In the field of industry the same kind of "Communism" prevails as in agriculture. A sovietized Taylor system is in vogue throughout Russia, combining a minimum standard of production and piece work—the highest degree of exploitation and human degradation, involving also endless differences in wages and salaries. Payment is made in money, in rations, in reduced charges for rent, lighting, etc., not to speak of the special rewards and premiums for _udarniki_. In short, it is the _wage system_ which is in operation in Russia. Need I emphasize that an economic arrangement based on the wage system cannot be considered as in any way related to Communism? It is its antithesis. V. All these features are to be found in the present Soviet system. It is unpardonable naivete, or still more unpardonable hypocrisy, to pretend—as the Bolshevik apologists do—that the compulsory labor service in Russia is "the self-organization of the masses for purposes of production." Strange to say, I have met seemingly intelligent persons who claim that by such methods the Bolsheviki "are building Communism." Apparently they believe that building consists in ruthless destruction, physically and morally, of the best values of mankind. There are others who pretend to think that the road to freedom and cooperation leads through labor slavery and intellectual suppression. According to them, to instill the poison of hatred and envy, of universal espionage and terror, is the best preparation for manhood and the fraternal spirit of Communism. I do not think so. I think that there is nothing more pernicious than to degrade a human being into a cog of a soulless machine, turn him into a serf, into a spy or the victim of a spy. There is nothing more corrupting than slavery and despotism. There is a psychology of political absolutism and dictatorship, common to all forms: the means and methods used to achieve a certain end in the course of time themselves become the end. The ideal of Communism, of Socialism, has long ago ceased to inspire the Bolshevik leaders as a class. Power and the strengthening of power has become their sole object. But abject subjection, exploitation and degradation are developing a new psychology in the great mass of the people also. The young generation in Russia is the product of Bolshevik principles and methods. It is the result of sixteen years of official opinions, the only opinions permitted in the land. Having grown up under the deadly monopoly of ideas and values, the youth in the U.S.S.R. knows hardly anything about Russia itself. Much less does it know of the world outside. It consists of blind fanatics, narrow and intolerant, it lacks all ethical perception, it is devoid of the sense of justice and fairness. To this element is added a class of climbers and careerists, of self-seekers reared on the Bolshevik dogma: "The end justifies the means." Yet it were wrong to deny the exceptions in the ranks of Russia's youth. There are a goodly number who are deeply sincere, heroic, idealistic. They see and feel the force of the loudly professed party ideals. They realize the betrayal of the masses. They suffer deeply under the cynicism and callousness towards every human emotion. The presence of _komsomolszi_ in the Soviet political prisons, concentration camps and exile, and the escapes under most harrowing difficulties prove that the young generation does not consist entirely of cringing adherents. No, not all of Russia's youth has been turned into puppets, obsessed bigots, or worshippers at Stalin's shrine and Lenin's tomb. Already the dictatorship has become an absolute necessity for the continuation of the regime. For where there are classes and social inequality, there the state must resort to force and suppression. The ruthlessness of such a situation is always in proportion to the bitterness and resentment imbuing the masses. That is why there is more governmental terrorism in Soviet Russia than anywhere else in the civilized world today, for Stalin has to conquer and enslave a stubborn peasantry of a hundred millions. It is popular hatred of the regime which explains the stupendous industrial sabotage in Russia, the disorganization of the transport after sixteen years of virtual military management; the terrific famine in the South and Southeast, notwithstanding favorable natural conditions and in spite of the severest measures to compel the peasants to sow and reap, in spite even of wholesale extermination and of the deportation of more than a million peasants to forced labor camps. Bolshevik dictatorship is an absolutism which must constantly be made more relentless in order to survive, calling for the complete suppression of independent opinion and criticism within the party, within even its highest and most exclusive circles. It is a significant feature of this situation that official Bolshevism and its paid and unpaid agents are constantly assuring the world that "all is well in Soviet Russia and getting better." It is of the same quality as Hitler's constant emphasis of how greatly he loves peace while he is feverishly increasing his military strength. Far from getting better the dictatorship is daily growing more relentless. The latest decree against so-called counter-revolutionists, or traitors to the Soviet State, should convince even some of the most ardent apologists of the wonders performed in Russia. The decree adds strength to the already existing laws against everyone who cannot or will not reverence the infallibility of the holy trinity, Marx, Lenin and Stalin. And it is more drastic and cruel in its effect upon everyone deemed a culprit. To be sure, hostages are nothing new in the U.S.S.R. They were already part of the terror when I came to Russia. Peter Kropotkin and Vera Figner had protested in vain against this black spot on the escutcheon of the Russian Revolution. Now, after seventeen years of Bolshevik rule, a new decree was thought necessary. It not only revives the taking of hostages; it even aims at cruel punishment for every adult member of the real or imaginary offender's family. The new decree defines treason to the state as "any acts committed by citizens of the U.S.S.R. detrimental to the military forces of the U.S.S.R., its independence or the inviolability of its territory, such as espionage, betrayal of military or state secrets, going over to the side of the enemy, fleeing to a foreign country or flight [this time the word used means airplane flight] to a foreign country." Traitors have, of course, always been shot. What makes the new decree more terrifying is the remorseless punishment it demands for everyone living with or supporting the hapless victim, whether he knows of the crime or not. He may be imprisoned, or exiled, or even shot. He may lose his civil rights, and he may forfeit everything he owns. In other words, the new decree sets a premium on informers who, to save their own skins, will ingratiate themselves with the G.P.U., will readily turn over the unfortunate kin of the offenders to the Soviet henchmen. This new decree must forever put to rest any remaining doubts as to the existence of true Communism in Russia. It departs from even the pretense of internationalism and proletarian class interest. The old tune is now changed to a paean song of the Fatherland, with the ever servile Soviet press loudest in the chorus: "Defense of the Fatherland is the supreme law of life, and he who raises his hand against the Fatherland, who betrays it, must be destroyed." Soviet Russia, it must now be obvious, is an absolute despotism politically and the crassest form of state capitalism economically. The Anarchist Library Anti-Copyright Emma Goldman There Is No Communism in Russia 1935 Retrieved on July 3, 2012 from www.hartford-hwp.com. Proofread online source RevoltLib.com, retrieved on July 4, 2020. Scanned from Red Emma Speaks: An Emma Goldman Reader, third edition, compiled and edited by Alix Kates Shulman. The essay was first published in H.L. Mencken's journal American Mercury, volume XXXIV, April 1935.—DC. This is a truncated version of "Communism: Bolshevist and Anarchist, A Comparison," and violates the spirit of the original article. theanarchistlibrary.org
COMMONWEALTH OF AUSTRALIA Proof Committee Hansard JOINT STANDING COMMITTEE ON TREATIES Reference: Timor Sea treaties MONDAY, 14 OCTOBER 2002 CANBERRA CONDITIONS OF DISTRIBUTION This is an uncorrected proof of evidence taken before the committee. It is made available under the condition that it is recognised as such. BY AUTHORITY OF THE PARLIAMENT [PROOF COPY] INTERNET The Proof and Official Hansard transcripts of Senate committee hearings, some House of Representatives committee hearings and some joint committee hearings are available on the Internet. Some House of Representatives committees and some joint committees make available only Official Hansard transcripts. The Internet address is: http://www.aph.gov.au/hansard To search the parliamentary database, go to: http://search.aph.gov.au JOINT COMMITTEE ON TREATIES Monday, 14 October 2002 Members: Ms Julie Bishop (Chair), Mr Wilkie (Deputy Chair), Senators Barnett, Bartlett, Kirk, Marshall, Mason, Stephens and Tchen and Mr Adams, Mr Bartlett, Mr Ciobo, Mr Martyn Evans, Mr Hunt, Mr King and Mr Bruce Scott Senators and members in attendance: Senators Barnett, Kirk, Marshall, Stephens and Tchen and Mr Adams, Ms Julie Bishop, Mr Ciobo, Mr Martyn Evans and Mr Wilkie Terms of reference for the inquiry: Timor Sea treaties WITNESSES Committee met at 10.52 a.m. CHAIR—I declare open this public hearing of the Joint Standing Committee on Treaties. The Exchange of Notes Constituting an Agreement between the Government of Australia and the Government of the Democratic Republic of East Timor concerning Arrangements for Exploration and Exploitation of Petroleum in an Area of the Timor Sea Between Australia and East Timor, and the proposed Timor Sea Treaty between the Government of Australia and the Government of East Timor, were tabled and thereby referred to the Joint Standing Committee on Treaties on 25 June this year for review. Preliminary evidence on the treaties was taken from representatives of the relevant Commonwealth departments at public hearings in Canberra on 12 July. It was clear that the treaties would attract considerable public interest. The committee therefore called for submissions from interested parties by 31 July. To date, over 80 submissions have been received by the committee. A further hearing was held on 26 August in Canberra. In properly reviewing the treaties, the committee considered it essential to take evidence in locations other than Canberra. In the last two weeks, the committee has taken evidence in Perth, Darwin, Melbourne and then back here in Canberra. The committee believes that it is important that a wide range of individuals and organisations have an opportunity to express their views on these treaties in the context of this review. We have heard from individuals, interest groups, industry and non-government organisations, and the hearing today will bring our schedule of public hearings to a close. In this final public hearing, we will hear evidence from representatives of Woodside, and then finally hear once more from departments of the Commonwealth government. We will begin proceedings by hearing evidence from representatives of Woodside. [10.53 a.m.] MAXWELL, Mr David Peter, Director, Gas Business Unit, Woodside Energy Ltd WILKS, Mr Adrian Paul, Commercial and JV Coordinator, Sunrise Project, Woodside Energy Ltd CHAIR—Thank you. Although the committee does not require you to give evidence under oath, I should advise you that the hearings are legal proceedings of the parliament and warrant the same respect as proceedings of the House and the Senate. The giving of false or misleading evidence is a serious matter and may be regarded as a contempt of parliament. We have a submission from Woodside Energy Ltd. Would you like to make some introductory remarks before we proceed to questions? Mr Maxwell—Yes. In my capacity as the director of the Gas Business Unit within Woodside, I am responsible for the management and development of the Woodside gas projects other than the management to the operations of the North West Shelf. I am also responsible for the gas strategy of the company and, in the context of this committee, the Greater Sunrise gas project is managed from within my business unit. My experience includes the negotiation of a wide range of gas and commercial contracts, leading the North West Shelf LNG in gas negotiations, and managing the commercial and business development activity leading to the commitment to expand the North West Shelf gas project for LNG supply to Japan, China and other countries. Before joining Woodside in 1996, I worked for Santos in Adelaide. Throughout my career I have learnt that large gas projects take a long time to develop. They require the alignment of many parties, and the project development phase very often takes longer than anyone expects. Woodside is the operator of the Greater Sunrise project and, as you know, has a 33.4 per cent interest in the project. In addition, Woodside has a 40 per cent interest in the JPDA PSC 90-10, which includes the Jahal and Kuda Tasi oilfields. I appreciate the role of JSCOT in considering this matter and that you are doing this from the perspective of Australian interests. Woodside's written submission made in July noted that the Timor Sea Treaty, which was signed on 20 May 2002, was also accompanied by a memorandum of understanding in which Australia and East Timor undertook to work in good faith to conclude an international unitisation agreement for Sunrise, which I will refer to as the IUA. This was to be concluded by 31 December 2002. In the light of this, Woodside's July submission recommended the simultaneous ratification of the Timor Sea Treaty with the development and execution of the IUA and noted the importance of concluding new PSCs for that portion of Sunrise attributed to the JPDA. It is our view that such an outcome is a very constructive result as it will then see the Timor Sea Treaty come into force and thereby provide a sound regulatory and fiscal framework for the JPDA. It will also, through the IUA, lay down the essential legal and fiscal framework for Greater Sunrise, which, due to its location straddling the JPDA border, is not adequately served by the ratification of the Timor Sea Treaty alone. It will also ensure that Australia's best interests are served by creating the basis upon which it is possible to continue to pursue the development of the Greater Sunrise project. Greater Sunrise is the largest gas field within the JPDA. It will also create an environment that provides for the continued development of petroleum resources in the JPDA which, after all, is the purpose of the Timor Sea Treaty. We also see no reason why new PSCs cannot be issued in the same time frame. Ratification of the Timor Sea Treaty should only occur in an environment in which Australia and East Timor are in agreement on the impact of each of the articles and annexures. We remain very concerned that Australia and East Timor take very different views on the language contained within the treaty and, by way of example, draw the committee's attention to annex E under article 9(b) of the treaty. Annex E attributes 79.9 per cent of the Greater Sunrise project to Australia. It is Australia's view that it should retain sovereignty over the area to the east of the JPDA and that this portion of the resource will be subject to its jurisdiction and taxation powers in accordance with the provisions attached to the relevant legislation and permits. This view is understandable, given the continuity of title that has been applied to this area of the Greater Sunrise resource since 1963—nearly 40 years. It is interesting to note that since independence East Timor has expressed the view that it does not recognise Australia's jurisdiction in this area. In negotiations relevant to the Timor Sea Treaty and the IUA, East Timor has indicated an intention to seek to apply its own taxation powers and other powers over the area. In making this argument, East Timor cites its maritime zones act and article 9(b) of the Timor Sea Treaty concerning equitable sharing of the benefits arising from exploitation of any reservoir or petroleum that extends across the border of the JPDA. Clearly, these positions are at odds. Woodside remains absolutely committed to working with both governments to create the environment in which Greater Sunrise can be commercialised. However, we believe that it would be imprudent and very unusual for a treaty to enter into force for the purposes of creating certainty when, from our position, the parties have different views on the meaning and effect of specific articles. Without adequate certainty and comfort on the title, regulatory and fiscal issues, Woodside cannot support the Greater Sunrise joint venture proceeding with any significant development expenditure. This expenditure is required for the ultimate development of a resource which has significant long-term revenue potential for both Australia and East Timor. In taking this position, Woodside would like to draw your attention to a number of facts. Firstly, the Timor Sea Treaty recognises the significance of the Greater Sunrise resource through annex E under article 9(b) and annex F under article 5(a). Secondly, the preamble to the Timor Sea Treaty notes: ... the desirability of Australia and East Timor entering into a Treaty providing for the continued development of the petroleum resources in an area of seabed between Australia and East Timor ... Thirdly, the MOU signed on 20 May 2002 indicates the commitment of both governments to work in good faith to resolve the IUA by 31 December 2002. Fourthly, the Greater Sunrise field is a resource in which Australia's interests are substantially greater than its interests in the Bayu-Undan field. We are here dealing with the JPDA, the Joint Petroleum Development Area. It is a construct designed to give commercial certainty in an area where there is no current certainty on the geographic boundaries. As I said earlier, fiscal, regulatory and title certainty is required before Woodside can support the Sunrise joint venture committing the significant funds required to move to the next stage. This is a potential commitment of about $A200 million to progress to what we refer to as the basis of design phase for a project which has an estimated capital investment of $A6 billion. This is not to say that the resolution of the Timor Sea Treaty and the IUA are the only items to be concluded. We must also conclude negotiations with the customers, the technical and economic activities and the commercial arrangements to support a project of this size. For Woodside the ratification of the Timor Sea Treaty and the IUA together is an important element of the certainty framework required. The need for the timely development and agreement of an IUA has been recognised and recommended to the committee in a number of other submissions. In the context of the Greater Sunrise field, it is apparent that the interests of Australia, East Timor and the Greater Sunrise joint venturers are best served by all parties supporting every effort aimed at securing the optimal outcome which, in our view, is the ratification of both the Timor Sea Treaty and the IUA together. Woodside suggests that the 20 May MOU is clear evidence of a commitment to conclude the IUA in a meaningful time frame, and this should remain the objective. However, an agreement to agree does not provide adequate certainty or comfort, in our view. For our part, it seems that the matter of the ratification of the IUA has become linked to the ratification of the Timor Sea Treaty for a number of reasons. Firstly, it is apparent that East Timor and Australia are not yet agreed on the meaning of certain critical terms of the Timor Sea Treaty and in this environment it would seem imprudent for it to enter into force. Secondly, the IUA provides a mechanism by which the governments articulate their agreement on and understanding of the key terms of the treaty and the manner in which Greater Sunrise should be developed and exploited for the benefit of both Australia and East Timor. Thirdly, from a Woodside perspective it would not be appropriate for the Greater Sunrise joint venture to consider any further significant commitment of resources to the project until there is adequate certainty. The entry into force of the Timor Sea Treaty, the IUA, the granting of new PSCs and the conclusion of a number of other government agreements are all inextricably linked in this respect. To summarise, it is Woodside's view that the best interests of Australia are most likely to be met if the Timor Sea Treaty is ratified when the respective governments are in agreement on the integration of a number of the treaty's key terms, in particular the IUA covering Greater Sunrise. Also, the best interests of Australia will be compromised if the significant benefits associated with the commercialisation of Greater Sunrise remain at risk as a consequence of the ratification of the Timor Sea Treaty. Let me be clear: Woodside will support the ratification of the Timor Sea Treaty, but only when the governments demonstrate a common understanding of all the key provisions of the treaty. In our view, the IUA is the obvious vehicle through which this can be achieved for the development of Greater Sunrise. It will also provide a basis on which title, fiscal and regulatory certainty and stability are maintained in circumstances where, following a final delimitation of borders, the Timor Sea Treaty ceases to have effect. CHAIR—Thank you for your evidence. The committee also thanks you for making the time available to be here today. We appreciate that you had to rearrange a number of matters. Could I start the discussion by asking if you could comment on why a project such as Bayu-Undan can apparently proceed on the basis of a ratified treaty, which we understand from the operators of Bayu-Undan will provide sufficient legal and fiscal security—notwithstanding that the treaty is without prejudice to future seabed delimitations—yet the Greater Sunrise project requires an IUA in addition to a treaty. Mr Maxwell—The core reason for the difference, in my view, is that the Sunrise field straddles the JPDA and the Australian side of the border, and that requires a unitisation agreement. Bayu-Undan sits totally within the JPDA. To the extent that the treaty provides certainty on the terms and conditions within the JPDA, that is provided by ratification of the treaty alone for the benefit of Bayu-Undan. We do not have the same comfort for the Sunrise development, because our certainty will come from the ratification of an international unitisation agreement. CHAIR—If there were future negotiations over the ultimate question of seabed delimitation, and the boundaries of the current JPDA were to be moved, would that not also potentially impact on Bayu-Undan? Mr Maxwell—It could do. The assumption that we are making here is that, if there is a future movement of the boundaries, it is likely to be further east and further west, not towards the centre. CHAIR—I think that is a fair assumption. Mr Maxwell—That is why, in a project of this size—in our case, $6 billion—we are going to need the certainty. If we did enter into an international unitisation agreement, we would seek the support of both the East Timor side and the Australian side for that agreement to then stay in force for the life of the field. That reflects the importance of having that certainty up front. CHAIR—You have noted, quite rightly, that the treaty anticipated concluding an IUA by the end of December this year. Are you aware of the stage of negotiations? How close are they to concluding an IUA, or how far apart? Mr Maxwell—I can only go on the basis of the information that has been provided to me and my staff. As I understand it, there have been a number of meetings, the most recent meeting occurring last week. My understanding is that there is still some way to go. Woodside has been speaking with both the East Timor side and the Australian side. Based on the information that I received, the negotiations have some way to go. They can move very quickly, if the hearts and minds are willing. That is not to say that it could not be done by 31 December, but there needs to be significant movement on both sides before that is possible. That would be my assessment at the moment. CHAIR—Mr Maxwell, what confronts this committee is not only the position that you and others have put to us but also the impact of simultaneous ratification of the Bayu-Undan project. Phillips and others have given evidence before this committee that if ratification is delayed to allow for a simultaneous ratification or any other reason then that project will be put at risk. There is, we are told, a construction window or an opportunity there. They have contractual commitments kicking in in January 2006. If they are to wait for negotiations on an IUA which has no relevance to their development, it puts at risk Bayu-Undan, a project that is further advanced and likely to bring benefits in a more timely way to East Timor. Do you have a response to that? Mr Maxwell—If I were in the Bayu-Undan position I would probably be arguing exactly the same thing as they are arguing. Early ratification of the treaty is in their commercial best interests. Early ratification of the treaty, together with the IUA, is in the commercial best interests of the Sunrise project. If the Bayu-Undan field were straddling the border between the JDPA and Australia, I am certain they would also want the certainty of the unitisation agreement before proceeding to the next phase of their project. CHAIR—You have had a deal of experience in these sorts of matters. What time flexibility is there in a construction project of this type? Mr Maxwell—It depends very much on the individual projects, but the best one I can cite is the North West Shelf itself. Probably four or five years ago people were talking about the expansion of the North West Shelf coming very soon. We were at the vagaries of the market, and it was three years before we were able to sort out the LNG contracts with our Japanese customers to then allow us to go ahead and commit the project. Throughout that period we continually worked with the contractors and our own staff, and we continually kept our eye on making sure we had the balance right between minimising costs now whilst preserving the flexibility to go as quickly as all the right commercial instruments were in place. As I said at the outset, large projects very often are delayed—sometimes due to regulatory arrangements, sometimes due to commercial arrangements between the parties and sometimes due to the sales arrangements with the project's customers. I guess it is a characteristic of projects that they continue to try to get the balance right between minimising costs and making sure that they have maximum certainty at the time they invest. So my suggestion would be, in the case of the Bayu project, that they are probably exposed to the normal commercial pressures of significant projects of that size. Mr WILKIE—The chair has actually asked most of the questions that I was going to ask. We are like-minded in the questions. For the purpose of making recommendations at a later time I need to understand why ratification and unitisation have to occur at the same time on Woodside's part. Why can the treaty not be ratified and the unitisation agreed to at a later point in time? It is a very important consideration for the committee. Mr Maxwell—From an Australian point of view, the Sunrise project is significantly larger in terms of value and interest to Australia than the Bayu-Undan project. The Sunrise project would not proceed without the certainty of the unitisation agreement. At the moment the way the treaty is worded, if the treaty were to be ratified without the unitisation agreement being sorted out and ratified at the same time, in essence we would have what I referred to in my opening statement as an agreement to agree. It is likely in those circumstances that, until the international unitisation agreement is sorted out, further progress on the development of the Sunrise project will stall because we do not have a basis of comfort that can allow us to go forward and spend the significant licks of money required for the next step. The work to date has been what we would consider assessment work, scoping work, concept work and screening work to try to understand what is the best way to go forward and develop this field. In November of this year that work comes to a conclusion and we go to the next phase where we target the selection of what we call a development concept for the Greater Sunrise field. We will not go into that phase and spend the design moneys without the comfort about the regulatory title and fiscal issues surrounding the Sunrise project. Mr WILKIE—I understand the importance of the IUA, but is it Woodside's belief that if the treaty were ratified the unitisation agreement is not going to be agreed to quickly? Is that the problem? Clearly there would be ongoing negotiations to actually bring that into force. Mr Maxwell—It is difficult for me to speculate. I think that, from an Australian point of view, while the opportunity is there we should be taking that opportunity to sort out the unitisation agreement as quickly as possible. Mr WILKIE—That is true, but— Mr Maxwell—We cannot speculate on how long the negotiations will take. Mr WILKIE—But what is the significance of having the two dealt with together in terms of negotiations? Is it important because not ratifying the treaty until unitisation occurs places some emphasis on having it ratified more readily by any of the parties? Mr Maxwell—I think it focuses the minds to get the unitisation agreement sorted out quickly. Mr WILKIE—If it was not dealt with at the same time, what sort of time frame do you envisage for unitisation? Mr Maxwell—It is very difficult for us to answer that question. Our current timetable has us committing to the basis of design work at the end of the first quarter of 2003. We would not go into that phase without comfort around the unitisation agreement. Mr WILKIE—Is it possible that early ratification of the treaty would provide the East Timorese government with more significant bargaining power when they are negotiating the terms of the IUA? Mr Maxwell—It could well do. Mr WILKIE—Is that the belief of Woodside? Mr Maxwell—That is a consideration of ours. Mr ADAMS—Is $6 billion the Sunrise development cost? Mr Maxwell—On a 100-per cent project basis, it is circa $6 billion for the wells, platforms and processing facilities. Mr ADAMS—It is a substantial amount of money. Mr Maxwell—It is. It would be the second largest oil and gas development from Australia after the North West Shelf in terms of capital commitment. Senator BARNETT—I want to pursue those questions that we have had already. Do you think that there is actually an incentive not to agree on the IUA on the part of any of the parties involved? Mr Maxwell—It is very hard for me to speculate on that. Senator BARNETT—Put it this way: if it drags on timewise, is it to the commercial advantage of one party or the other? Mr Maxwell—The East Timor side may see benefit in allowing it to drag as it becomes more important to Australia because Australia under the current structure enjoys more of the returns from the Greater Sunrise project. Allowing it to drag may be a negotiating tactic on the part of the East Timorese to extract more value out of the unitisation agreement. Senator BARNETT—In economic terms, if it was solved and out of the way upfront and quickly, would you say that it is an advantage to both sides or to the Australian side in particular because of the economic significance? Mr Maxwell—In my view, it is an advantage to both sides because if there is no project then there is no benefit to anybody, whether it is East Timor, Australia or the joint venture partners. So putting in place the instruments to enable the project is first and foremost, in our view. Without a project there are no benefits. Therefore, the quicker we can put the instruments in place, the quicker the parties—the different countries and the joint venture partners—can enjoy the benefits. Senator BARNETT—You have placed on the record that the significant expenditure that you want to pursue in terms of the development will not proceed—it will be stalled or on hold until there is certainty with regard to the regulatory and administrative environment. Mr Maxwell—The words that we use are that we need adequate comfort and certainty on the regulations, the title and the fiscal situation. We are used to an environment where these things happen in a stepwise fashion. Senator BARNETT—Can you advise us that the best case scenario is doing it simultaneously with the signing? Mr Maxwell—Yes. Senator BARNETT—Is there a worst case scenario? How long could it drag on for? You talked about the first quarter of next year. Could it go past that time? Mr Maxwell—That is within the power of the negotiating parties on the unitisation agreement. We are not a party to the agreement; we are affected by the agreement. I see it as a good likelihood that the unitisation agreement could drag well into next year and well beyond that. Senator BARNETT—With very serious implications. Mr Maxwell—Yes; and at that point you stall the Greater Sunrise project significantly. Mr WILKIE—Is that without ratification? Mr Maxwell—That is without ratification. Senator BARNETT—Thanks for that. Can you identify the sticking points that you are aware of in regard to the IUA? You have mentioned in your submission the risks associated, but are there any particular sticking points that you are aware of? Mr Maxwell—From our perspective? Senator BARNETT—Yes. Mr Maxwell—Certainty on the fiscal arrangements and a lot of the tax regimes that we are dealing with; certainty on title and whether we will have title for the duration of the depletion of the reservoirs, which in this case is typically 20 to 25 years; and certainty on the regulations that will be used to govern the administration of the field, and that goes to what are our operating costs to run the field. Each of those three feeds into the economics for the project and, in our words, the 'bankability' of the project. Senator BARNETT—I have one last question. Are you saying the agreement to agree is simply inadequate, open-ended and means nothing of significance? Mr Maxwell—Very early on in my career I learnt that an agreement to agree does not amount to very much. Senator BARNETT—Thank you. Mr MARTYN EVANS—For the general information of the committee, could you briefly characterise this in terms of the North West Shelf—half or two-thirds? Mr Maxwell—In terms of capital, it is about half. Mr MARTYN EVANS—And for gas? Mr Maxwell—In terms of gas, we are talking here about 8 tcf, which is again almost half the volume of gas at the time the North West Shelf was— Mr MARTYN EVANS—But it is still very substantial? Mr Maxwell—It is very substantial. In terms of sales revenue, we are talking in excess of $1 billion a year. Our assessment under the current expectations of the tax structures are that revenues to Australia will be circa $400 million a year, depending on oil price. Mr MARTYN EVANS—I know it is very early days, but where do you see the client base? Mr Maxwell—We are in active negotiations right now with customers for LNG based on the US west coast and we are also talking with one company in Asia. Mr MARTYN EVANS—Speculating in a much broader, post-Kyoto context, we are talking about East Timor, which is clearly a developing country, and we are talking about Australia. Without wishing to characterise us in this context, because there are differing views about this, let us put ourselves in the other category for speculation at the moment. How does one divide a field that straddles this context in those kinds of international agreements? Have you given any thought to a field that sits between these two camps in the context of greenhouse? How does one argue that kind of debate? I am curious about that. Mr Maxwell—It is one of the issues we have given thought to. The unitisation agreement would then have attached to it the regulations by which the depletion of the reservoir would be governed. Those regulations would have in them a set of environmental standards, as the legislation does for depleting some of the reservoirs in Australian waters. Mr MARTYN EVANS—So you have taken into account that international framework and context? Mr Maxwell—Yes. Mr MARTYN EVANS—Very good. Thank you. Mr WILKIE—If you went online with Sunrise, when would you be likely to be in a position to sell the gas? Mr Maxwell—If it is LNG, we are targeting the first gas for October 2008. Mr ADAMS—Regarding the 50 per cent job agreement and the East Timorese, the East Timorese will probably not be in a position to take them up because of skills and things. We will probably help with aid programs, but would it not have been in our interest to have signed an agreement for the Australian work force and also for permanent residents of Australia? Mr Maxwell—I feel like I am on dangerous ground. Mr ADAMS—Please do not feel that way. Mr Maxwell—The treaty provides for the education and training of East Timorese. Certainly—I can only speak from a Woodside perspective here and Woodside is the operator— one of our core values is working with the societies with whom we work closely. I can assure you that, based on past experience in other projects, we would seek to work with both the Australia side and the East Timor side to maximise opportunities for both. Overarching that, from our perspective, is the need to make sure that costs are reasonable and accepted and that the integrity, quality and reliability are maintained. Provided that people have suitable capacity and capabilities, yes, we would support training and development both on the Australia side and the East Timor side. CHAIR—Mr Maxwell, you have mentioned the production-sharing contracts. Woodside, I take it, is urging that they also be addressed simultaneously with the ratification of the Timor Sea Treaty and the IUA. Can you tell us a little more about Woodside's view of the function of production-sharing contracts and the role of government in concluding such instruments? Mr Maxwell—In essence, the production-sharing contract is the means by which we take the title to the oil and gas. It sets out the arrangements between us and the administrator of the area and is really the guidebook for the operations. CHAIR—And the role of government? Mr Maxwell—Are you talking about on the Australia side or generally? CHAIR—The Australia side, and then if there is anything you need to say more generally please do. Mr Maxwell—In Australia, the resource is the people's resource, so we have a licence to mine the resource, and it becomes ours at the time it is extracted. I think the responsibility of the government is to ensure that—there are a range of responsibilities—that resource is depleted in a responsible fashion, that it is safe, that the community gets its fair return from that resource and that the environment and society that may be affected by that resource are enhanced and not in any way damaged as a result of the activities of the companies mining the resource. CHAIR—On another topic—and perhaps we can conclude on this—we have had some evidence about a Federal Court claim by Petrotimor relating to the area in the JPDA. Is Woodside a party in those proceedings? Mr Maxwell—No, we are not. In the context of the Greater Sunrise field, the bulk of that sits outside the JPDA and we have not started depletion of that field. So at this point my advice is that we are not a party to that claim. CHAIR—Thank you. Are there any other questions? Mr CIOBO—You do not have to answer this if you would rather not, but have you had discussions with the East Timorese government about Sunrise? Mr Maxwell—Yes, we have. Mr CIOBO—Were they about the area outside the JPDA? Mr Maxwell—We have discussed that with them in the context of what their position is. We have not negotiated with them. Mr CIOBO—From your perspective, what is their position? Mr Maxwell—At the moment, they seem to be preserving their view. But I think their ambition would be to see the boundary moved to the east. Mr CIOBO—In accordance with the Lowe opinion? CHAIR—That is the Petrotimor view, if you like. Mr Maxwell—Not entirely. Mr CIOBO—So you would not say they are tied to that? Mr Maxwell—No. We have done a lot of work researching what is the proper boundary for the JDPA, having regard to history and ownership. We feel very comfortable with the boundaries that are there at the moment. Mr CIOBO—So you would say that the boundaries that currently exist are concurrent with your view of the correct legal status of the area? Mr Maxwell—From our perspective, yes. Mr CIOBO—With respect to your concerns about the need to ratify the Timor Sea Treaty and the IUA together, I presume you communicated that to the East Timorese government? Mr Maxwell—We have told the East Timorese representatives that we need adequate comfort and certainty on the regulations to fiscal structure and title. And how that is achieved, we are quite open. We see the ratification of the unitisation agreement and the Timor Sea Treaty as the very obvious means of making a significant step in that direction. That is the way we have communicated it to the East Timorese. Mr CIOBO—What was their reaction to that? Mr Maxwell—They understood our position. They did not necessarily agree with it. CHAIR—Given that 20 per cent or thereabouts of Greater Sunrise is within the JPDA—I am not sure if you have told us this before—what is the estimated revenue from that 20 per cent that would then, presumably under the treaty, be split 90-10. Mr Maxwell—I do not have that precise figure to hand; the figure I do have is the estimate of the revenue to East Timor from— CHAIR—If you take Greater Sunrise as a whole and then assume that 20 per cent is within the JPDA and, of that 20 per cent, 90 per cent will be attributed to East Timor and 10 per cent to Australia, I am just trying to get a handle on what that would be worth. Mr Maxwell—Are you talking about the fiscal revenue? CHAIR—Yes. I am asking about the JPDA side. Is there any difference in the revenue that would come from one side or the other? Geographically, is there anyMr Maxwell—The indicative East Timorese tax take is in the order of $A50 million or $A60 million per year. CHAIR—Does that equate to 90 per cent of the 20 per cent of Greater Sunrise that is within the JDPA? Mr Maxwell—Yes, and assuming the East Timor tax fiscal structure, which is different to the Australian fiscal structure. CHAIR—Are you aware of the taxation arrangements that Bayu-Undan have agreed with East Timor? Mr Maxwell—We are not aware of the details of those arrangements. We are aware that Phillips have negotiated something with the East Timor government. CHAIR—But Woodside, likewise, would be seeking to negotiate favourable tax treatment with the East Timorese? Mr Maxwell—Yes, we would. CHAIR—It might come back before this committee—like a double tax agreement. Mr Maxwell and Mr Wilkins, thank you very much for appearing before the committee in Canberra today and for your submission. [11.37 a.m.] ATWELL, Ms Julie-Anne, Senior Legal Officer, Office of International Law, AttorneyGeneral's Department CAMPBELL, Mr William McFadyen, First Assistant Secretary, Office of International Law, Attorney-General's Department BUCKLEY, Mr Michael Thomas, Manager, Resources and Environment Tax Unit, Business Income Division, Department of the Treasury FREE, Mr Anthony John, Manager, Excise Unit, Indirect Tax Division, Department of the Treasury PICKERING, Mrs Ariane, Special Adviser—Treaties, Department of the Treasury FRENCH, Dr Gregory Alan, Director, Sea Law, Environmental Law and Antarctic Policy Section, Department of Foreign Affairs and Trade RABY, Dr Geoffrey William, First Assistant Secretary, International Organisations and Legal Division, Department of Foreign Affairs and Trade WALKER, Mr Ian James, Manager, Timor Sea Team, Resources Division, Department of Industry, Tourism and Resources CHAIR—Welcome. Although the committee does not require you to give evidence under oath, I should advise you that the hearings are legal proceedings of the parliament and warrant the same respect as proceedings of the House and the Senate. The giving of false or misleading evidence is a serious matter and may be regarded as a contempt of parliament. Mr Campbell and Dr Raby, perhaps I can focus on you for the moment. During the public hearing last week, we canvassed at length the Commonwealth's views on the delimitation issue and, at the conclusion, the Commonwealth undertook to provide us with further details on—this is my list; you may have other matters—the linking of the IUA with ratification of the Timor Sea Treaty in terms of Australia's national interest, the question of the taxation regime that will be applying in the JPDA, the levels of Australian aid to East Timor and the flag of convenience concerns in the JPDA, such as environmental safety and the like. There may well have been some other matters, but perhaps you could deal with them to start off. Would somebody like to deal with those issues? Dr Raby—I will take the first one and then invite colleagues from Treasury to respond to the next one on taxation. I can also respond to aid. If you like, I can do the first and third together if you wish. CHAIR—That would be fine. What about flag of convenience? Mr Campbell—We will deal with flags of convenience. CHAIR—Thank you. Please proceed, Dr Raby. Dr Raby—On the first question of the relationship between the IUA and the treaty, the question, as I recall it, was: what was in Australia's national interests? As I said last time, from the government's point of view Australia's national interest will be maximised and preserved if the treaty, the IUA and all other instruments, including the PSCs, come into effect simultaneously. On the question of levels of— CHAIR—Perhaps we could just explore that for a moment. I think there was a meeting in Adelaide or somewhere last week, which you alluded to on the last occasion, to progress— Dr Raby—Perth. CHAIR—How could I forget! There was a meeting in Perth to progress these issues. Could you perhaps give us an idea of how close to reality the aspiration would be to conclude all these agreements at once? Dr Raby—Again, as I mentioned last time, these things can happen quite quickly if the conditions are right. We were encouraged that the lead negotiator on the East Timorese side was still asserting that it was their intention to have the IUA concluded with us by 31 December, according to the MOU that was signed in Dili on 20 May. But it is a difficult negotiation. It is very hard sitting here today to say clearly whether or not it can be done by then. There are a number of threshold issues that still confront us after the meeting last week. So they are still some important differences that we need to work through. CHAIR—What difference would it make, if any, to the negotiations if this committee were to recommend ratification of the treaty as soon as possible? Dr Raby—It would probably diminish the incentives on behalf of the negotiators to move quickly through the IUA. CHAIR—However, recommendation by this committee does not immediately translate into ratification by the government. Dr Raby—No, that is right. The government would still have to make its decision, which would be, obviously, the significant event. CHAIR—Yes. Mr WILKIE—Why would it diminish the incentives on behalf of the negotiators? Dr Raby—If they formed a judgment that the government might adopt the recommendation from the committee, they may feel that there is much less of a sense of urgency on the Australian side. Mr WILKIE—For the IUA? Dr Raby—For the IUA. Mr WILKIE—What are the incentives on their side? Dr Raby—For? Mr WILKIE—The IUA. Why would they not want it to be proceeded with as quickly as possible? Dr Raby—They are committed to the terms of the MOU, as we are. As I said, they indicated in Perth that they still want to see this done by 31 December. We have to take that on face value. Mr WILKIE—Then why does ratification and IUA need to occur at the same time if you believe that they would be trying to work towards a December resolution? Dr Raby—We are still confronting some significant differences on approaches to the IUA and we have not got yet an understanding between the parties on how to move forward on those differences. Mr WILKIE—But that is different to saying that they would not be still acting in good faith to work towards December. Do you believe that there would be an incentive for them not to work towards December if the treaty was ratified? Dr Raby—No, I just said it would diminish the incentives—the sense of urgency may be less. This is a hypothetical question you are putting. Mr WILKIE—But why would it be less? Dr Raby—It may look, if the government were to adopt that recommendation, that it was of less urgency for us as well. That may be how it would be perceived on the other side. Mr WILKIE—That is not how it is written up in the treaty at the moment, is it? At the moment, the treaty says that the IUA is really only an annexure of the treaty. The treaty can be ratified and IUA negotiations can continue—that is the current position. Why would it infer that there would be any less of a reason to proceed with that quickly? Dr Raby—Only that you have the MOU, which is a non-binding understanding, and that has been the target which we have agreed mutually to work towards, but time is moving on. Mr WILKIE—Would it be more or less beneficial for East Timor to have ratification prior to or at the same time as unitisation? Dr Raby—I think both sides would benefit from ratification and unitisation being agreed at the same time. Mr WILKIE—Equally? Dr Raby—No. As I said last time, our interest in this package is different. The big Australian interest is with Sunrise and, as we have just heard from one of the commercial partners, we need a unitisation agreement to realise that interest. Mr WILKIE—You made the statement that Australia's interests are maximised and preserved if treated simultaneously. What I want are reasons as to why you have made that statement. Why is that the case? Dr Raby—I think that gives us the comfort, if you like, that we have both elements together. The East Timorese element and interest is with the early development of Bayu-Undan. We have some interest in Bayu-Undan, but Australia's bigger interest is demonstrably with the development of Greater Sunrise. To do the treaty without having concluded an IUA for Sunrise would leave us possibly in a situation of less confidence and less certainty than at present. Mr WILKIE—Why would that be? Dr Raby—Because we do not have, other than the memorandum of understanding, an agreement to conclude an IUA by date certain. We have an MOU to do it by 31 December, but we do not have a treaty agreement that it will be done by date certain. Mr WILKIE—If Australia's interests are maximised—and I imagine an analysis would have been done of the figures on what is to be gained or to be put at risk by going down one path or the other; and I do not know if anybody has prepared that and that was what I was trying to get at last week—what sort of dollar terms are we dealing with in how much we are potentially going to lose from ratification without the IUA? Dr Raby—I think you can infer that from the evidence from the commercial partner preceding this evidence. I recall a figure of around $A400 million as revenue for Australia from the Greater Sunrise fields. If there were no IUA concluded or a delay, then that is the sort of loss that presumably we would incur. Mr WILKIE—How does that compare with Phillips, who are saying that if they do not have ratification as quickly as possible then the $1.5 billion in investments in the field that they have already put in place would be at risk and the overall project would be at risk? Has a comparison been done between losing Phillips as opposed to losing Sunrise or as opposed to having both? What was the risk assessment? Dr Raby—What we are looking at is not losing any element of this but having the lot go forward. That is why the approach has been to try to ensure that both sets of interests in this negotiation are fully reflected in the final documentation. Mr WILKIE—That is what we would prefer. However, on the one hand, both Phillips and Woodside have said that their projects may not proceed unless one gets ratification as quickly as possible without waiting for unitisation and, on the other hand, the other is saying, 'We may not proceed unless we have ratification and unitisation.' So we must have done a national interest analysis or a study to determine (1) who is likely to be right, if I can put it that way, and (2) what the opportunities and negatives are of either to Australia's national interest. Dr Raby—I should just say on the Phillips side that the liquids phase of the project—it is liquids and gas—is going ahead. I can only answer this in terms of the interest of the Australian government, and there I think I have answered as best I can on the revenue that could be forgone if we are unable to secure an IUA and have the Greater Sunrise Fields proceed. Mr WILKIE—What dollar figure are we likely to put at risk if we lose Bayu-Undan? Dr Raby—I do not have a figure for the Australian revenue share of Bayu-Undan. It is significantly smaller, though, than the revenue that we would anticipate from Greater Sunrise. Mr WILKIE—Would that include the infrastructure and job potential for the Northern Territory, because the Bayu-Undan gas would be piped to Darwin? Dr Raby—I do not have a figure or an answer for you on the downstream aspects of that. But there would also be, one would presume, significant downstream aspects connected with servicing the much larger field of Sunrise. Mr WILKIE—Sunrise is proposed to be on a barge and taken directly to market, whereas Phillips are looking at doing theirs onshore. Dr Raby—Yes, but I mean in terms of the size of the capital development of the project, and I believe Sunrise is a significantly bigger capital exercise. Mr WILKIE—Does the government have a view about the Phillips claim that they will not be able to proceed unless the treaty is ratified in November? It is unlikely that that is going to occur. Has the government considered that as a possibility and assessed the risk? Dr Raby—We have heard the Phillips view on this, obviously. We note it, and we are very mindful of the Phillips position. We do note, though, that the liquids phase is continuing. We are looking at the development of the whole field, not just Bayu-Undan but the whole Timor Sea area. Mr WILKIE—I know, but Phillips have put the income revenue to Australia in terms of taxation at roughly $A2 billion CHAIR—Over the life of the project. Mr WILKIE—Yes, over the life of the project. Is it worth putting that project at risk to hold out for unitisation and ratification at the same time? They have clearly stated on more than one occasion before this committee that, if we do not get ratification through by November, that project is at risk. Dr Raby—All I can say on that is that the government's position is that Australia's national interest is maximised through the development of all the fields and particularly by the development of Greater Sunrise. Mr WILKIE—So it is the government's view that the risk is worth taking? Dr Raby—Yes. The bigger field is of great national interest to us. Mr WILKIE—What I am trying to get clear here is that it is in the national interest—and it is the government's position—that, even though we may be risking the $A2 billion that we are likely to earn from Phillips over the life of their project at Bayu-Undan, we should still hold out for ratification and unitisation at the same time to maximise the potential of all the fields across the JPDA? Dr Raby—Yes. On Bayu-Undan, I would make the point also that it can be a question of timing—it may not be done this year; it could be done at some other stage—when you are taking a broad national interest view of this. The resource does not disappear simply because a particular arrangement does not proceed in a certain narrow time frame. I think it is quite instructive to note the comments made by the commercial partner previously that these major natural resource projects are characterised by significant slippage when they are being brought on stream. Senator BARNETT—I want to follow up on that point. In relation to the Phillips argument that the agreement must be ratified by November this year for the development to proceed, do you think that is perhaps not entirely accurate, that the resource will remain there and that the development could proceed at a later time? Is that what you are saying? Dr Raby—Certainly the resource will remain there. We note what Phillips say and we accept what they say on face value. They are the people who are doing it. We are saying that there is a balance of interests here. The conclusion is that national interests are served most by ensuring that our disproportionately bigger interest in Greater Sunrise is protected. Senator BARNETT—Can you express the level of confidence you feel that the IUA would be finalised swiftly if the agreement were ratified, subject to the IUA actually being ratified? In the best-case scenario, how quickly would it take for the IUA be finalised? Dr Raby—On the first question, from a negotiator's point of view, anything that increases leverage around the negotiations would be helpful. If that leverage around the negotiations were increased, I still cannot say how quickly we could do the IUA. In our most recent contact with East Timor, their lead negotiator has said that they are still looking at 31 December. We just have to see how we go in the context of the negotiations. Senator BARNETT—Is it not beyond the realm of possibility that you could do it by the end of November, subject to the will of both parties? You can take advice if you need to. Dr Raby—Could you please repeat the question? Senator BARNETT—Subject to the will of both parties, could it be finalised by the end of November? And then, effectively, everybody is satisfied. Dr Raby—If the will is there, we could do it very quickly. If you recall the negotiation we had over the Timor Sea Treaty, it did not move very quickly for a long time, and then when the political engagement occurred we were able to conclude that negotiation very quickly. Senator BARNETT—That is what I am really asking: are there any impediments, other than political will, that you are aware of that would stop both the agreement being ratified and the IUA being finalised swiftly? Are there any impediments that you are aware of that could drag it out? Dr Raby—Not of a technical nature that I am aware of. I would be guided by my colleagues on that, but nothing of a technical nature. Senator BARNETT—So it is feasible, possible, probable that it could be finalised swiftly if such a view was taken by the federal government? Dr Raby—Yes, if there is a will for both parties to do it, it could be done. Senator BARNETT—Witnesses this morning put the view that the development that they are involved with would be put on hold, and they estimated that it is a $6 billion development. Is that consistent with your understanding of the nature and extent of such a development? Dr Raby—Yes. Senator BARNETT—You can understand their views of the need for a certain and stable regulatory environment? Dr Raby—Yes. CHAIR—Can we just move on to the level of Australian aid to East Timor. Do you recall the questions about that last week? Dr Raby—Yes. The question was: was it true that we were cutting our aid? I am advised by AusAID that the aid program is a four-year program, and that at the inception of the program it was envisaged that the volume of aid would reduce in years 3 and 4. CHAIR—So what are we up to? Dr Raby—Year 2. In accordance with the program, there will be a fall in the aid delivery in years 3 and 4. CHAIR—That was announced at the outset of the introduction of that program? Dr Raby—That is my understanding. That was how the program was structured. Again, it is quite normal for programs to have a phase-out or reduction element in them, back-ended. CHAIR—Sure. Mr ADAMS—How many gas workers have you got now in East Timor? Dr Raby—Sorry? Mr ADAMS—How many gas workers can work on these projects? Dr Raby—I do not know. CHAIR—Mr Walker, while you are finding that answer, could I ask Dr Raby a question. Would you be able to direct us to Treasury's web site, or somebody's web site, so that we can find the information about when that program was announced and the details of the aid program? It is just that an allegation, if you like, was made by the Uniting Church. We would like to be able to consider it and have a look at when that was announced and the basis upon which the amount of aid was to change. Dr Raby—We might have it here. We can leave you the papers that set it out, but it was in the May 2000 budget that the program was set down and outlined. So you can see all that from these documents. CHAIR—Thank you. Mr Walker, have you got an answer on the question of gas workers in East Timor? Mr Walker—Yes and no; it is not a straightforward thing. I have figures for the work force by nationality in the Joint Petroleum Development Area as at 13 July 2002. In looking at those, we have to take account of the fact that this was a period when there was a very high level of short-term construction activity going on in the area, with the jack legs being installed and so on. As of that date, there were 26 East Timorese in the area. These were spread through several things that were happening. Quite a number of them were on the drill barge, which is still there—the one that is putting in the production holes for Bayu-Undan. There were some on a number of other installations and equipment as well. In terms of these jobs that they are involved in translating to permanent employment later on, these are really construction jobs— and they are people involved with construction activities—rather than a lot of the very highlyskilled jobs that are involved on the production side. In terms of East Timorese employment more generally, it is worth noting that Phillips is involved in a major training program. It has a number of trainees on its staff, as does the current joint authority operating the governance of the area. Mr ADAMS—With that in mind, when we negotiated the agreement, the Australian government did not put a preference clause in for Australians or permanent residents of Australia, did it? Mr Walker—No; that is correct. Mr ADAMS—Why wouldn't we have done that in the public interest? Mr Walker—The clause in the treaty is about how Australia and East Timor share the employment opportunities. In the previous Timor Gap Treaty with Indonesia, we had a clause that set a sharing arrangement aimed at 50-50. In fact, even with Indonesia and even with the relatively small employment that is in the Joint Petroleum Development Area, that 50-50 was never attained. Australia was always over 50 per cent and Indonesia significantly short of that effect. Putting in a 50-50 type figure into the Timor Sea Treaty would only have raised a number of issues, simply because it is very far into the future before East Timor can ever get to its 50 per cent—so far off that as a target it is almost meaningless to put it in there. The view was that, if one did that, it would be likely to be overlooked for a long period, because it is unrealistic. Hence, it was felt that it would give a lot more force to providing development opportunities for East Timorese to do it through a simple training and employment opportunity clause. Mr ADAMS—I appreciate and understand that, but if we go into a situation where some of that work is contracted to other parts of the world, Australia then would not get any skill base. Its work force would not take any skills from a resource that belongs in part to us and, by agreement and treaty, to the East Timorese. Mr Walker—Again this is about how we share the employment opportunities between Australia and East Timor. This should not be interpreted, because it does not say anything about Australia, to imply anything to the effect that Australia is not one of the two parties. In a situation like this there will always be a significant number of third country nationals involved. I think over the life of the previous treaty it was something like 15 per cent over the period 1992 to 1999. Mr ADAMS—I guess that is what I am trying to achieve for the future as well, that when we sign these agreements and treaties that we endeavour to look after our nationals in employment. Mr Walker—Yes. This does not in any way cede Australian employment rights after giving preference to East Timor. Mr WILKIE—To follow on from that, I do not actually hear anyone proposing a 50-50 arrangement or even an arrangement in terms of employment that specifies numbers. I think the concern that has been raised is that the current clause does not talk about sharing or partnership arrangements; it just has a preference for the employment of East Timorese nationals. What is being put to the committee is this: wouldn't it be fair if the clause stated something like, 'It will give preference to the employment of East Timorese and Australian nationals'? You do not need to specify a quantum, a figure; you just need to specify that it would be the intent that those people would have preference in employment. CHAIR—And then in practical terms the skill level would fall between the two. Whether unskilled or skilled labour, it would fall between Australians and East Timorese. I do not think we are talking about Australians and East Timorese competing so much as ensuring that the nationals of the two countries are given preference. Mr ADAMS—And the national interest might be given some preference. Mr Walker—Because this is a treaty between Australia and East Timor, it goes without saying really that we are talking East Timorese and Australian employees. This is in no way giving rights to third party countries. Mr WILKIE—But then the previous treaty was only a treaty between Australia and Indonesia, and it had both. Mr Campbell—I take that particular point, that this is a bilateral agreement between Australia and East Timor, and it is implicit that the concern would be there for East Timorese workers and Australian workers arising out of that. I think at one point in the evidence there was a suggestion that we should put in a 90-10 figure in terms of employment. Mr Walker—That is why I mentioned that. CHAIR—I think that was a Territorian. The other way around, though, but that is what they meant. Mr Campbell—To be honest, I think that could be even worse. That was certainly not even; it is worse than putting nothing at all. CHAIR—You do not have to convince me about equations. I am not into them. Mr Campbell—That is all I wanted to say. CHAIR—At the end of the day, is this not just an aspirational clause? It does not bind the companies, does it? Mr Campbell—No. It only binds the governments, and the governments do not employ the employees. CHAIR—So it is a statement of intent. Mr Campbell—Yes. CHAIR—But in practical terms, if it ever pans out that way, if the companies wanted to employ all unskilled workers from the Philippines— Mr ADAMS—It is only when you start to negotiate for taxation and other purposes you might then want to cover it from a government perspective so that the work force of Australia is not benefiting from those resources. There are other ways. Mr WILKIE—They may in fact choose to feed their workers non-Tasmanian salmon, which would be terrible. CHAIR—Could we move on to the taxation regime. Mr Buckley—At the last meeting of the committee on Tuesday, Mr Bartley fielded some questions on that. He was invited to look at the submission from BP. We have now reviewed the BP submission. It covers two areas—the application of GST to the Joint Petroleum Development Area and the operation of excise within the Joint Petroleum Development Area. I will ask my two colleagues to discuss those areas. Ms Pickering, would you like to talk on the application of the GST? Ms Pickering—Certainly. I believe that Mr Bartley said last week that the GST would not apply in the JPDA. If I can just reiterate that, that is the case. Under the tax code, the GST is a covered tax and article 18 does give us the right to impose GST. But the exercise of that right depends on domestic law. Under our current domestic law, we do not impose GST in this area. So it would require legislative change, as Mr Bartley said, to actually impose GST. CHAIR—Given what might be at stake then, you are not saying it is not possible. It would just take an amendment to legislation to include the JPDA as part of the Australian jurisdiction. Ms Pickering—Within the scope of the GST, yes. Mr WILKIE—Why would it fall outside that area at the moment, Ms Pickering? Ms Pickering—I am not an expert on GST. I could certainly get you a detailed description of the mechanics of it. My understanding of it is that the scope of the GST, where it is outside mainland Australia, depends on the Customs Act. Because it is treated as 'outside Australia' for Customs purposes, it will also be treated as 'outside Australia' for GST purposes. That is only my understanding of it. If you would like a definitive answer, I would prefer to get that— Mr WILKIE—No, I am happy with that. CHAIR—I assume Treasury has looked at it. As we understood it, BP has been given a response by Treasury as to why GST does not apply. So I am assuming that somebody has turned their mind to it. Ms Pickering—Yes. Mr WILKIE—I am satisfied with that. The only reason I am curious is that Australia's maritime boundaries are under dispute here. I would have thought we would be arguing that it would be inside our waters and, therefore, should come under domestic law. Mr MARTYN EVANS—It is somewhat in a state of flux in terms of what is inside and outside our boundary. Mr ADAMS—Duty free. CHAIR—I am just saying that it does not make it so. Was Mr Free going to address the next point? Mr Free—Yes. With your indulgence, I have a few brief words about the excise and customs system. I think we can sometimes get into some confusion about excise and customs duty unless we know exactly what we are defining. Excise, under current Australian law, applies only to goods manufactured in Australia, whereas customs duty applies to goods imported into Australia at the border under customs legislation. Quite often, excisable goods will normally have a customs duty rate, which has embedded into it a tax identical to the excise rate. To give an example, which I think is probably relevant to this case, let us consider diesel which, if manufactured in Australia, has an excise rate of 38.143c per litre. If you import diesel, you will also pay 38.143c per litre but it is payable as a customs duty. Returning to excise, the general principle is that licensed manufacturers of excisable goods do not pay excise on goods that they export because, to use the words of the act, they are not entered into home consumption. If BP itself directly exported goods to the JPDA territory, the issue is, is that area outside Australia for the purposes of excise law? The answer is that it is outside Australia, because you go over the customs barrier. If BP directly exported diesel, excise would not apply within Australia to that diesel. Similarly, if a third party—such as, I think in the evidence that talked about Phillips Petroleum—exported, say, diesel to the JPDA, they would be entitled to a refund or drawback of any excise duty that was incorporated that had already been paid on those goods. The next question that arises is: when the goods enter the JPDA, do they pay customs duty at the rate that I mentioned, which is equivalent to an Australian excise rate? Looking at article 15(e), provided they meet the tests for purposes related to petroleum activities—which is elsewhere defined at article 1(k) in the document—they would not pay customs duty on that at the excise equivalent rate. In summary, the answers to BP's questions are that excise duty does not apply to goods because it is an Australian internal tax, and customs duty on goods entering the JPDA, provided they meet the test of being for purposes related to petroleum activities, do not apply either. CHAIR—So BP should be quite content with that arrangement? Mr Free—I think so. CHAIR—This answers their concerns. Mr Free—Yes. For the purpose of the excise legislation, given that it is an export to an area external to Australia, it is no different from an export to any other place external to Australia. Mr ADAMS—When you say the customs barrier, do you mean the barrier of leaving Australia? What is that term? Mr Free—It is a term that Customs uses in a broad sense to mean the external border of Australia for the Customs legislation. Mr ADAMS—So is that the three-mile limit? Mr Free—It is normally for the purpose of the Excise Act. Exporters are taken for delivery of excisable goods to an area licensed in Customs legislation, which will normally be a wharf, a depot, an airport or the like, depending on the mode of export; specific places around the border of Australia licensed under the Customs legislation. I am sure, for example, there will be such a place in Darwin, which is the point at which Customs assesses exports and imports and any duty payable on goods coming into Australia. Mr CIOBO—BP raised the issue about whether it would be applied on a 90-10 regime split. We did not think that was the case; I assume it is not. Mr Buckley—That is on the application of the GST. At this point, there is no GST applicable. Mr CIOBO—If it did, what would be the case? Mr Buckley—We would have to cross that bridge when we came to it. Mr CIOBO—Let us hope we do not come to it. CHAIR—The final issue was the flags of convenience in the JPDA, environmental safety and the like. Mr Campbell, was that your area? Mr Campbell—Chair, with your indulgence, can I address one issue that was just raised. CHAIR—Sure. Mr Campbell—The suggestion that the non-application of an Australian law in a particular area might indicate that we are not serious about a boundary or something in the area concerned me a little. All I wanted to point out is that the areas we are talking about are offshore areas, exclusive economic zone and continental shelf. They are areas in which we exercise only certain rights—that is, basically to explore and exploit the resources there. No country normally applies the total body of its law out there. The fact that we do not apply a particular law in that area should not be taken to infer that somehow we are not serious about our claim to that area. CHAIR—I understand. Mr WILKIE—I was not suggesting that. I was suggesting that different boundaries are used for different determinations. The maritime border boundary is often based on the seabed. Sometimes we have an EEZ that is based on something else and another border that is based on something else. I think Mr Free answered the question when he was talking about excise being based around the borders for Customs purposes, which sort of explains the question about why tax does not apply: it is on the other side of what would be a Customs border as opposed to a maritime border or another boundary. The point was that there are different borders for different purposes, basically. CHAIR—I take the point. On the flags of convenience? Mr Campbell—The question we had related to the safety and operating standards, the crewing of petroleum industry vessels, the issue of flags of convenienceCHAIR—It emanated from evidence from the Maritime Officers Union. Mr Campbell—and the fact that some vessels did not actually go into port before they went to the equivalent of the JPDA. I will ask my colleague Ms Atwell to address that issue. Ms Atwell—The question related specifically to article 17 of the Timor Sea Treaty, which relates to the safety and operating standards of petroleum industry vessels in the area. Firstly, when a ship calls into an Australian port the Australian Maritime Safety Authority undertakes port state control procedures. Any ship that calls into an Australian port prior to entering the actual area would also be subject to such procedures. However, there is the possibility of ships entering the area without first entering an Australian port. For example, we believe some of the ships currently undertaking work in the construction of platforms in the Bayu-Undan area come directly from Singapore into that area. Currently the procedure under the Timor Gap Treaty for ships seeking to enter the area for the purpose of stopping at a fixed platform is that the contract operator is required to ensure that the ship complies with international safety and operating standards, in that the vessel possesses the required certificates. This is similar to the procedure conducted by AMSA when a ship enters an Australian port. The contract operator undertakes to do this prior to the ship entering the area. If the ship does not comply with those standards, the ship is not able to enter the area. The contract operator is required to this under the regulations issued by the joint authority under the petroleum mining code. It is envisaged that when the Timor Sea Treaty enters into force the provision concerning petroleum industry vessels under article 17, which is also similar to article 26 of the Timor Gap Treaty, will enable the designated authority to issue regulations in the same way that the joint authority has done under the petroleum mining code. Ships that might pass through the area without stopping at a fixed platform or for the purpose of undertaking petroleum activities in the area would enjoy freedom of navigation as they do in other areas of Australian territorial waters without being subject to port state control measures. Mr Campbell—I think the short answer is that there are regulations in place by the joint authority which cover those vessels and require the relevant certificates, and it is anticipated that that will continue to be the case under the new TST. CHAIR—So the designated authority would have the power to enforce those requirements? Mr Campbell—Yes. Ms Atwell—It is envisaged that the designated authority would require the contract operator to ensure that the ships have the relevant certificates in the same way that it currently does. If that is not complied with, the ship would be unable to enter the area. Mr WILKIE—One of the concerns is that there does not appear to be any way of enforcing that. While it was stated—and it is a bit of a motherhood statement in some respects—how do you go about ensuring that they comply? Ms Atwell—That is an issue which applies to ships more generally. When ships enter an Australian port, AMSA undertakes port state control procedures. In relation to compliance with international standards, AMSA would rely on the reports of classification societies which undertake the inspections to determine whether the ship actually complies. Compliance is reflected in the certificates that the ship holds. Determining that ships hold those certificates would be the means by which the contract operator would determine compliance with the regulations issued by the designated authority. Mr ADAMS—The world does not always work that simply. We will see how it works out. Mr WILKIE—Dr Raby, you have probably already answered this in many ways. In your professional opinion, do you think that the unitisation agreement will be decided on by the end of December based on meetings that have already taken place? Dr Raby—I have answered it— Mr WILKIE—I know you have said that there are no technical impediments, and there is really a lot of horse trading going on around the table. Do you think that it is likely to happen? Dr Raby—I am not sure whether or not it is likely. That is the best answer I can give you at this stage. I am not sure. Mr WILKIE—It is unclear. Dr Raby—Yes. CHAIR—We thank all representatives of the relevant Commonwealth departments who have appeared before us on various occasions in relation to this inquiry. The information we have received has been very comprehensive. We thank you for your submissions and for your willingness to appear on a number of occasions. Resolved (on motion by Mr Adams, seconded by Mr Wilkie): That this committee authorises publication, including publication on the parliamentary database, of the proof transcript of the evidence given before it at public hearing this day. Committee adjourned at 12.25 p.m.
. May 30, 2021 ~ Solemnity of the Most Holy Trinity Holy Angels & St. John the Baptist Father Daniel Stover Mass Schedule Parish Office: Saturday Vigil Mass 5:30pm- Holy Angels Sunday 8am- St. John's & 10am- Holy Angels Tuesday 6:30pm- St. John the Baptist Thursday 8:15am- St. John the Baptist Wed & Fri- 8:15am- Holy Angels Rosary Schedule We pray the rosary roughly 30 minutes before each mass. In addition, there is a 4pm & 4:30pm rosary on Sunday evenings, for special intentions. Sunday Afternoon Rosary Intentions @ Holy Angels 4:00pm-For all who have died serving our country. Adoration- Thursdays 5-6pm at HA. 1st Sunday of the month 9-10am at HA & SJ. 4:30pm- For those who are battling cancer. Mass Intentions 05/29- Ethel Sobba+ Meetings and Events B 05/30- 8am-for our parishioners 10am- Henry & Hildred Wittman+ 05/31-No Mass on Mondays 06/01- Jerome & Faye Katzer+ 06/02-No Mass, Fr. Stover away 06/03- John "Ronald" Lanzrath+ 06/04- Henry & Hildred Wittman+ 06/05- Lyle & Lucille Rockers+ 06/06- 8am- Dorothy Lickteig+ 10am-for our parishioners Holy Angels – Church Cleaning 06/05- Linda Huettenmueller & Jessica Whitham 06/12- Mackayla Martin & Donna Carr 06/19- Diane Doran & Becky Solander Holy Angels Offertory Counters 05/30- Amanda Foltz & Rae Ann Johnson 06/06- Larry Katzer & Mike Hermann 06/13- Molly Hoffman & Jodi Steele Communion to the Homebound Residents of Parkview Heights are offered Communion once a week through the generosity of a Catholic staff member. If someone is home-bound in their own house, please contact Fr. Stover. Jun 1- Garnett Knights of Columbus meeting 7pm. Jun 6- Area Nursing Home Worship Services, meet at 2:30pm at Guest Home Estates. Jun 2- No Mass at HA, Fr. Stover away. Jun 7-11- Fr. Stover at Priests' retreat, no Masses, etc. at Holy Angels & St. John's. Service Hours Opportunity If any high school students need service hours, Holy Angels and St. John have some projects you can volunteer for. Contact the parish office for details. Lifting of Dispensation from Obligation to Attend Mass Archbishop Naumann has chosen the Solemnity of The Most Holy Body and Blood of Christ, the weekend of June 5-6, 2021, as the occasion on which the dispensation from the obligation by the faithful to attend Mass shall be lifted. Beginning with Masses for that weekend, all the Catholic faithful residing within the Archdiocese of Kansas City in Kansas must return to observing the precept of the Church to attend Mass on Sundays and Holy Days of Obligation. More information will be provided as we get closer to the weekend of June 5-6. June 5, 5:30pm at Holy Angels June 6, 8am at St. Johns Servers: Justice Brummel & Owen Rockers Servers: Derek Rockers & Rigin Jasper Lector: Dottie Lickteig Sacristan: Katy Day Lector: Cathy Brummel Sacristan: Amelia Cubit 520 E. 4 th Ave. Garnett, KS Tuesday 8am- 4pm Thursday 8am-4pm 785-448-1686 email@example.com www.hasjparishes.com Fr. Stover's Contact Info: 785-433-5506 firstname.lastname@example.org St. Rose Philippine Duchesne School 530 E. 4 Garnett Principal: Kelli Wolken th, 785-448-3423 http://strosegarnett.eduk12.net Standard Confession Times: Saturdays- 4:45pm at Holy Angels Thursdays- 5:30pm at Holy Angels Sundays- 7:15am at St. John's St. Rose 2021 Calendar Winners 05/16- Lavern Scheckel, Garnett-$25 05/17- Laurie Stevenson, Richmond, KS-$25 05/18- Sophia Hughes, Burlingame, KS-$25 05/19- Fred Mader, Ottawa, KS-$25 05/20- Margie Tastove, Westphalia, KS-$25 05/21- Lily Fouse, Garnett-$25 05/22- Susan Garver, Gas, KS-$25 Weekly Offering May 22-23 Holy Angels St. John Envelope+Online $2,106.25 $1,638.50 Plate $ 182.00 $ 385.00 Total $2,288.25 $2,023.50 Budget $2,740.13 $2,505.00 Income Over(Under) ($ 451.88) ($ 481.50) Insurance Premium Balance (Due by 6/30/2021) Holy Angels $3,475 St. John-Paid this fiscal year Other Ways to Support our Parishes and St. Rose School Support St. Rose School on Amazon Smile – If you shop online with Amazon, please login through smile.amazon.com and designate Holy Angels as the nonprofit you wish to support. It is the same as shopping their regular site but a small percentage of your purchase is donated to the non-profit you designate. The money we receive will go to St. Rose School. The school is listed on AmazonSmile as "Holy Angels" because it operates under Holy Angels' employer identification number. Prayer for the Unborn Jesus, Mary and Joseph, I love you very much. Please save the unborn babies I have spiritually adopted who are in danger of abortion. Archbishop Fulton J. Sheen June 6, 10am at Holy Angels Servers: Jorel Nicolas & Chance Witherspoon Lector: Reese Witherspoon Sacristan: Kristen Schmit Joyful Homes Initiative June's theme for Enflame Our Homes is: Joyful families SERVE. Like moldy leftovers in the back of the fridge, our gifts and talents go to waste if we don't use them. Service to others doesn't need to be elaborate or expensive to have an effect on our families. Simply noticing the needs of those we care about and offering a small kindness is a habit that goes a long way toward building a more joyful family. Here is the website: archkcks.org/serve. Professional Continuing Education CFNEK is offering a Catholic-centered Continuing Education Program for those in the fields of law, accounting, financial planning, and insurance on Friday, June 4 via a Live Zoom Webinar. Cost is $75. For schedule, credit hours, and to register visit www.cfnek.org/events/sttomasmorecontinu ingeducationprogram. It begins with Mass celebrated by Archbishop Naumann at 8am and will conclude at 1:30pm. The Calix Society The Calix Society is a national association of Catholics in 12Step recovery (AA, NA, OA, AlAnon, etc.) The Calix Society usually meets the first Friday of each month at Church of the Ascension in Overland Park. The next meeting will be Friday, June 4. For specific information on time and meeting format, call Neil at 913-645-7244 or Mary at 913-747-5039. Corpus Christi Sunday The weekend of June 5-6 will be the celebration of Corpus Christi, the Solemnity of the Body and Blood of Christ. On this celebration, the Church calls extra attention to and celebrates that Jesus Christ is truly present Body, Blood, Soul, and Divinity in the smallest crumb of the consecrated Host or drop of the Precious Blood. To highlight this celebration, weekend Masses will conclude with a brief time of Adoration of the Blessed Sacrament and Benediction. Holy Angels Altar Society News Holy Angels Altar Society is seeking donations of "Themed" Baskets for the Beer With Jesus Silent Auction event on June 11. Get together with a couple of friends to create a fun basket with a minimum value of $40. Baskets need to be completed by June 4. Assembling a basket not your thing? Purchase the goodies and we will have our "experts" assemble it for you. Contact Terri Barnes at 620-724-0174 for questions and to pick up your baskets. Altar Society will suspend meetings for the summer. We look forward to seeing you at our next meeting on September 14, 7pm at the Knights of Columbus Hall, Garnett. Beer With Jesus Ladies Night Come for a night filled with faith and laughter. This ladies' night event will feature Jessica Jenkins and Rayne Ethetton with MC Lindy Katzer. Silent Auction will run throughout the evening. Friday, June 11, K of C Hall in Garnett. Donations accepted at the door, refreshments provided. Doors open 6:30pm, show starts 7pm. Ladies 21 & over only please. Summer Date Nights for Married Couples Grab your spouse and your favorite beverage and head out to your patio. We've got seven great date nights filled with insights and skills that will bring you closer. Sessions are live online with recordings available for registered participants. Ready to socialize again? Invite a group of couples to register with you, then simply plan to stream all or some of the sessions together for a fun evening with friends! Course begins June 17. For more information and to register visit https://evermoreinlove.org/everyday-skills. Retrouvaille Not willing to let go of your marriage? Many couples continue to struggle in a marriage, but are not willing to give up on each other. There is hope! Retrouvaille is a program designed to help struggling marriages regain their health. It is highly successful in saving hurting marriages, even bringing reconciliation to couples already separated or divorced. The next Retrouvaille weekend is scheduled for June 25. For more information, contact KC registration team: 800-4702230 or visit HelpOurMarriage.com. Living in Love Immersion Weekend The Living in Love retreat is back in person and better than ever! Now called the Immersion Weekend offered by EverMore in Love, this weekend will help married couples experience the wonder of being more in love. The weekend retreat will be June 26-27 at Holy Spirit in Overland Park, KS. More info, other dates and special coupon code for our Archdiocese can be found at www.archkck.org/livinginlove. Help Stop Taxpayer-Funded Abortion Your voice can help save millions of lives. The Hyde Amendment has protected Americans from funding abortion for 45 years, saving the lives of over 2.4 million children. Now, powerful members of Congress want to rescind this law that has had bipartisan support for nearly 50 years. Without it, billions of taxpayer dollars could go to abortion. It is critically important for millions of Catholics to send a strong message before Congress imposes taxpayer funding of abortion. Please sign the petition at NoTaxpayerAbortion.com and encourage others to do the same. Teaching Positions Available Are you looking for rewarding work in Catholic education? The Archdiocese of Kansas City in Kansas is looking for faithfilled Catholic teachers at all levels from Pre-K through 12 th grade in our Catholic schools. The diocese has 36 elementary and six high schools throughout Northeast Kansas. We have positions available for qualified candidates. Applicants should hold a Kansas teaching license, or be eligible to obtain a license. We can help you through this process. For questions contact Allison Carney at 913-647-0332 or email email@example.com. To apply visit www.archkckcs.org and follow the Employment+ link from the menu across the top of the page.
Breast Cancer in West Java: Where Do We Stand and Go? Yohana Azhar 1 , Hasrayati Agustina 2 , Maman Abdurachman 1 , Dimyati Achmad 1 1 Department of Surgery, Oncology Division, Hasan Sadikin General Hospital, Universitas Padjajaran, Bandung, West Java, Indonesia 2 Department of Anatomical Pathology, Hasan Sadikin General Hospital, Universitas Padjajaran, Bandung, West Java, Indonesia ARTICLE INFO ABSTRACT Received : 15 April 2020 Reviewed : 05 May 2020 Accepted : 09 July 2020 Keywords: breast cancer, regional breast cancer registry system, West Java *Corresponding author: Yohana Azhar Department of Surgery, Oncology Division, Hasan Sadikin General Hospital, Universitas Padjajaran, Bandung, West Java, Indonesia. firstname.lastname@example.org Background: Breast cancer is the most common cancer in Indonesia, a low-middle income country in Southeast Asia. We provide a regional hospital-based cancer registry of the central hospital in West Java, Indonesia. This study aims to characterize the presentation, diagnosis, evaluation, and management of breast cancer; to develop a regional breast cancer registry in West Java to monitor cancer care patterns; to evaluate cancer treatment outcomes. Methods: The data were collected from the medical records deposited in the Hasan Sadikin General Hospital Information System. The team has been contracted to operate the registry & organize an advisory board to standardize definitions of coding terminology of the registry's reporting system and to monitor the cancer care pattern. Data validation was conducted by a team in the cancer registry, consisting of health officers, pathologists, and registrars. Data management and analysis were conducted by the cancer registry team. Results: A total of 913 women diagnosed with breast cancer, from January 2014 until December 2018, were studied. The median age was 49.5 years old. The initial diagnosis was at the age of 42.4 years old on average. About 64.5% were diagnosed with stage-3 and -4 cancers, and 75.1% had undergone a mastectomy, of which 47.3% of the intent was palliative. Of those who have hormonal receptors, only 26.9% were positive, and 36.5% were not assessed for immunohistochemistry evaluation. Inappropriate surgical management of breast cancer was common at the community level, which included indiscriminate diagnostic lumpectomy (21.9%), incomplete mastectomy and omission, or suboptimal lymph node axillary clearance (47.4%). Only 3.0% of patients received breast-conserving surgery and were treated with mastectomy and reconstruction. Conclusions: Breast cancer in West Java is often recognized at the late stage. Treatment was suboptimal, leading to poor survival. A more aggressive approach to early detection and treatment needs to be developed to improve the outcomes of this potentially curable disease. INTRODUCTION Breast cancer is the highest and the major burdensome disease to individuals and society. In West Java Indonesia, breast cancer has been a leading case of female cancer since 2010 based on pathological registration in Indonesia. The incidence of breast cancer in Indonesia has significantly increased over the last decade. In 2012, 17,792 new breast cancer patients were reported and the aged standard in the incidence rate of female breast cancer was 48.9 per 100,000 [1]. enrich society recently. There is probably an indication that this unique ethnic group might have a strong influence in the presence of risk factors, breast cancer screening utilization, stages of the disease, and availability of appropriate care. West Java has the largest population in Indonesia and embraces the Sundanese culture. Sundanese is the mother tongue passed for many generations and, thus, becomes the main language amongst West Java people. However, many ethnic groups have become coexist and Based on the 2017 population census, there were approximately 48 million inhabitants with 49.3% of women living in West Java (the Statistic of West Java, 2017). The concern is that approximately 0.5% of women have received a diagnosis of breast cancer, and it is predicted that 9.6% of young women in West Java are at risk of developing breast cancer. During the year of study commenced, 2014–2018 in the Hasan Sadikin General Hospital with a 900-bed capacity, which is the top referral location for breast cancer in the province, 10,170 women sought treatments for cancer and 913 \| (10%) of this group sought treatments for breast cancer (Hasan Sadikin General Hospital Information System) [2]. This study aims to report and analyze the basic facts about breast cancer in West Java Indonesia from 2014 to 2018. Since West Java and DKI Jakarta provinces share the borders, the two cancer registries regularly exchange records of cancer patients who move across the border for treatment. In the population-based cancer registration, such cases were registered only in the province of the first diagnosis. The number of undetected cases is difficult to estimate due to access to remote villages especially in the mountainous areas with limited access to health facilities, but it is expected to be low. Female breast cancer cases were extracted from the registry database from 2014 to 2018 using ICD-10 codes C50.X. The information included the age and date of diagnosis [2]. METHODS Data Sources The data was collected from the medical records deposited in the Hasan Sadikin General Hospital Information System. The team has been contracted to operate the registry & organize an advisory board to standardize definitions of terminology coding of the registry's reporting system and to monitor the cancer care pattern. The data, such as an address, age at diagnosis, histopathology type, immunohistochemistry results, stage, and type of surgery validation, were validated by a team in the cancer registry, consisting of health officers, pathologists, and registrars. We used the system information software of Hasan Sadikin General Hospital and the medical records of the Department of Anatomical Pathology. A team has been appointed to perform registry and organize an advisory board to standardize coding definitions as well as to monitor the cancer care pattern. Data validation was conducted by a team in the cancer registry, consisting of health officers, pathologists, and registrars. Data management and analysis were conducted by the cancer registry team. This research was ethically approved by The Health Research Ethics Committee of Faculty of Medicine Universitas Padjadjaran No 1075/ UN 6.c.1.3.2/ KPEK/PN/2016. Statistical Analysis We analyzed the basic demographical data, stages, biological markers, histopathology, and various managements of breast cancer in West Java. All data are shown in frequency and percentage. RESULTS Basic Findings of Breast Cancer in West Java West Java is a province of Indonesia on the western part of the island of Java. The province has been subdivided into 9 cities and 17 regencies. Based on our data, the total number of breast cancer cases from 2014 to 2018 is 913, as shown in Table 1. Table 1. Breast cancer incidence distribution in West Java, Indonesia Incidence by Age The analyses of the survey and registry data showed equivalent results in the age distribution of diagnosed patients. The median data at diagnosis was 49.5 (49.5 ± 10.6) years with the average patient age on the initial diagnosis was 42 (42.4 ± 18.6) years. 59.6% of them are middle-school graduates, 60% live in a rural area, 40% have low income, and most of them use Sundanese to communicate (Table 2). Staging and Surgery The presentation stage of breast cancer varies widely throughout Indonesia. In less developed regions, the late-stage presentation is very common. More than half of breast cancer patients present with stage III-IV. The West Java study showed that only 2% of patients were diagnosed at an early stage, 21.5% at stage II, 48.2% at stage III, and 16.3% at stage IV. The proportion of stage IV patients in this study was likely underestimated as the presenting stage of the disease is generally kept within surgical databases, which do not keep records of stage IV presentations (Table 3). The information about surgical methods was obtained from the medical record. Among 913 patients, mastectomy was the most frequently performed, followed by breast-conserving therapy (BCT), and others (Table 4). Table 2. Demographic characteristics of breast cancer in West Java Table 3. Stage distribution of newly diagnosed breast cancer patients Table 4. Surgical management of newly diagnosed breast cancer patient Pathology and Biological Markers The 913 patients with pathologic results were reported on the online registry. Invasive ductal carcinoma of no special type (NST) cases was the most common histopathology type with 422 cases or 46.2%, followed by invasive lobular carcinoma, ductal carcinoma in Situ (DCIS), other special type carcinoma, and unclassified histopathology types by 77 (8.4%), 16 (1.8%), 65 (7.1%), and 333 (36.5%) cases respectively as shown in Table 5. Table 5. Histopathology types The proportion of patients with tumors positive for Positive Hormonal Receptor was 22.1%. The Her2-neu2 expression and triple-negative immunohistochemical (IHC) staining were identified by 7.1% and 8.7% respectively, while other patients without the information of immunohistochemistry results were accounted for 55.8% (Table 6). \| Table 6. Biological markers DISCUSSION We describe the basic facts of the breast cancer in West Java Indonesia and analyze the cancer incidence trends using Canreg 5 registry and national survey data. The West Java Cancer Registry is part of the national registry system that was initiated in 2014 and the online registration program that was established in 2014. The nationwide registry data was used as the foundation of our annual report, completed by various research studies. The hospital data of 913 women patients with breast cancer represented 89.9% of West Java Health Registry data. The data cannot be compared with the National Cancer Registry because it was not published yet. Globally, one in three women or about 33% were diagnosed with breast cancer and estimated at under 50 at the time of diagnosis. It is lower if compared with those in the Asia-Pacific region and the subregion of Southeast Asia accounted for 42% and 47%, respectively. A peak in the age-specific incidence rates occurred in Australian women at 50–69 years old, coinciding with the target age range for screening. Incidence rates in the Philippines continued to increase with advancing age [6,7]. In contrast, our data show that the peak in age-specific incidence rates happens at the age of 42.4 years. The peak age of breast cancer is younger in Asia. It is predicted that there is variation in tumor biology of women diagnosed with breast cancer. As a consequence, the treatment recommendation of these patients may vary aiming to improve survival rates [8]. We found that age is one of the most important risk factors for breast cancer. It is a common observation that breast cancer risk increases with age. The median age of 49 in Indonesian patients is much lower than that of in American population at 62 years [1]. The woman mean age with breast cancer in the study is 49.5 years, which is younger than in other developing countries and a decade earlier than western women. In Asian countries, the age at diagnosis of breast cancer is substantially lower than in higher-income countries with a median of 53.9 years in Japan, 51 years in Korea, 48–50 years in China, and 48.3 years in Thailand [3–5]. The surveyed patients mostly have middle-school education background (59.6%), live in the rural area (60.0%), have low income (40.0%), and speak Sundanese for daily communication. In the previous study by Anwar et al. [9], it was revealed that sociodemographic determinants, such as family socioeconomic status, ethnicity, rural residence, health expenditure, and healthcare access, are associated with breast cancer screening participation and should be considered and designed to improve breast cancer management. Further, some parts of West Java are rural areas and are far from health facilities with difficult access to get health information and health services. As for the education gap, the culture of the community, in which all decisions are very dependent on the elders, is also to be considered in providing counseling from different perspectives in breast cancer management. Sundanese, which is the main local language in West Java, is also an aspect that must be considered to establish communication with the community. Similarly, in Thailand, 17% of patients reported a delay in medical consultation, and 42% saw the doctor for more than 3 months after the diagnosis. Family income, education, previous breast symptoms, selftreatment, and travel time to the hospital are associated with a delay in treatment initiation. Release and provision of more updated research priorities to all related institutes by the Council of Cancer Control define a unique center that is responsible to register projects focusing on breast cancer control [11]. Across Asia, the data on the stage at presentation also reflects regional, ethnic, and socioeconomic disparities. Many breast cancer patients in Indonesia, also similarly presented in West Java cases, came up with the late stage, which consisted of Stage III (48.2%) and Stage IV (14.1%). This may not the real number due to missing information by 12.0% of our population. We conducted a current multicenter study to extensively analyze factors affecting the rate on a higher stage in Indonesia. High breast cancer mortality in West Java, Indonesia in general, is mostly attributable to late-stage disease presentation, which leads to the particularly poor outcome when combined with limited capacity for the accurate diagnosis and adequate therapy. Building public awareness of using complementary alternative medicine (CAM) for improving breast cancer outcomes is not always appropriate and is also the main cause of these women being late to the hospital. Most patients with lower income and lower education are usually afraid of seeking conventional treatments due to the lack of knowledge and prefer to use CAM as the main therapy. They usually use conventional therapy if the use of CAM is unsuccessful [10]. In China, the median time delay for treatment is 1 month in wealthy areas, compared to 94 days in lessdeveloped western and central regions. In some \| undeveloped regions of China, delays of more than 1 year occurred on 12–17% of patients. These numbers lead to a concern on the efforts to increase awareness and early diagnosis of breast cancer [11] The absence of advanced pathology services to establish hormone-receptor status continues to obstruct appropriate decision-making for endocrine therapy. The distribution variation of hormonal receptors in Indonesia is different from other countries, for example, Malaysia, due to a lack of 55.8% data. The safe administration of systemic chemotherapy, which is crucial to improve breast cancer outcomes for ER-negative and nodepositive cancers, needs the availability of drugs, infrastructure for drug administration, and well-trained physicians and non-physician staffs [12]. In Indonesia, the treatment often does not concur with current international guidelines. The most common intervention for breast cancer, mastectomy, can be done in a technically suboptimum manner in which inexperienced surgeons can leave significant and resectable malignant tissue in the mastectomy and axillary beds. There are some cases that the cancer patients were referred back to the hospital to be reoperated for the optimum result by conducting axillary or residual disease clearance. Although cobalt radiotherapy is regarded outdated in high-resources countries, it remains an important therapy in Indonesia setting, especially to those having poor infrastructure, physics main power and maintenance facilities, and inconsistent and unreliable sources of electricity and water that are needed to operate linear accelerator units. Unlike Ghana, Indonesia has a formal in-country certification process for medical oncology and surgical oncologist, but the distribution of this specialty is still minimum, which leads to exceeding cancer health care budgets in Indonesia [13]. Supportive care, which broadly includes side-effect treatment, palliative care, and end-of-life care, is an emerging specialty in West Java in cases where attention to the treatment of sideeffects and care of advanced breast cancer was neglected and where morphine availability for patients is highly problematic. This complex situation causes the treatment of breast cancer more expensive and burdensome for the national insurance health system. Efforts to control risk factors are advised, such as activating healthy community movements by avoiding fatty foods and increasing regular exercise. Besides, it is important to evaluate counseling and early detection methods that have been carried out for a better result. The government and other professional organizations also need to standardize breast cancer management in every region by providing adequate facilities and organizing refresher courses. Lastly, this study has limitations and rely on quantitative data from one tertiary hospital in West Java. It is necessary to further conduct quantitative and qualitative analyzes of social demographic factors to improve breast cancer management. Although our data is not ideal for epidemiologically standardized purposes, it can be used to practically manage breast cancer in West Java. CONCLUSIONS Breast cancer in West Java Indonesia is often recognized at the late stage. The treatment was suboptimal, leading to poor survival. A more aggressive approach to early detection and treatment need to be developed to improve the outcome of this potentially curable disease. DECLARATIONS Competing of Interest The authors declare no potential conflicts of interest. Acknowledgment We thank all members of the Regional Cancer Registry Team West Java for collecting and providing data. REFERENCES 1. Ferlay J, Soerjomataram I, Ervik M, Dikshit R, Eser S, Mathers C, et al. GLOBOCAN 2012: Estimated cancer Incidence, mortality, and prevalence worldwide in 2012: Int J Cancer. 2012;136:E359–86. 3. Kim Z, Min SY, Yoon CS, Won Jung K, Seok Ko B, Kang E, et al. The basic facts of korean breast cancer in 2012: Results from a nationwide survey and breast cancer registry database. J Breast Cancer. 2015;18(2): 103–11. 2. Dinas Kesehatan Provinsi Jawa Barat. Profil Kesehatan Jawa Barat 2017 [Internet]. [Accessed April 10th, 2020]. Available from http://www.diskes.jabarprov. go.id. 4. Fan L, Zheng Y, Yu KD, Liu GY, Wu J, Lu JS, et al. Breast Cancer in a transitional society over 18 years: Trends and present status in Shanghai, China. Breast Cancer Res Treat. 2009;117(2):409–16. 5. Youlden DR, Cramb SM, Yip YH, Baade PD. Incidence and mortality of female breast cancer in the AsiaPacific region. Cancer Biol Med. 2014;11(2):101–15. 6. Youlden DR, Cramb SM, Dunn NA, Muller JM, Pyke CM, Baade PD. The descriptive epidemiology of female breast cancer: An international comparison of screening, incidence, survival and mortality. Cancer Epidemiol. 2012;36(3):237–48. 8. Wong FW, Tham WY, Nei WL, Lim C, Miao H. Age exert a continuous effect in the outcomes of Asian breast cancer patients treated with breast-conserving therapy. Cancer Commun. 2018;38(1):39. 7. Bray F, Ferlay J, Soerjomataram IS, Siegel RL, Torre LA, Jematistics, et al. Global cancer statistics 2018: GLOBOCAN estimates of incidence and mortality worldwide for 36 Cancers in 185 countries. CA Cancer J Clin. 2018;68(6):394–424. 9. Azhar Y, Dimyati A, Lukman K, Hilman D, Aryandono T. Predictor of complementary and alternative medicine use by breast cancer patients in Bandung, Indonesia. Asian Pac J Cancer Prev.2016;17(4):2115–8. 10. Anwar SL, Tampubolon G, Hemelrijvk MV, Hutajulu SH, Watkins J, Wulaningsih W, et al. Determinants of cancer screening awareness and participation among Indonesian Women. BMC Cancer. 2018;18(1):208. 12. Mardela AP, Maneewat K, Sangchan H. Breast cancer awareness among Indonesian women at moderateto-high risk. Nurs Health Sci. 2017;19(3):301–6. 11. Poum A, Promthet S, Duffy SW, Parkin DM. Factors Associated with Delayed Diagnosis of Breast Cancer in Northeast Thailand. J epidemiol. 2014;24(2):102–8. 13. Clegg-Lamptey J, Hodasi W. A study of breast cancer in Korle Bu Teaching Hospital: Assessing the impact of health education. Ghana Med J. 2007;41(2):72–7.
PUBLISH FILED United States Court of Appeals Tenth Circuit UNITED STATES COURT OF APPEALS FOR THE TENTH CIRCUIT June 2, 2020 _________________________________ Christopher M. Wolpert Clerk of Court UNITED STATES OF AMERICA, Plaintiff - Appellee. v. RAPOWER-3, LLC; INTERNATIONAL AUTOMATED SYSTEMS; LTB1; R. GREGORY SHEPARD; NELDON P. JOHNSON, Defendants - Appellants. ––––––––––––––––––––––––––––––––––– UNITED STATES OF AMERICA, Plaintiff - Appellee, v. RAPOWER-3, LLC; INTERNATIONAL AUTOMATED SYSTEMS; LTB1; R. GREGORY SHEPARD; NELDON P. JOHNSON, Defendants - Appellants, and HEIDEMAN & ASSOCIATES, re 290 Motion, Respondent. _________________________________ No. 18-4119 No. 18-4150 Appeal from the United States District Court for the District of Utah (D.C. No. 2:15-CV-00828-DN-EJF) _________________________________ Denver C. Snuffer, Jr. (Steven R. Paul, with him on the briefs), Nelson, Snuffer, Dahle & Poulsen, P.C., Sandy, Utah, for Defendants-Appellants. Clint A. Carpenter (Richard E. Zuckerman, Principal Deputy Assistant Attorney General, Joan I. Oppenheimer, and John W. Huber, United States Attorney, of Counsel, with him on the briefs), Tax Division, Department of Justice, Washington, D.C., for Plaintiff- Appellee. _________________________________ Before LUCERO, HARTZ, and MATHESON, Circuit Judges. _________________________________ HARTZ, Circuit Judge. _________________________________ After a bench trial the district court decided that Defendants—RaPower-3, LLC; International Automated Systems, Inc. (IAS); LTB1, LLC; Neldon Johnson (the sole decision-maker for the preceding entities); and R. Gregory Shepard (who assisted Johnson in marketing and sales for the entities)—had promoted an unlawful tax scheme. To remedy the misconduct, the court enjoined Defendants from continuing to promote their scheme and ordered disgorgement of their gross receipts from the scheme. See United States v. RaPower-3, LLC, 343 F. Supp. 3d 1115 (D. Utah 2018). Defendants appeal. Exercising jurisdiction under 28 U.S.C. § 1291, we affirm. I. THE SCHEME Defendants' tax scheme was based on a supposed project to utilize a purportedly new, commercially viable way of converting solar radiation into electricity. Mr. Johnson's design, as he advertised it, was to install arrays of framed, triangular plastic sheets ("lenses") on towers. The lens arrays would track the sun and focus its radiation onto a "receiver," where it would heat a "heat transfer fluid." RaPower-3, 343 F. Supp. 3d at 1124. The transfer fluid would be pumped to a "heat exchanger" to boil water and generate steam. Id. at 1125. The steam would spin a turbine to produce electricity, which would be sent onto wires connected to the electricity grid. From 2006 to 2008, nineteen towers were constructed at a site near Delta, Utah. The evidence showed that the towers had lenses installed on them, but little more. Many of the towers with receivers "ha[d] no collector or mechanism to transmit energy from a receiver to a generator," id. at 1124, and Mr. Johnson testified that he had not even determined what substance he would use as the "transfer fluid," id. at 1125. There was no connection from the towers to the electricity grid; the only thing at the site was "a brown pole with wires dangling from the top." Id. at 1149. Mr. Johnson testified that he could have "easily" put electricity onto the grid "at any time since 2005," but he had "made a business decision" not to do so. Id. at 1147 (internal quotation marks omitted). There was no "third party verification of any of Johnson's designs." Id. at 1151. Nor did he have any "record that his system ha[d] produced energy," and "[t]here [were] no witnesses to his production of a useful product from solar energy," a fact that he attributed to his decision to do his testing "on the weekends when no one was around because he didn't want people to see what he was doing." Id. (original brackets omitted). Defendant Shepard testified that "the only application that he heard of for [heat from the lenses] was to burn wood, grass, shoes, a man, and a rabbit." Id. at 1150. Needless to say, Defendants never secured a purchase agreement for the sale of electricity to an end user. The district court found that "Johnson's purported solar energy technology is not now, has never been, and never will be a commercial-grade solar energy system that converts sunlight into electrical power or other useful energy." Id. Despite this, Defendants' project generated tens of millions of dollars between 2005 and 2018. At first the money came from individuals leasing lenses from IAS; but beginning in 2006, buyers would purchase lenses from one of Mr. Johnson's entities, IAS or RaPower-3 (or, because Mr. Johnson and Mr. Shepard used a multilevel-marketing structure, from a "downline" marketer who had purchased the lens from IAS or RaPower-3) for a down payment of about one-third of the purchase price. The entity would "finance" the remaining two-thirds of the purchase price with a zero- or nominalinterest, nonrecourse loan. No further payments would be due from the customer until the system had been generating revenue from electricity sales for five years. The customer would agree to lease the lens back to LTB1 for installation at a "Power Plant"; but LTB1 would not be obligated to make any rental payments until the system had begun generating revenue. The district court found that each plastic sheet for the lenses was sold to Defendants for between $52 and $70, and the correct valuation of each lens was not more than $100, yet the purchase price of a lens was between $3,500 and $30,000. Although Defendants sold between 45,000 and 50,000 lenses, fewer than 5% of them were ever installed. Stacks of uncut plastic sheets were in a warehouse in Utah, and Defendants could not tell which customer owned which lens. Customers were told that buying a lens would have very favorable income-tax consequences. Mr. Johnson and Mr. Shepard sold the lenses by advertising that customers could "zero out" federal income-tax liability by taking advantage of depreciation deductions and solar-energy tax credits. II. TAX-LAW IMPLICATIONS A. Validity of claimed deductions and credits The Internal Revenue Code (IRC) provides favorable tax treatment for investments in solar-energy projects and other capital expenditures. But the requirements to qualify are strict, and the government, believing that purchases of lenses for Defendants' project did not satisfy them, filed this action in the United States District Court for the District of Utah seeking injunctive and other equitable relief against Defendants. After a 12-day bench trial in which Defendants did not call any witnesses, the district court agreed with the government. The district court concluded, as discussed in more detail below, that Defendants had engaged in conduct subject to penalty under 26 U.S.C. § 6700(a)(2)(A) by telling customers that they could claim solar-energy tax credits under 26 U.S.C. § 48 and depreciation deductions under 26 U.S.C. § 167(a), including deductions and credits in excess of both passive income, see 26 U.S.C. § 469, and the amounts at risk, see 26 U.S.C. § 465. It also concluded that Defendants engaged in conduct subject to penalty under § 6700(a)(2)(B) because they made a gross-valuation overstatement "each time they told someone the price of a lens (whether $9,000, $3,000, or $3,500)." RaPower-3, 343 F. Supp. 3d at 1191. The district court determined that Defendants' "customers were not allowed a depreciation deduction or the solar energy credit" for several reasons. Id. at 1173. To begin with, "customers were not allowed a depreciation deduction . . . because [they] were not in a 'trade or business' related to the solar lenses and did not hold the lenses for the production of income." Id. The court evaluated whether customers had acquired lenses in good faith with the primary purpose of earning a profit. It relied on Tenth Circuit precedent, in particular Nickeson v. Commissioner, 962 F.2d 973 (10th Cir. 1992), which identifies factors indicating that an activity is an abusive tax scheme as opposed to a bona fide trade or business. The factors include: "marketing on the basis of projected tax benefits, grossly inflated purchase price set without bargaining, failure of taxpayers to inquire into the potential profitability of the program, taxpayers' lack of control over activities, and use of nonrecourse indebtedness[.]" Id. at 977 (citations omitted). Defendants' project fit the bill. The district court found (1) that the benefits of lens ownership were marketed by reference to "the tax benefits it would provide," RaPower-3, 343 F. Supp. 3d at 1181; (2) that "no customer earned or would earn income from buying solar lenses," id. at 1174; (3) that "customers had no control over their purported 'lens leasing' businesses," id. at 1179; and (4) that "any purported obligation [of the customer] to pay is substantial—and perhaps indefinitely—deferred debt," "[c]ustomers borrow for free," and "the only security for the customers' promise to pay the[] outstanding amounts is the lens itself," id. at 1180. The district court concluded that "the solar lenses were a smokescreen for . . . unlawful 'sales' of tax deductions and credits to customers," id. at 1182, and that "customers' 'lens leasing' businesses were not bona fide and ongoing businesses," id. at 1183. The district court concluded that depreciation deductions were also not allowed because the lenses were not "placed in service" by the same tax year as the claimed deductions. It relied on Treasury Regulation 26 C.F.R. § 1.167(a)–10(b), which prohibits depreciation deductions unless the property for which the deduction is sought had been "placed in service" by the year that the deduction is claimed. "Property is first placed in service when first placed in a condition or state of readiness and availability for a specifically assigned function, whether in a trade or business, in the production of income, in a tax-exempt activity, or in a personal activity." 26 C.F.R. § 1.167(a)– 11(e)(1)(i). The district court evaluated whether the lenses were "placed in service" under the framework articulated in Sealy Power, Ltd. v. Commissioner, 46 F.3d 382 (5th Cir. 1995), action on decision, AOD-1995-10 (Aug. 7, 1995), nonacq., 1995-33 I.R.B. 4, 1995-2 C.B. 1 (Aug. 14, 1995). In Sealy Power the Fifth Circuit identified five factors from Revenue Rulings for determining when the components of a power-generating system are "placed in service" within the meaning of the Treasury Regulations: 1) whether the necessary permits and licenses for operation have been obtained; 2) whether critical preoperational testing has been completed; 3) whether the taxpayer has control of the facility; 4) whether the unit has been synchronized with the transmission grid; and 5) whether daily or regular operation has begun. Id. at 395. Because none of these factors was met in Defendants' system and because "the bulk of customers' 'lenses' [were] not installed on towers," the district court concluded they were not "placed in service." RaPower-3, 343 F. Supp. 3d at 1184. For those reasons and one additional, the district court determined that the customers were not entitled to the solar-energy credit under 26 U.S.C. § 48. Taxpayers can claim a credit for a percentage of the "basis" (generally the cost) of qualifying "energy property." 26 U.S.C. §§ 46(2); 48(a)(1), (2)(A)(i)(II). But to qualify for the credit the property must be depreciable, see id. § 48(a)(3)(C), and placed in service during the taxable year, see id. § 48(a)(1). And, for the reasons just discussed, the lenses did not satisfy either requirement. Moreover, the lenses did not satisfy the requirement that the property be "equipment which uses solar energy to generate electricity, to heat or cool (or provide hot water for use in) a structure, or to provide solar process heat." Id. § 48(a)(3)(A)(i). The district court found: The preponderance of the credible evidence . . . show[ed] that customers' lenses have never been used in a system that generates electricity, that heats or cools a structure or provides hot water for use in a structure. Nearly all customer "lenses" [were] actually rectangular sheets of plastic sitting in a warehouse, uncut, unframed, and not yet installed on towers. Further, the preponderance of credible evidence show[ed] that even the lenses installed on towers do not "provide solar process heat." RaPower-3, 343 F. Supp. 3d at 1185. Thus, there were at least three reasons why lens customers did not qualify for the solar-energy tax credit. The district court then concluded that even if lens customers were entitled to depreciation deductions and solar-energy credits, they were not allowed to claim deductions or credits in excess of their income from "passive" activities. The court explained that "§ 469 generally prohibits the deduction of passive activity losses, except insofar as the losses are used to offset passive activity income," and that "[a]ctivity that involves the rental of tangible property is" a passive activity. RaPower-3, 343 F. Supp. 3d at 1185–86. Therefore, lens customers were not allowed to use "deductions and credits from purportedly leasing out solar lenses . . . to offset active income or tax on active income." Id. at 1185–86. Finally, the district court concluded that under § 465, lens customers were not allowed to claim deductions or credits in excess of their down payments on the lenses. It explained that losses incurred in connection with certain statutorily enumerated activities, including leasing depreciable property, see 26 U.S.C. § 465(c)(1)(C), cannot be deducted from income in excess of the amount that the taxpayer has "at risk" in the activity, id. § 465(a). The amount "at risk" is in general the amount of money (and the adjusted basis of property) the taxpayer has contributed to the activity. Id. § 465(b). The district court concluded that lens customers had no money at risk because (1) the purchase contracts "contained an explicit statement that a customer could get a refund of all amounts paid in, without penalty, if either IAS or RaPower-3 did not perform on the contract," and (2) there was no enforceable obligation to personally repay the nonrecourse, zero-interest loan used to finance the balance of the purchase price. RaPower-3, 343 F. Supp. 3d at 1188. Therefore, lens customers "were not allowed to claim a depreciation deduction for the full purchase price or any related amount." Id. at 1188–89. In short, the district court concluded that customers were not allowed to claim the deductions or credits that Defendants advertised in connection with owning and leasing a lens. B. Existence of a Tax Shelter Under 26 U.S.C. § 6700 The district court construed § 6700(a)(2)(A) to permit the imposition of a penalty against any "person who 1) organizes or sells any plan or arrangement involving taxes and 2) makes or furnishes, or causes another to make or furnish, a statement connecting the allowability of a tax benefit with participating in the plan or arrangement, which statement the person knows or has reason to know is false or fraudulent as to any material matter." Id. at 1170. Penalties can also be recovered from one who sells a service or product at a grossly inflated price (more than twice the correct value, see 26 U.S.C. § 6700(b)(1)(A)), so that customers can claim excessive tax benefits. See id. § 6700(a)(2)(B); United States v. Campbell, 897 F.2d 1317, 1322 (5th Cir. 1990) (explaining that tax shelters based on gross overvaluations "eliminate the buyer's incentive to pay no more than the investment's value because the financing mechanism allows the buyer to save more in tax benefits than is paid for the investment. That economic incentive pushes the price above the value"); see also Autrey v. United States, 889 F.2d 973, 981 (11th Cir. 1989) ("[A] promoter is in essence strictly liable for grossly overstating the value of property or services based upon which an investor will attempt to take a deduction or credit."). The district court determined that Defendants' "solar energy scheme [was] a 'plan' under § 6700 because the key component of the scheme was its promoted connection to the federal tax benefits of a depreciation deduction and a solar energy tax credit." RaPower-3, 343 F. Supp. 3d at 1170. And it found that all the Defendants "organized, or assisted in organizing the scheme, and sold the scheme to customers either directly or through other people." Id. The district court further determined that Defendants made false or fraudulent statements about material matters by asserting that customers could claim deductions and credits in connection with their lens purchases. It explained that these statements were material because they "'would have a substantial impact on the decision-making process of a reasonably prudent investor and include matters relevant to the availability of a tax benefit.'" Id. at 1171 (quoting Campbell, 897 F.2d at1320). And finally, the district court concluded that the scienter element of § 6700(a)(2)(A) was met because Defendants knew or had reason to know that their statements were false or fraudulent. It applied the following test: A court may conclude that a promoter had reason to know his statements are false or fraudulent based on what a reasonable person in the defendant's subjective position would have discovered. The trier of fact may impute knowledge to a promoter, so long as it is commensurate with the level of comprehension required by his role in the transaction. A person selling a plan would ordinarily be deemed to have knowledge of the facts revealed in the sales materials furnished to him by the promoter. A person who holds himself out as an authority on a tax topic has reason to know whether his statements about that topic are true or false. The test . . . is satisfied if the defendant had reason to know his statements were false or fraudulent, regardless of what he actually knew or believed. Id. at 1173 (brackets, emphasis, citations, and internal quotation marks omitted). Under this test, Defendants knew all the facts indicating that lens customers were not entitled to claim the promoted deductions or credits. Further, their defense that they relied on the advice of counsel that their customers were entitled to all of the promoted tax benefits was unavailing because "[i]f anything, the circumstances surrounding the writings [of the attorneys on whom they purportedly relied], and the attorneys' outraged response to learning that Defendants were using their writings to promote the solar energy scheme, bolster Defendants' reason to know that their statements were false or fraudulent." Id. at 1190. The district court also concluded that Defendants had violated § 6700(a)(2)(B) by making gross overstatements as to the value of the lenses. It determined that each sheet of plastic from which lenses were to be cut cost Defendants between $52 and $70, and that "[b]ased on the available and credible evidence, . . . the correct valuation of any 'lens' is close to its raw cost, and does not exceed $100." Id. at 1191. Defendants were selling each lens for $3,500, so the court held that they "engaged in conduct subject to penalty under § 6700(a)(2)(B) and made or furnished a gross valuation overstatement each time they told someone the price of a lens[.]" Id. C. Injunctive and Equitable Relief The district court ruled that injunctive and other equitable relief was appropriate under 26 U.S.C. § 7408 (which authorizes the government to seek injunctive relief to prevent ongoing conduct subject to penalty under § 6700 and other specified sections of the Tax Code) and § 7402(a) (which grants district courts jurisdiction to issue injunctions and other equitable relief to enforce the Tax Code), because Defendants had engaged in the scheme for many years; they knew that their statements about tax benefits were false or fraudulent; the scheme had caused great harm, including harm to the federal treasury; and Mr. Johnson's and Mr. Shepard's lack of remorse and continuation of the scheme after the IRS began investigating their scheme indicated that they were very likely to continue promoting their abusive tax scheme unless enjoined from doing so. It issued an injunction to prohibit Defendants from continuing to engage in the conduct that was subject to penalty under § 6700. For the same reasons that an injunction was appropriate, the district court ordered Defendants to disgorge their gross receipts from lens sales. Defendants appeal, raising a number of issues, to which we now turn. III. DISCUSSION A. Issues Addressed Summarily Most of Defendants' arguments on appeal can be disposed of summarily. First, they complain that the due-process rights of Solco I and XSun Energy, entities that were "created, own[ed], and control[led]" by Mr. Johnson, RaPower-3, 343 F. Supp. 3d at 1127, were violated by an order of the district court to freeze their assets. But Defendants do not complain that their own rights were injured by the district court's order and have made no effort to explain how they have standing to assert the rights of those entities, even after the United States raised the issue of standing in its appellate brief. We therefore decline to address the issue. Second, Defendants say that evidence obtained after trial necessitates a remand to the district court with instructions to dissolve the injunction. We understand this argument to be a challenge to the district court's denial of their motion to alter or amend the judgment under Federal Rule of Civil Procedure 59(e). In that motion they asked for an amendment or alteration of the judgment in light of new evidence that their system worked to produce electricity. The alleged new evidence was expert testimony that a system involving a commercially available engine had been used, in connection with the lenses at the Delta site, to produce electricity after the trial was conducted. The court denied the motion because "[t]he expert testimony that Defendants now seek to introduce was within their control to produce before and at trial." Order Denying Rule 59(e) and Rule 52(b) Mot., Dec. 4, 2018, ECF No. 529. Defendants do not challenge that statement or otherwise argue that there was anything preventing them from producing this evidence before or during trial. We therefore affirm the denial of their Rule 59(e) motion. See Nixon v. City & Cty. of Denver, 784 F.3d 1364, 1369 (10th Cir. 2015) ("[W]e affirm the district court's dismissal of the stigma-plus due-process claim because [Appellant]'s opening brief contains nary a word to challenge the basis of the dismissal[.]"). Third, Defendants contend that the district court improperly denied them a jury trial. They filed a jury demand two months after this lawsuit was filed. On the government's motion the magistrate judge assigned to the case struck Defendants' jury demand on May 2, 2016, on the ground that there was no Seventh Amendment right to a jury because the United States was seeking only equitable relief. The court later set the deadline for pretrial motions at November 17, 2017. On February 9, 2018, Defendants again moved for a jury trial, relying largely on the June 5, 2017, decision of the Supreme Court in Kokesh v. S.E.C., 137 S. Ct. 1635. The district court denied Defendants' motion on two grounds: (1) on the merits, Kokesh did not support Defendants' jury demand; and (2) the renewed motion for a jury trial was untimely. On appeal Defendants challenge the first ground but not the second. Because they have not challenged the district court's alternative ground for its ruling, we affirm. See Starkey ex rel. A.B. v. Boulder Cty. Soc. Servs., 569 F.3d 1244, 1252 (10th Cir. 2009) ("When an appellant does not challenge a district court's alternate ground for its ruling, we may affirm the ruling."). Defendants' argument in their reply brief comes too late. See Stump v. Gates, 211 F.3d 527, 533 (10th Cir. 2000) ("This court does not ordinarily review issues raised for the first time in a reply brief."). Fourth, Defendants challenge the district court's determination that they knowingly engaged in a fraudulent tax scheme. In essence, they claim there is insufficient evidence to support the court's decision. But the challenge is wholly inadequate to preserve the issue for consideration. The case was tried over the course of 12 days. The district court's opinion, which occupies about 82 pages in the official reports, includes 427 findings of fact. The opening brief devotes a little less than 12 pages to the issue. It recites a smattering of evidence favorable to Defendants but wholly fails to deal with the voluminous contrary evidence. It does not identify a single finding of fact by the district court that is unsupported by evidence at trial. There is some discussion of the law, but that discussion does not grapple with the specific evidence presented in this case. In this circumstance, this court has no obligation to conduct what would amount to a de novo review of the trial evidence to see whether it supports the district court's rulings. See Nixon, 784 F.3d at 1366 ("[C]ounsel for appellant . . . tells a story of injustice and argues against positions not adopted by the district court. Counsel utterly fails, however, to explain what was wrong with the reasoning that the district court relied on in reaching its decision."); United States v. Apperson, 441 F.3d 1162, 1195 (10th Cir. 2006) ("[Appellant] purports to challenge the district court's ruling on all of the categories of evidence it prohibited him from using to cross-examine [a witness], but fails to offer any detailed explanation of how the district court erred. Accordingly, we conclude he has failed to sufficiently place these rulings at issue."); Anderson v. Hardman, 241 F.3d 544, 545 (7th Cir. 2001) ("[A] brief must contain an argument consisting of more than a generalized assertion of error, . . . Yet [appellant] offers no articulable basis for disturbing the district court's judgment."). Moreover, the record on appeal would not permit us to conduct such a factual review. The record includes some exhibits offered at trial but only a fraction of the testimony (and that fraction appears in the appellee's appendix, not the appellant's appendix). Under Fed. R. App. P. 10(b)(2), "[i]f the appellant intends to urge on appeal that a finding or conclusion is unsupported by the evidence or is contrary to the evidence, the appellant must include in the record a transcript of all evidence relevant to that finding or conclusion." As we have explained: "Our appellate review is necessarily limited when . . . an appellant challenges the sufficiency of the evidence and rulings of the district court but fails to include in the record a transcript of all evidence relevant to such finding or conclusion." Deines v. Vermeer Mfg. Co., 969 F.2d 977, 979 (10th Cir. 1992) (internal quotation marks omitted); see United States v. Brody, 705 F.3d 1277, 1280 (10th Cir. 2013) ("By failing to file a copy of the trial transcript as part of the record on appeal, the appellant waives any claims concerning the sufficiency of the evidence at trial." (internal quotation marks omitted)). B. Disgorgement Order Defendants challenge the district court's disgorgement awards. "[D]isgorgement is a form of 'restitution measured by the defendant's wrongful gain.'" Kokesh, 137 S. Ct. at 1640 (quoting Restatement (Third) of Restitution and Unjust Enrichment § 51, cmt. a, p. 204 (Am. Law Inst. 2010) (original brackets omitted) (hereafter, the Restatement)). It "is by nature an equitable remedy as to which a trial court is vested with broad discretionary powers." S.E.C. v. Maxxon, Inc., 465 F.3d 1174, 1179 (10th Cir. 2006) (internal quotation marks omitted). The district court held Defendants jointly and severally liable for disgorgement of $50,025,480, with the maximum for each Defendant set at the amount of gross receipts received by that Defendant from the solar-energy scheme; Johnson was liable for the full amount, RaPower's limit was set at $25,874,066, IAS's limit was $5,438,089, and Shepard's was $702,001. The court did not deduct operating expenses of the companies, quoting the Restatement § 51(5)(c) for the proposition that a defendant "will not be allowed any credit of operating expenses to 'carry[ ] on the business that is the source of the profit subject to disgorgement.'" RaPower-3, 343 F. Supp. 3d at 1196 & n.633. 1 1 The Restatement provision states: A conscious wrongdoer or a defaulting fiduciary may be allowed a credit for money expended in acquiring or preserving the property or in carrying on the business that is the source of the profit subject to disgorgement. By contrast, such a defendant will ordinarily be denied any credit for contributions in the form of services, or for expenditures incurred directly in the commission of a wrong to the claimant. We review for clear error the computation of the disgorgement amount and we review de novo the method for determining that amount. See Klein-Becker USA, LLC v. Englert, 711 F.3d 1153, 1162 (10th Cir. 2013) (disgorgement award under the Lanham Act). Defendants raise several arguments against the awards. First, they contend that they did not intentionally defraud investors because they "encouraged . . . customers to seek their own tax advice." Aplt. Br. at 26. But, as with their challenge to the ruling that they had engaged in a fraudulent scheme, their argument is inadequate. They do not specifically challenge any relevant findings of the district court, address the evidence relied on by the court, or even include in the record the testimony and other evidence that would enable us to make an independent judgment of the sufficiency of the evidence. Defendants also complain about the district court's finding that they had damaged the United States Treasury in the amount of $14,207,517 through tax benefits claimed by lens customers between 2013 and 2016. But it does not appear that the district court used that figure in computing disgorgement amounts. Another complaint by Defendants is that the awards permit double recovery against them. But there can be no double recovery. Although Defendants are jointly liable for certain amounts, the government cannot collect the sum of the separate awards against them. To the extent that two of them are jointly and severally liable for the same amount, the government can collect from either, but not both. For example, if RaPower paid the full $25,874,066 it owes, that amount would be subtracted from Johnson's liability. Defendants' principal complaint is the amount of the disgorgement awards. We have stated that the plaintiff has the burden of showing gross receipts, while the defendant has the burden of proving any claimed deduction. See Klein-Becker, 711 F.3d at 1163. The Restatement § 51 cmt. i observes that "the precise amount of the defendant's unjust enrichment may be difficult or impossible to ascertain." But "a claimant who is prepared to show a causal connection between defendant's wrongdoing and a measurable increase in the defendant's net assets will satisfy the burden of proof as ordinarily understood." Id. "[P]laintiffs must generally establish damages with specificity," although "some estimation is acceptable if necessitated in part by the [d]efendant's poor record keeping." Klein-Becker, 711 F.3d at 1163 (original brackets and internal quotation marks omitted). Any uncertainty is resolved against the "conscious wrongdoer," in keeping with the rule that "'when damages are at some unascertainable amount below an upper limit and when the uncertainty arises from the defendant's wrong, the upper limit will be taken as the proper amount.'" Restatement § 51 cmt. i (quoting Gratz v. Claughton, 187 F.2d 46, 51–52 (2d Cir. 1951) (L. Hand, J.)). Defendants argue that the district court should have subtracted operating expenses from the gross receipts to determine the amount that should be disgorged. But they acknowledge that "a defendant is not allowed to deduct business expenses from the disgorgement amount if the business was created and run to 'defraud investors.'" Aplt. Br. at 25. They simply assert that "Plaintiff did not show Defendants intentionally defrauded investors." Id. But they do not muster an adequate challenge to the sufficiency of the evidence on that score. Defendants further complain that the government at various times suggested a wide range of possible damages. But they fail to explain how the government's earlier suggestions could have improperly influenced the court's award. Finally, Defendants challenge the way the district court computed the gross receipts from their enterprises. The court relied on Defendants' customer database, which apparently included transactions almost up to the time of trial, and showed that they sold 49,415 lenses and customers paid in $50,025,480 through February 28, 2018. This was less than what would have come in if customers had made only the down payment on each lens. The down payment from customers was to be $9,000 from 2006 through 2009 and $1,050 after 2009. Multiplying the lower down payment of $1,050 by the number of lenses sold gives a figure of $51,885,750. The court said that its award was also supported by the government's bank-deposit analysis for deposits through 2016. Defendants argue that the customer database was misinterpreted, leading to an excessively high figure. But it was their database and they would know better than anyone how to interpret the data; yet they offered no testimony regarding the database. Nor have they pointed to any errors by the court that appear on the face of the database. For example, their reply brief states that the database "contains entries listing a small down payment, some entries show a partial down payment, some of those payments bounced (but could not be deleted from the database), some orders were canceled (but could not be deleted), and some amounts are refunded (but cannot be deleted) and all contracts offered a full refund." Aplt. Rep. Br. at 7. The brief, however, does not identify any specific entries supporting their assertion, nor do they identify any evidence in the record supporting the claim that certain entries could not be deleted from the database. This failure to support their arguments with evidence is not just a lapse on appeal; they failed at trial as well. As the district court said, "Defendants—who are the ones in possession of the best evidence of a reasonable approximation of their gross receipts—failed to rebut the United States' evidence of this reasonable approximation, and introduced no credible evidence of their own on the point." RaPower-3, 343 F. Supp. 3d at 1195. Similarly, although it is not clear to us from the limited appellate record whether the district court's gross-receipts estimate is well-supported by the bankdeposit evidence (the record contains document summaries but no testimony explaining them), the failure of Defendants to include the bank-deposit testimony in the appellate record makes it impossible for us to evaluate the bank-deposit evidence; and, in any event, Defendants, as with so many other issues, do not adequately argue the matter in their briefs. In our view, the district court's computation was not clearly erroneous because it was a reasonable approximation. It used Defendants' own business records to determine how many lenses were sold, and multiplied that by a conservative estimate of the amount paid for each lens. Defendants argue about ambiguities in their own records that led the court to calculate an excessively high gross-receipts figure; but they bore the risk of uncertainty, particularly when caused by their own record keeping, obstruction of discovery (further discussed below), and decision not to put on any evidence or call any witnesses who could have helped the court reach a more precise estimate of their receipts or any legitimate expenses. We affirm the disgorgement awards against Defendants. C. Alleged Discovery Violations 1. Computation of Damages Defendants challenge the district court's admission of evidence that supported the amount of disgorgement, contending that the evidence had not been adequately disclosed before trial. Federal Rule of Civil Procedure 26(a)(1)(A)(iii) requires each party to "provide to the other parties . . . a computation of each category of damages claimed by the disclosing party." Moreover, the claimant has an ongoing duty throughout the litigation to supplement the damages computation "in a timely manner [(1)] if the party learns that in some material respect the [initial] disclosure or response is incomplete or incorrect, and [(2)] if the additional or corrective information has not otherwise been made known to the other parties during the discovery process or in writing[.]" Fed. R. Civ. P. 26(e)(1)(A). If a party fails to disclose or, where appropriate, supplement computations, Federal Rule of Civil Procedure Rule 37(c)(1) prohibits the use of that "information or witness to supply evidence . . . unless the failure was substantially justified or is harmless." The district court denied Defendants' motion in limine to exclude evidence and testimony relating to disgorgement, ruling that "'[d]isgorgement is not a damages remedy, and therefore 'the disclosure required by Rule 26(a)(1)(A)(iii) is inapplicable.'" Aplt. App., Vol. I at 115 (quoting United States v. Stinson, 2016 WL 8488241, at *7 (M.D. Fla. 2016)). We are not so sure that disgorgement does not come within the meaning of damages in the rule. The advisory committee note to the 1993 amendments to Rule 26 (addressing 26(a)(1)(C), which became 26(a)(1)(A)(iii) in the 2007 amendment restyling the Rule) says: "A party claiming damages or other monetary relief must, in addition to disclosing the calculation of such damages, make available the supporting documents for inspection and copying . . . ." Fed. R. Civ. P. 26 advisory committee's note to 1993 amendment (emphasis added). It therefore appears to require disclosure of calculations for equitable remedies providing monetary relief. On the other hand, the last sentence of that paragraph in the 1993 note states: "Likewise, a party would not be expected to provide a calculation of damages which, as in many patent infringement actions, depends on information in the possession of another party or person." Id. As with disgorgement here, the recovery sought in a patent-infringement action may be based on the defendant's income (rather than the injury to the plaintiff); so the sentence certainly supports the district court's decision, although on a slightly different ground—the fact that the information necessary to calculate the monetary relief is in the hands of the defendant. In any event, even if the rule applied to the government here, it was satisfied. The evidence necessary to determine Defendants' gross receipts for the purpose of assessing disgorgement was in the hands of Defendants. The government was reasonably forthcoming once it obtained that evidence. The government's initial disclosure in April 2016 said that it would seek "disgorgement of the . . . gross receipts . . . [Defendants] received from any source as a result of their conduct in furtherance of the abusive solar energy scheme[.]" United States' Initial Disclosures to All Defs., Ex. 1 to Defs.' Reply Mem. in Supp. of Mot. in Lim. to Exclude Test. Regarding Damages Relating to Disgorgement of Funds at 7, Mar. 13, 2018, ECF No. 337-1. It further stated that the information then in its possession showed that Defendant Shepard earned $170,000 from the scheme over the course of four years and that Defendant Johnson had earned nearly $500,000 over the course of two years. And it added that the government "expect[ed] the disgorgement calculation to increase as additional information is produced with respect to the gross receipts each defendant received relating to the abusive tax scheme." Id. at 8. To make a more complete assessment of what disgorgement damages it would seek, the government needed to review Defendants' records that would show how many lenses had been purchased and how much money they had taken in. But despite discovery requests for those records in April 2016 and a motion to compel filed in August 2017, Defendants were not forthcoming. Finally, on October 16, 2017, Defendants provided 190 pages of customer information. With that information, the government disclosed about five months before trial a disgorgement figure in the same ballpark as the ultimate award. On November 17, 2017, it moved for an order to freeze Defendants' assets and appoint a receiver "to ensure that Defendants will have the funds to pay any disgorgement this Court may award." United States' Mot. to Freeze the Assets of Defs. Neldon Johnson, RaPower-3, LLC, and International Automated Systems, Inc. and Appoint a Receiver at 5, Nov. 17, 2017, ECF No. 252. Its supporting memorandum argued that the amount frozen should equal the number of lenses sold by Defendants multiplied by the $1,050 down payment for each lens. It reported that, "[a]ccording to Defendants' own records (which are likely incomplete), Defendants have sold at least 45,201 lenses," so that $47,461,050 should be frozen. Id. at 13. The October disclosure by Defendants, however, was still incomplete. In January, the district court, no longer willing to rely on voluntary compliance by Defendants, ordered Defendants to allow the government's computer forensic expert to make a copy of the customer database from their computer equipment. The government finally obtained the raw data on February 28. It therefore took some chutzpah for Defendants to file on March 5 a motion in limine to exclude testimony regarding disgorgement damages on the ground that the government had not disclosed its calculations in a timely manner. Once the context is understood, any complaint that the government violated Rule 26 by failing to timely produce its disgorgement calculations is plainly without merit. Because the government was required only to supplement its initial Rule 26(a)(1)(A)(iii) disgorgement computation "if the additional or corrective information has not otherwise been made known to the other parties during the discovery process or in writing," because the information was largely "made known" to Defendants in the government's motion to freeze their assets, and because the complete evidence of Defendants' gross receipts was not obtained by the government until shortly before the motion in limine was filed, it was not an abuse of discretion for the district court to admit the government's evidence of Defendants' gross receipts. 2. Expert Witnesses Federal Rule of Civil Procedure 26(a)(2) requires a party to disclose witnesses who may give expert testimony and, in certain circumstances, provide a report by the expert. Defendants argue that various testimony by government witnesses should not have been admitted because the government had failed to disclose the witnesses as experts before they testified. The challenged testimony related to the amount of deposits into Defendants' bank accounts, the amount of gross receipts based on lens sales multiplied by down payments, and the estimated harm to the Treasury based on tax benefits claimed multiplied by an assumed tax rate. The district court determined that the government's witnesses were not offering expert testimony, so the government was not required to identify them as experts or produce expert-witness reports. The district court was correct. It is not an abuse of discretion to allow a nonexpert witness to testify regarding "elementary mathematical operations." James River Ins. Co. v. Rapid Funding, LLC, 658 F.3d 1207, 1214 (10th Cir. 2011); see Bryant v. Farmers Ins. Exch., 432 F.3d 1114, 1124 (10th Cir. 2005) ("Taking a simple average of 103 numbers, though technically a statistical determination, is not so complex a task that litigants need to hire experts in order to deem the evidence trustworthy"). Defendants have waived their challenge by not including in the record on appeal the testimony they ask us to review. See Deines, 969 F.2d at 979. But in any event, the testimony that we do have for review did not require expert credentials. For example, the government witness who testified regarding the harm to the United States Treasury simply multiplied the IRS's publicly available average tax rate by the sum of the deduction and credit amounts claimed by a sample of RaPower customers. Because these "mathematical calculation[s] [were] well within the ability of anyone with a grade-school education," Bryant, 432 F.3d at 1124, it was not an abuse of discretion to admit their testimony. IV. CONCLUSION We AFFIRM the judgment below.
Debbie: Hello Harry, welcome to the podcast. Harry: Hello Debbie. Thanks for having me. Debbie: I'm thrilled to have you on the show. And as you probably know, PDA is a pretty new topic for at least my show. Most of my audiences in the US and a few months ago I had Dr. Melissa Neff on the show who connected you and I and I did an episode with her and I have gotten so much feedback and I'm just noticing there's just so much interest in this topic and so many parents are seeing PDA traits in their children and here in the U S there's just so little support and information and actually you're coming to the U S in March, correct? For a conference? Harry: Debbie: Harry: Yeah, that's right. So myself, Laura Kirby, the founder of Positive Autism Support and training along with Diane Gould who is a social worker based in Illinois. We'll be coming to Chicago. I think it's on March the fifth and March the sixth. Yeah, that sounds right. I am going to be in Chicago the week right before that and I'm trying to figure out how to stay for the event. But listeners, I'll make sure there is a link to that event in the show notes page because I have a feeling it's going to be of interest to many of you. But I think probably the best way to start this conversation. I would love if you could tell us a little bit about your work in the world. You know, you've written an incredible book, The PDA Paradox, and you identify or call yourself an Emissary for PDA. Can you just tell us a little bit about the work that you do and why you do it? Of course. I use the word Emissary because I am, after all on a mission PDA has gained a lot of traction recently. The UK are spearheading the movement, but it appears in recent months especially, it's been gaining recognition elsewhere. So I was late diagnosed actually. I was diagnosed as being on the autism spectrum when I was 14. My diagnosis was updated to PDA just before I thought I was going to give music college a go. However, due to my being a teenager, I wasn't particularly interested in my diagnoses. At the time I wasn't anti- them, but I wasn't particularly interested. As I said it wasn't really until things started to deteriorate quite badly in my twenties when I, when it suddenly dawned on me, I've got to find out more about what this is and why I'm the way I am. So I was actually in the U S when I started my YouTube channel a couple of years ago. I decided to talk about PDA for no for no particular reason and I just started making videos because it was a way to deal with the boredom. I was hitchhiking around the US. I explain in the book and I just went for a little walk in New York State. The precise location eludes my memory because I was on the road quite a lot, but I was in this particular place for about three days. I got picked up after a quite a laborious seven mile hike in the middle of winter. And the person who picked me up said, you can stay at mine but you're going to have to wait three days before I can drive you anywhere else because she had work. So I thought, what am I going to do for three days? : Debbie: Harry: Debbie: Harry: Debbie: So I decided to make YouTube videos and I decided to talk about PDA and I had no intention of that particular video taking off but take off it did. And then I suppose as my following grew, I decided to make more videos for a start, but it was kind of therapeutic for me to reflect on my life and analyze each individual component of my life. And then suddenly one day I felt this tremendous need to return to the UK because I had, I had this book in my system, that had to get out. So I returned to the UK and around November 2017 and locked myself away and I wrote The PDA Paradox in about six weeks. I think. That's incredible. I mean, how quickly you wrote that and, and you talk about that. I think in the intro, just the paradox of writing a book you know, the, the, the demand avoidance that you were experiencing and even the process of writing, right? Yeah. I actually dedicate an entire chapter to how one day I just didn't feel like writing. I kind of veered out of the current because I was writing a good 11 hours a day. I did nothing else. I got myself a little job at the time that I found extremely difficult to do. Because all of my focus was poured into getting this book done. And I found myself in hyper-focus mode in a flow state, a flow state whereby I was, I became one with the activity. There was no separation between myself and writing the book. But then one day, I think I received a question, a harmless question from one of my followers saying, when is the book out? When is the book going to be ready? I forgot to mention, I tried to write the book two years before just before I decided to move to the States. And it was kind of, it was, it was that version, that draft was just my way of, I don't know, expressing all of these memories that I had repressed for a long time. It was like a giant journal project, but nothing really came of it. And it wasn't until I started connecting with other people in the PDA community that I realized I wanted to abandon my original project because my understanding of PDA had evolved at that point. So I wanted it to represent my current thoughts. So people would often, I told people in my first video, I'm working on a book. So naturally people were curious, but I can remember someone asked, when is the book going to be ready? And that made me stop immediately. And the silver lining there was that I could utilize that moment of demand avoidance and dedicate a chapter to that. Yeah, makes total sense. And also just as a fellow writer, sometimes we need to write those initial drafts. You know, the book might be something else and then that was part of the process and we couldn't have created what we ultimately produced without having gone through that first experience. Absolutely. Absolutely. I'm curious to know who you have found resonates most with your work. Like who is really following your YouTube channel, which again listeners, I'll have a link on the show notes page. Harry has a lot of great videos on there but do you find it's peers, is it parents looking for information? Who do you hear from the most? Harry: Debbie: Harry: Debbie: Harry: Debbie: Oh parents. There's no question parents by far that isn't to say there aren't other demographics but mainly parents because I suppose they're crying out for help in what is a rather bleak situation. Yes. I mean and that's certainly, that's the feedback that I receive. Again, having done that episode with Dr Neff and then I also did an episode with Kristy Forbes who really talked with us about her experience with PDA and I just keep hearing more, more from parents and really there is a sense of desperation there and just not knowing what to do. So as part of this, you and I had talked about, you know, let's see what kind of questions might community has. And so I had so many questions I tried to consolidate and I've sent them off to you yesterday. Like here's some about school, here's some about it, personal life, your, some about home life. And we, you and I have gone back and forth that many times via email since I sent those. And let's just be transparent with listeners about that process. There's no better way to be, let's be transparent. Yes, certain questions are likely to trigger something within me due to, Hmm. I guess I feel this tremendous sense of where the question is coming from and you know, demand avoidance doesn't discriminate. It could be a perfectly reasonable question, but I could detect a scintilla or a tiny demanding element and then it could make answering it very difficult... Answering it seriously. Sometimes I'd want to turn it into a joke. I'll try not to do that out of respect. Well, would you mind, after I got your email back saying some of these questions were quite jarring and I was like, yeah, I get that. And I went back and I reread the questions and I was like, yeah. Could you say more about certain questions maybe or topics that sparked that response in you? Well, I often state publicly that I'm not a huge fan of strategies. I think it is more important that we increase our understanding as much, as much as possible because then in that case, the strategies just fall into place. So the child, the PDA child is extremely shrewd at detecting any faults in their interlocutor, any kind of chinks in the armor. And if you randomly implement a strategy one day, the child will immediately notice it and think to themselves, what is going on? Why is that strategy there? What's different? What is changing? What are you trying to get me to do? The child is yearning for someone to be on their level. The child is yearning for someone to find the key required for the person to unlock the child's world. Even though the child may appear as though they're trying to reject everyone all the time. It's just, you know, if we can increase our understanding then what we do with these children becomes second nature. So in order for me to answer your question, I'd say that I can feel in some of these questions that the person asking once the child to change and they want perhaps a quick way out of their unpleasant situation, which I understand, but I still cannot quell the innerlokey as I like to call it, who resides within me. I think you nailed it. I mean I, I hear that as well and I hear that again, I'm going to use the word desperation and I think that's because so many parents do feel desperate, especially if their child is being explosive and they don't really, they Harry: Debbie: Harry: Debbie: Harry: just don't know what to do. And there there is a desire, and not just when we're talking about PDA, but a lot of topics I cover is that parents are hungry for tools and answers that are going to change a painful circumstance right now. I totally get that. And they have my full sympathy. So I do understand and it's, and it's important that I still experience the emotions that I do when reading these questions because that in itself becomes educational. Absolutely. Absolutely. And I would love to hear a little more about this, you know, you said you're not a huge fan of strategies. You're more about really helping parents understand better understand who their child is so we can kind of unlock their, you know, who they are in their passion and, and get to a place where they can really be themselves and thrive. I talk about this is becoming really fluent in our children's language, you know, and I'm using air quotes for the word language, but just really getting to know who they are. I'm just wondering from your perspective and because you hear from so many parents, what are parents not doing that enables that deeper understanding? Well, when it comes to PDA, it is a paradox, you know, and so many of the things that we ought to be doing with PDA kids totally contradict what we know about parenting. So in that sense, things can be anxiety inducing. These kids require trust and freedom to honor the space of the PDA child is perhaps one of the best things we can do for these children. But most of the time they are behaving in a manner that makes it seem like trust and freedom are the last things that they could need right now. You know, so it can baffle people, it can cause parents to question what it means to parent because they find that so many of the decisions that they have to make and accommodations they have to make. When it comes to raising their child goes against everything they know and sometimes everything that they feel to be the right thing. So I understand the frustration, but honoring the child's path is what they have to do and that perhaps that path will, you know, it's, it's a scenic route towards and it will perhaps totally bypass the kind of conventional conveyor belt towards success or used to this whole to be the only way. I love that metaphor of it being a scenic route. And what I'm also hearing is a need for parents to really detach themselves from the outcome because I think there is just so much of a desire to, a lot of the questions had to do with school, right? So there's such a desire to make it work for… Universal. School questions are by far the questions I get asked the most. And my answer is often quite tricky. I mean, first and foremost we can create as good as environment as possible within the home. And that requires the understanding on the part of ideally everyone within the home, parents, siblings, et cetera. Yeah, let's say we can get to a place where things are relatively good at home that, you know, the child may still venture out into the world. And then we'll cross cross paths with people who have to stop that process from scratch, adjusting their teaching methods if it's at school and striving to understand this child in a way that is very new to the person. So PDA by definition just defies the norm at every turn. Debbie: Harry: So first of all, I'm just going to say this now, we're not going to go through these questions because it doesn't feel like a useful way to spend this time with you. So I'm going to just apologize to my listeners who are like, I had a question they desperately wanted answered, but we're going to be talking about what I think are more important than those granular, very situational questions. But in terms of education, are there environments that that you kind of steer parents towards or do you find that maybe homeschooling is a good option for, for some kids who who have PDA? I'm just wondering, where do you kind of steer parents who come to you looking for support? I'd say unschooling because the child requires a bespoke curriculum and anything being imposed upon the child from the outside is likely going to be met with rejection. But very often these kids are autodidactic, which means self-taught, that the PDA kids I know who are doing the best are in settings whereby I'm not going to say allowed to do whatever they want, but it's interest led. So the idea is you tap into the child's interest and you just go from there because special interests are no stranger to the autistic person. And the beauty of a special interest is that it can be a driving force in the child's life. It's half the reason I'm so functional these days because everything I do is in alignment with my path, with my interests. Therefore, as I'm expending energy on being rewarded in return, and as a result, I get to stay in control and retain my sense of freedom. So any school or educational setting that can structure around those principles, valuing the child's freedom and interests over anything else, will find that their PDA child is more likely to thrive. So I, I suppose I go by the clients I've had and the stories that they've told me. Because school is an incredibly traumatic and hostile environment for these kids. It was for myself. Certainly I can, I'm still in school in a sense. That doesn't mean I attend an institution. It means I learn new things every day. Half my career is based on trying to know as much PDA as I possibly can. There's no demand in it because I retain absolute control over that process. And I can think back to moments where I suddenly could learn. I describe many PDA kids as having an inbuilt curriculum that's often out of sync with the school curriculum which is basically the being overcome or totally immersed within one particular interest. And then perhaps the novelty wears off and you move on to a new thing if that's a beautiful process, if it's allowed to chart its own course. But often it's not because there's a mismatch between what school are trying to teach you and what you're currently interested in. And the child is not often receptive to being force fed information that isn't in alignment with their interests. So any school that can understand this or any, any learning environment that can understand that one particular aspect of this way of being stands themselves in good stead. So the unfortunate thing is these places are few and far between. They're not omnipresent. So it's a matter of luck. Unfortunately, we need more places like this though. It'd be fantastic if there were more of them. Debbie: Harry: Debbie: Absolutely. I mean, I, first of all, I love the term in built curriculum—that makes total sense. And certainly what I see, what has helped my son Asher, who's 15, really thrive is by going from that place. And I agree with you. I mean I think so many children would benefit from being able to learn about the things they want to learn and be itself driven in that way because that's, that's what our lives as adults will be like anyway. If we're going to be self actualized. Yes, exactly. And a lot of PDA kids, they have a sense of agelessness, you know, they, they're not, they think they are adults. But there's no sense of pigeonholing people into these age brackets, you know. So in one sentence, the PDA child is fourth dimensional. As in the, in the fourth dimension, there is no separation between one moment and another. It's one articulated blob. The PDA child does not recognize a pecking order. It's not a matter of rejecting authority, it's not recognizing it, it's being unable to grasp hierarchies and not just in terms of authority, but in terms of age as well. So people often describe the PDA child as being not quite knowing, not knowing their role in a social context. So often getting on better with people who are much older than them or people who are much younger than them. And in one sense we have this vision of what our ultimate role is, but we're unfortunately bound by real life experience. So on one hand, as a child, I kind of knew that I'd be doing this kind of work one day that I'm doing as an adult. But as a child I could see with my own eyes that my intuition did not reflect the reality of my situation. So it becomes extremely difficult to carry out everyday tasks. It becomes extremely difficult to deviate away from the destination at the end of this route that I have to take in order to get there. So any other hurdle or stumbling block that falls in my way, it has to be immediately discarded. And these things could be minor, you know, small requests around the house or they could be major big decisions. Either way, there's a certain capacity to detect whether something is good to take on and incorporate it as part of the path towards this ultimate goal or whether it's this pathogen that has to be detoxified from the system immediately. So that's, that's the case with many PDA kids who are kind of overflowing with confidence and self assurance within a particular, well, you know, in themselves. But at the same time there's another paradox. So you know, PDAs full of paradoxes, but it's like I describe it as it's like fourth dimensional living. You know, you kind of have a sense of what your role is. Well what it will eventually be. But when you're young you're not there yet by definition because you have to go through this process called time and that requires patients, which is inconceivable to minds like mine. That's so interesting. I mean I just think this is just so helpful for parents to, he, you know, to just get a better sense of what their child is experiencing and it makes total sense that not kind of seeing or recognizing the hierarchy. I mean I just love the way you express that and again, resonates for me. And so one of the questions is, this isn't a specific question, but it's kind of a theme and I'm sure this comes up a lot from the parents that you work with. Two parents are really struggling to know, know when to push. Like what are things that are important Harry: to quote unquote push for and what isn't. And the, and so they, they're very cognizant of not wanting to place a demand on their child or a trigger, a fight, flight, freeze or fawn response. And they're constantly trying to weigh, is this something that I should be pushing for or should I let this go? Do you have any guidelines or thoughts or how you would advise parents to weigh those considerations? Well, the parents have to ask themselves a few questions. First, they have to monitor or observe or detect the demands that may lie within them and they have to ask themselves, is this important? How important is this? Is it important to me or is it also important to my child? Because very often there's, there's a mismatch there as well. What the parent might believe to be important may not be important in real life. But in the same breath, there's a, there's a challenge that it will not be important in the slightest to their child. So they have to monitor their agenda because everyone has an agenda before approaching anyone. Even if it's just, Oh, I just wanted to say hi and check to see if you were okay. Okay. Harmless, harmless intentions. But to someone like myself, it may not be because even, you know, I, one of my, one of my fears is being asked if I'm okay or how are you which, which seem like perfectly innocuous questions, but are you okay is demanding because I get a sense that, Oh gosh, this person wants me to be okay and therefore now I'm not. So it's important to know that's just, you know, that's just an example of myself and how demand avoidance manifests within my own life. But parents have to be as shrewd as their children are when it comes to detecting the slightest things in their environment. So they have to become very analytical. But when it comes to pushing or whether pushing is permitted or whether encouragement is important you know, there, there are, there's a reason why "I'll race you to the door" is more effective than "put your shoes on. It's time to leave the house." it's not just that the phrasing changes, it's that the entire dynamic changes because put your shoes on time to leave implies that there is separation between the mother and the child and then the child feels anxious and alone and a huge demand is there and the child is not in control and therefore they have to avoid the demand at all costs because the demand is designed to not the child out of, but I'll race you to the door. The parent presents an activity that benefits both parent and child, in which case there was no separation. So it all depends because encouragement and praise can have a negative effect on a PDA child because it could imply that let's say they, they're on a roll and they're in a flow state like I've spoken about before. All it took from me was all it took for me to cease writing was one measly comment from a person. When is your book done? Or when is your book going to be finished? That person wasn't necessarily encouraging me, but I could detect the urgency in their tone, which immediately unveiled the demand. You know, innocently that person wished for my book to be finished because they wanted to read it and because they wanted to read it, it made me recoil. So the same could be applied to a child in an everyday situation. The child could be doing something and the parent might not be able to help themselves. Well done. Or you're nearly there. I know you can do it. And then that could, ah, that could spell disaster. So Debbie: Harry: Debbie: Harry: Debbie: Harry: Debbie: Harry: Debbie: Harry: Debbie: when the child is open to praise, if the child is receptive to praise, if they ask for it, it might be okay. If they ask for encouragement, it's okay because they're opening the door and inviting the parent in. But if it, if the parent just praises, it's like the parents have committed breaking and entering. Wow. Makes absolute sense. And I've done episodes before about just even praise and reward systems and behavioral plans. And you know, I am not a fan. My listeners know that. I, I'm not a fan of using those with kids, but as you're describing this, I mean my hunch is that most of these kids, if they are in a traditional school setting, that it is indeed those behavioral plans and support systems and star charts and all those things are being implemented to modify behavior. And what I'm hearing you say is that is the absolute worst possible thing we could be doing. The school system is, is friendly to the PDA child as a pot of salt is to a slug. Yeah. So much food for thought here. And I, I think your point about praise and encouragement too, that is just one of those things I think many parents wouldn't dial in on, right? Because I think we're, we're taught to, to notice and support and I think it's just really good to be aware of. It's a case of conditioning and it's no fault of the parents. It's no fault of anyone's really. But the parent has to be prepared to, in a sense, break down these long held convictions that they've harbored for the entirety of their lives. And that, you know, that's a, that's a kind of radical change for the parents to undergo, which can be very difficult. But it's important to know that it's not just the child. Who is about to embark upon a journey. The whole family have to evolve as a unit in order to get this right. Yeah. I just recorded a podcast episode with my friend Seth Perler about education. He's an executive functioning coach and that was one of our points is that parents have to be willing to do the deep inner work on themselves in order for these kids to thrive. Couldn't agree more. I couldn't agree more. Absolutely. Well, I'm just, let me just ask one more question that I think will be helpful to my community… Definitely. Now, but I can sense that we're wrapping things up. I'm more open to answering some of these questions. Okay, cool. Really inconvenient. I know. No worries. No worries. I heard from a lot of parents about even just the, the diagnostic process is tricky here because a lot of people are not tuned into it and they're struggling to get that information. And I'm wondering what your Harry: thoughts are on the importance of having that identification, you know, to really understand that this is actually what's happening with the child rather than this being ADHD or autism spectrum without the PDA component. Yeah, I mean, the diagnostic process is difficult enough in my country, so I can't even begin to imagine what it's like over in the States, you know, because you know, PDA does not currently feature in either of the main diagnostic manuals. We use the international classification of diseases here in Europe and in the States. It's the diagnostic and statistical manual of mental disorders. You will not find pathological demand avoidance in either of those. And therefore PDA is a dirty word. However, you can describe PDA behaviors without alluding to the name. Permanent demand anxiety. You know, demand avoidance is seen right across the spectrum to varying degrees and in various forms. So if we can describe it without courting controversy, it's probably ideal because this is not a case of odd ADHD or OCD. And I'm, I'm, I'm kind of responding to one of the questions, hence why I mentioned those three conditions. PDA is, "I can't," as opposed to, "I won't," that's a, that's a distinguishing characteristic from, from odd, it's like I can't. I am literally unable, couldn't do it if I tried. It's not a matter of I refuse to do this on the basis that you've asked me. It's being overcome, paralyzed and incapacitated by a malignant force within who fails to distinguish minor request from serious threat. So in a sense there is this, there is a degree of rationality there in the sense that we are avoiding danger. So it's, it's extremely important for at least the, the profile of behavior or the nature of the child's difficulties to be described in exquisite detail. I don't think having the diagnosis is the most important thing, although it can certainly help in certain areas in my country. But so long as the child's needs are outlined and their difficulties are accurately described, I think that probably takes precedence at this point. Debbie: Well, and I do feel, you know, you said you've noticed kind of in the past couple of months there being just more awareness. I do feel that it's starting to happen. I hope Tilt is being a part of that. I know your work is a part of that. Dr Melissa Neff's work and I'm excited about this event that's happening in Chicago. Again, I'm looking at the flyer right now, so I'm just going to share. It's for parents and professionals. It's a workshop on supporting individuals with a demand avoidance profile of the autism spectrum and it's March 5th and 6th in Chicago. And I will have information on the show notes if you want to check that out and Harry will be there. And I just think this work is so important and I want to thank you for sharing your experience and, and for writing your book and just the work that you do. I'm so happy that you have found this space and that you kind of always knew you were going to be doing this work and it's so impactful. So I'm just really grateful to be able to have shared your perspective with our community today. Harry: My pleasure. Thank you for having me. 10 RESOURCES MENTIONED: * Harry Thompson's website * Harry's YouTube Channel * The PDA Paradox: the Highs and Lows of My Life on a Little-Known Part of the Autism Spectrum by Harry Thompson * Chicago PDA Workshop * Diane Gould * Laura Kerbey * A Conversation with Dr. Melissa Neff about PDA (podcast episode) * A Conversation with Autism and Neurodiversity Specialist Kristy Forbes (podcast episode) * A Conversation Between Debbie Reber and Seth Perler For Teachers and School Administrators (podcast episode) 11
FACULTY OF MATHEMATICS - Course 2018/ 2019 STATISTICS AND OPERATIONAL RESEARCH DEPARTMENT HEURISTIC ALGORITHMS: Max-Diversity Rafael Mart´ı Cunquero Made by: G´omez Gonz´alez, Juan Francisco Beltr´an S´anchez, Miguel ´ Angel Contents 1 Introduction and important things This paper is for the subject Models in operation research. This paper consists of the study of two types of algorithms, one of them is GRASP(Greedy Randomized Adaptive Search Procedure), did it in one class with our teacher Rafa, and the other follows the methodology of tabu search, did it by ourselves. Our study consist of solve the maximum diversity problem (MDP). The problem of maximum diversity consists of selecting a certain number of elements from among all the available ones in order to obtain the greatest diversity. If we draw in a plane the elements represented by points, we look for those whose sum of distances between them is greater, hence the term of greatest diversity. To do our paper, we need two parts; ﬁrst of all we need to calibrate the parameters of our algorithms and secondly, we will do the comparative between both algorithms. Both parts will be done in a collection of 8 problems with size 500. It is noted that the programming language that we have used in the implementation of both algorithms has been Dev-C ++ 5.11. Obviously we have run the algorithms, whom we are going to speak later, in the same computer which has the following characteristics: Intel(R) Core(TM) i3-3217U CPU 1.8GHz. Then we have had the results with the limitations of our computer, but we always guaranty that the results are fairly taken in both algorithms with the same computation time. The C code has been attached by e-mail. We have chosen this way for two reasons: The reader will be more interested in the selection of the parameters and in the comparative between methods, and we don't want to do unnecessary papers, that makes the reading more ﬂuid. Previous the study of the parameters, we will comment a few things about how works our algorithms. GRASP tries to get better solutions by changing the element of the solution (local search) and our initial solution is, as its name told us, a greedy randomize. The start solution of the other algorithm is a greedy one and later we use Tabu Search which consists on get one element of the solution and changes it to a better one, if we can't get a better one then we change it to the best of the worst,i.e., we get the element with the higher value. The objective of worsen is to get a new space of solutions and try to improve our solution in this new space. 2 Calibration of the parameters Both algorithms have parameters. In the ﬁrst method we have the parameter α which deﬁnes the list of candidates in the neighborhood of the solution. α with the randomize to get our diﬀerent solutions. We have α ∈ [0, 1], if we put α = 0 we get a randomize algoritm and with α = 1 we get a random element and then we use the greedy construction to get the others elements of the solution. We are looking for the best α for the maximum diversity problem. In the same way, in Tabu Search we have the tenure as a parameter. This parameter tells us with element can be selected again for adding it in our solution, this is why it's very important to determinate the value of this parameter. First of all we are going to determinate the parameter α of the GRASP and secondly the tenure of Tabu Search. We implement two methods, ﬁrst and best in the Tabu Search so, we need to determinate the tenure for both algorithms. The algorithm Tabu ﬁrst does the same as Tabu seach, we try to improve the solution by change elements of the solution, if we ﬁnd some element we change it and we doesn't mine if it only improve 1 or 2 points in the objective function (we will see that in some problems this algorithm is not the best), the Tabu best consist of explore all the possibles neighborhood and we don't improve our solution until we don't explore all the elements and when we see all the elements we improve with the best of them (if we can't improve we get the best of the worse like we have said), as you can see this algorithm has more computational time than the other one. We let two minutes for each example, for each algorithm and for each α, tenure that we have tried. In our statistical analysis we are aware that we only have eight examples and we know our limitations. 2.1 GRASP and its parameter α The values of the objective function has been taken in the following table: Table 1: 2 minutes for each example to get our α \| α \| Amparo \| Borja \| Daniel \| Emilio \| Jose \| Maria Jesu´s \| Raquel \| Virginia \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 0.5 \| 21461 \| 21453 \| 21412 \| 21684 \| 21503 \| 21513 \| 21676 \| 21426 \| \| 0.6 \| 21553 \| 21481 \| 21406 \| 21684 \| 21487 \| 21677 \| 21685 \| 21750 \| \| 0.7 \| 21793 \| 21660 \| 21697 \| 21684 \| 21577 \| 21783 \| 21818 \| 21518 \| \| 0.8 \| 21783 \| 21816 \| 21735 \| 21942 \| 21952 \| 21885 \| 21884 \| 21730 \| \| 0.9 \| 22080 \| 22118 \| 21895 \| 22045 \| 21951 \| 22035 \| 22008 \| 21910 \| In our statistical analysis, the response variable and the factor of study are the following: Response variable (r.v.): value of the objective function in pur algorithm GRASP. Factor: α We answer the question: There is any signiﬁcant diﬀerence between the mean of the r.v. for our chosen α? We will have done the statistical analysis with software R. Our statistical study will divide in two parts: 1) Graphic representation and numeric data and 2) hypothesis contrasting. 2.1.1 Graphic representation and numeric data We are going to see in the next code in R (the graphic representation will be done by a box plot). NUMERIC REPRESENTATION Amp=c(21461,21553,21793,21783,22080) Bor=c(21453,21481,21660,21816,22118) Dan=c(21412,21406,21697,21735,21895) Emi=c(21684,21684,21684,21942,22045) Jos=c(21503,21487,21577,21952,21951) Mar=c(21513,21677,21783,21885,22035) Raq=c(21676,21685,21818,21884,22008) ``` datos=cbind(Amp,Bor,Dan,Emi,Jos,Mar,Raq,Vir) rownames(datos)=c(".5",".6",".7",".8",".9") datos<−t(datos) #mean medias<−apply(datos,2,mean) #mean for each alpha #summary repnum=apply(datos,2,summary) #NUMERIC REPRESENTATION varianza<−apply(datos,2,var) std=varianzaˆ(1/2) #standard deviation for each alpha ``` ``` Vir= c (21426,21750,21518,21730,21910) We get the next outputs: > means .5 .6 .7 .8 .9 21516.00 21590.38 21691.25 21840.88 22005.25 > repnum .5 .6 .7 .8 .9 Min. 21412.00 21406.00 21518.00 21730.00 21895.00 1st Qu. 21446.25 21485.50 21639.25 21771.00 21940.75 Median 21482.00 21615.00 21690.50 21850.00 22021.50 Mean 21516.00 21590.38 21691.25 21840.88 22005.25 3rd Qu. 21553.75 21684.25 21785.50 21899.25 22053.75 Max. 21684.00 21750.00 21818.00 21952.00 22118.00 > std .5 .6 .7 .8 .9 106.84568 124.63884 106.21239 87.71128 80.12802 Graphic representation ``` ``` #Box plot par(mfrow=c(1,5)) boxplot(datos [,1], xlab="alpha=.5", ylab="f.o.",ylim=c(21400,22200)) boxplot(datos [,2], xlab="alpha=.6", ylab="f.o.",ylim=c(21400,22200)) boxplot(datos [,3], xlab="alpha=.7", ylab="f.o.",ylim=c(21400,22200)) boxplot(datos [,4], xlab="alpha=.8", ylab="f.o.",ylim=c(21400,22200)) boxplot(datos [,5], xlab="alpha=.9", ylab="f.o.",ylim=c(21400,22200)) ``` We have got: in which we can see that α = 0.9 We can see, and our data tell that, α = 0.9 is the best of all.It is also remarkable that the biggest interquartile range is in α = 0.6, that means that the data has more diversity between them. 2.1.2 Hypothesis contrasting Now we will have done the hypothesis contrasting, which our null hypothesis H0 is µ0.5 = µ0.6 = µ0.7 = µ0.8 = µ0.9, and our alternative hypothesis HA is that there are diﬀerences between the means. With our ANOVA's knowledge, we can apply it because our data don't have the conditions for the applicability, for example, we don't have independence between variables because we share examples. We should use a non parametric contrasting like the Test of Friedman o Kruskal-Wallis. We are in front of a multiple contrasting with the same means. We are going to see it in the next script of R. friedman.test(data) #test no parametrico Friedman rank sum test data : datos Friedman chi−squared = 26.051, df = 4, p−value = 3.09e−05 p-value = 3.09e − 05 < 0.5 we have enough evidence with 95% that we can't assume that the means are the same. Moreover, the test ﬁnds enough evidences between at least in four groups. Joint it with the graphic description, numeric description and the test, we have determined that our best α is 0.9. We wanted to use (and we tried) a comparation post-hoc for the test of Friedman, we tried the test of range with sing of Wilcoxon pairwise.wilcox.test( paried = TRUE ) or Tukey's range test: in R with the function ﬁendmanmc() the packege pgirmess, but we need the knowledge about non parametric methods, because we haven't studied it in the degree so, we don't know how to use it. 2.2 Tabu Search (First) and its parameter tenure. We have studied forty tenure (from 1 to 40) for every Tabu (First and Best). The output is a big table so we have chosen the best of them to let you see how it works. In Tabu First if we choose tenures bigger than ten, our solution doesn't improve so, the best solution was the greedy. Then we choose the ﬁrst ten tenure to show in the paper. Table 2: 2 minutes of computation for every example. \| tenure \| Amparo \| Borja \| Daniel \| Emilio \| Jose \| Maria Jesu´s \| Raquel \| Virginia \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 1 \| 20988 \| 21249 \| 21193 \| 20796 \| 21304 \| 21324 \| 21293 \| 21128 \| \| 2 \| 21267 \| 20926 \| 21275 \| 21310 \| 21174 \| 21032 \| 21071 \| 21008 \| \| 3 \| 21121 \| 21136 \| 21088 \| 21111 \| 21081 \| 20861 \| 21207 \| 21023 \| \| 4 \| 21006 \| 20970 \| 20958 \| 20999 \| 21049 \| 20918 \| 21076 \| 20983 \| \| 5 \| 20829 \| 20766 \| 20819 \| 20806 \| 21049 \| 20807 \| 21139 \| 20727 \| \| 6 \| 20653 \| 20814 \| 20719 \| 20790 \| 21049 \| 20791 \| 21028 \| 20689 \| \| 7 \| 20606 \| 20734 \| 20610 \| 20790 \| 21049 \| 20791 \| 20889 \| 20721 \| \| 8 \| 20583 \| 20717 \| 20610 \| 20790 \| 21049 \| 20791 \| 20734 \| 20568 \| \| 9 \| 20575 \| 20717 \| 20610 \| 20790 \| 21049 \| 20791 \| 20651 \| 20545 \| \| 10 \| 20575 \| 20717 \| 20610 \| 20790 \| 21049 \| 20791 \| 20728 \| 20535 \| In our statistical analysis, the response variable and the factor of study are the following. Response variable (r.v.): value of the objective function in our Tabu First algorithm. Factor: tenure We answer the question: There is any signiﬁcant diﬀerence between the mean of the r.v. for our chosen α? We will have done the statistical analysis with software R. Our statistical study will divide in two parts: 1) Graphic representation and numeric data and 2) hypothesis contrasting. 2.2.1 Graphic and numeric representation We are going to see it in the next script of R (the graphic representation will be done by a box plot). Numeric representation. Amp=c(20988, 21267, 21121, 21006, 20829, 20653, 20606, 20583, 20575, 20575) Bor=c(21249, 20926, 21136, 20970, 20766, 20814, 20734, 20717, 20717, 20717) Dan=c(21193, 21275, 21088, 20958, 20819, 20719, 20610, 20610, 20610, 20610) Emi=c(20796, 21310, 21111, 20999, 20806, 20790, 20790, 20790, 20790, 20790) Jos=c(21304, 21174, 21081, 21049, 21049, 21049, 21049, 21049, 21049, 21049) Mar=c(21324, 21032, 20861, 20918, 20807, 20791, 20791, 20791, 20791, 20791) Raq=c(21293, 21071, 21207, 21076, 21139, 21028, 20889, 20734, 20651, 20728) Vir=c(21128, 21008, 21023, 20983, 20727, 20689, 20721, 20568, 20545, 20535) datos=cbind(Amp,Bor,Dan,Emi,Jos,Mar,Raq,Vir) rownames(datos)= datos<−t c("1" ,"2" ,"3" ,"4" ,"5" ,"6" ,"7" ,"8" (datos) #traspuesta #mean medias < − apply (datos,2, mean ) #medias para cada tenure #summary repnum= apply (datos,2, varianza <− apply summary (datos,2, var ) std=varianzaˆ(1/2) We have got the next outputs: >means 1 2 3 4 5 6 7 8 9 10 21159.38 21132.88 21078.50 20994.88 20867.75 20816.62 20773.75 20730.25 20716.00 20724.38 > repnum 1 2 3 4 5 6 7 8 9 Min. 20796.00 20926.00 20861.00 20918.00 20727.00 20653.00 20606.00 20568.00 20545.00 1st Qu. 21093.00 21026.00 21066.50 20967.00 20796.00 20711.50 20693.25 20603.25 20601.25 Median 21221.00 21122.50 21099.50 20991.00 20813.00 20790.50 20762.00 20725.50 20684.00 Mean 21159.38 21132.88 21078.50 20994.88 20867.75 20816.62 20773.75 20730.25 20716.00 3rd Qu. 21295.75 21269.00 21124.75 21016.75 20884.00 20867.50 20815.50 20790.25 20790.25 Max. 21324.00 21310.00 21207.00 21076.00 21139.00 21049.00 21049.00 21049.00 21049.00 10 Min. 20535.00 1st Qu. 20601.25 Median 20722.50 Mean 20724.38 3rd Qu. 20790.25 Max. 21049.00 ) ,"9" ,"10") ``` > std 1 2 3 4 5 6 7 8 9 184.17068 143.25246 102.23502 50.25773 145.39282 147.66849 145.85879 156.53366 163.25878 10 162.76709 ``` We see that the best tenures are the smallest ones because it has a bigger mean. GRAPHIC REPRESENTATION ``` #Box plot par(mfrow=c(1,5)) boxplot(datos [,1], xlab="tenure=1", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,2], xlab="tenure=2", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,3], xlab="tenure=3", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,4], xlab="tenure=4", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,5], xlab="tenure=5", ylab="f.o.",ylim=c(20530,21350)) par(mfrow=c(1,5)) boxplot(datos [,6], xlab="tenure=6", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,7], xlab="tenure=7", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,8], xlab="tenure=8", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,9], xlab="tenure=9", ylab="f.o.",ylim=c(20530,21350)) boxplot(datos [,10], xlab="tenure=10", ylab="f.o.",ylim=c(20530,21350)) ``` We have got: We observe that the biggest tenure has worse results. The tenure 1 and 2 seems to be the best tenure for our tabu, because with them we obtain the best value of our objective function. 2.2.2 Hypothesis contrasting. Now we will have done the hypothesis contrasting, which our null hypothesis H0 is µ1 = µ2 = µ3 = µ4 = µ5 = µ6 = µ7 = µ8 = µ9 = µ10, and our alternative hypothesis HA is that there are diﬀerences between the means. With our ANOVA's knowledge, we can apply it because our data don't have the conditions for the applicability, for example, we don't have independence between variables because we share examples. We have to use a non parametric contrasting like the Test of Friedman o KruskalWallis. We are in front of a multiple contrasting with the same means. We are going to see it in the next script of R. >friedman.test(datos) #non parametric test ``` Friedman rank sum test data: datos Friedman chi−squared = 61.511, df = 9, p−value = 6.85e−10 ``` p-value = 6.85e − 10 < 0.5 we have enough evidence with 95% that we can't assume that the means are the same. Moreover, the test ﬁnds enough evidences between at least nine groups. Joint it with the graphic description, numeric description and the test, we have determined that our best tenure for the Tabu First is 1. 2.3 Tabu Search (Best) and its parameter tenure. We have studied forty tenure (from 1 to 40) the same as Tabu First. The output is a big table so we have chosen the best of them to let the reader see how it works. ``` > means ``` ``` [1] 21033.25 21008.62 21063.25 21087.12 21040.12 21172.12 21219.25 21184.12 21198.25 [10] 21205.25 21217.88 21179.62 21215.38 21182.62 21180.75 21147.50 21155.00 21195.00 [19] 21192.88 21155.75 21192.88 21153.50 21215.38 21176.25 21163.62 21186.00 21198.25 [28] 21148.88 21137.50 21210.38 21154.12 21152.00 21160.62 21153.12 21159.75 21189.38 [37] 21102.25 21135.12 21120.88 21136.38 > order(means) [1] 2 1 5 3 4 37 39 38 40 29 16 28 32 34 22 31 17 20 35 33 25 6 24 12 15 14 8 26 [29] 36 19 21 18 9 27 10 30 13 23 11 7 ``` Our better tenures were: 7, 9, 10, 11, 13, 18, 21, 23, 27, 30; then our table will have the best ten tenure that we represent it as shown: Table 3: 2 minutes for every example. \| tenure \| Amparo \| Borja \| Daniel \| Emilio \| Jose \| Maria Jesu´s \| Raquel \| Virginia \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 7 \| 21218 \| 21367 \| 21217 \| 21293 \| 21107 \| 21022 \| 21323 \| 21207 \| \| 9 \| 21151 \| 21362 \| 21224 \| 21158 \| 21062 \| 21211 \| 21167 \| 21251 \| \| 10 \| 21121 \| 21288 \| 21152 \| 21239 \| 21161 \| 21121 \| 21370 \| 21190 \| \| 11 \| 21182 \| 21266 \| 21188 \| 21325 \| 21170 \| 21140 \| 21257 \| 21215 \| \| 13 \| 21153 \| 21198 \| 21156 \| 21344 \| 21092 \| 21209 \| 21325 \| 21246 \| \| 18 \| 21194 \| 21182 \| 21082 \| 21274 \| 21243 \| 21121 \| 21363 \| 21101 \| \| 21 \| 21184 \| 21223 \| 21040 \| 21260 \| 21164 \| 21114 \| 21273 \| 21285 \| \| 23 \| 21250 \| 21170 \| 21320 \| 21305 \| 21050 \| 21123 \| 21214 \| 21291 \| \| 27 \| 21322 \| 21326 \| 21065 \| 21185 \| 21247 \| 21085 \| 21185 \| 21171 \| \| 30 \| 21233 \| 21108 \| 21099 \| 21379 \| 21331 \| 21148 \| 21124 \| 21261 \| In our statistical analysis, the response variable and the factor of study are the following: Response variable (r.v.): value of the objective function in our Tabu Best. Factor: tenure We answer the question: There is any signiﬁcant diﬀerence between the mean of the r.v. for our chosen tenure? We will have done the statistical analysis with software R. Our statistical study will divide in two parts: 1) Graphic representation and numeric data and 2) hypothesis contrasting. 2.3.1 Graphic representation and numeric data We are going to see it in the next script of R (the graphic representation will be done by a box plot). NUMERIC REPRESENTATION ``` datosb=cbind(datos[,7],datos [,9], datos [,10], datos [,11], datos [,13], datos [,18], datos [,21], datos [,23], datos [,27], datos [,30]) rownames(datosb)=c("Amp","Bor","Dan","Emi","Jos","Mar","Raq","Vir") colnames(datosb)=c("7","9","10","11","13","18","21","23","27","30") #means medias<−apply(datos,2,mean) #summary repnum=apply(datos,2,summary) #NUMERIC REPRESENTATION varianza<−apply(datos,2,var) std=varianzaˆ(1/2) ``` We have got the following tables: ``` > means 7 9 10 11 13 18 21 23 27 30 21219.25 21198.25 21205.25 21217.88 21215.38 21195.00 21192.88 21215.38 21198.25 21210.38 > repnum 7 9 10 11 13 18 21 23 27 Min. 21022.00 21062.00 21121.00 21140.00 21092.00 21082.00 21040.00 21050.00 21065.00 1st Qu. 21182.00 21156.25 21144.25 21179.00 21155.25 21116.00 21151.50 21158.25 21149.50 Median 21217.50 21189.00 21175.50 21201.50 21203.50 21188.00 21203.50 21232.00 21185.00 Mean 21219.25 21198.25 21205.25 21217.88 21215.38 21195.00 21192.88 21215.38 21198.25 3rd Qu. 21300.50 21230.75 21251.25 21259.25 21265.75 21250.75 21263.25 21294.50 21265.75 Max. 21367.00 21362.00 21370.00 21325.00 21344.00 21363.00 21285.00 21320.00 21326.00 30 Min. 21099.00 1st Qu. 21120.00 Median 21190.50 Mean 21210.38 3rd Qu. 21278.50 Max. 21379.00 > std 7 9 10 11 13 18 21 23 27 113.19862 87.68083 88.11640 60.78871 86.58594 95.63323 85.20972 95.49860 96.86920 30 107.10200 ``` We can see that tenure equal to 7 (Fred Glover said that seven is the magic number) is the one with the biggest mean, and the others are 11, 23, 13, 30 y 10 (all of them hit the score of 21200 in the objective function). Graphic representation ``` #Box plot par(mfrow=c(1,5)) boxplot(datosb [,1], xlab="tenure=7", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,2], xlab="tenure=9", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,3], xlab="tenure=10", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,4], xlab="tenure=11", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,5], xlab="tenure=13", ylab="f.o.",ylim=c(21020,21380)) par(mfrow=c(1,5)) boxplot(datosb [,6], xlab="tenure=18", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,7], xlab="tenure=21", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,8], xlab="tenure=23", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,9], xlab="tenure=27", ylab="f.o.",ylim=c(21020,21380)) boxplot(datosb [,10], xlab="tenure=30", ylab="f.o.",ylim=c(21020,21380)) ``` We have obtained: We can observe that the tenure equal to 7 has minimum value between all the tenure, however it is the one with have the best mean if we join all the examples together. The worst thing with the number 7, as we can see, is the diversity of its solutions. However, the number 10, although doesn't have better mean as 7, it extrems aren't be very striking. It seems that tenure equal to 7 or 10 are one of the best of the tenure that we can ﬁnd. 2.3.2 Hypothesis contrasting. Now we will have done the hypothesis contrasting, which our null hypothesis H0 is µ7 = µ9 = µ10 = µ11 = µ13 = µ18 = µ21 = µ23 = µ27 = µ30, and our alternative hypothesis HA is that there are diﬀerences between the means. With our ANOVA's knowledge, we can apply it because our data don't have the conditions for the applicability, for example, we don't have independence between variables because we share examples. We should use a non parametric contrasting like the Test of Friedman o Kruskal-Wallis. We are in front of a multiple contrasting with the same means. We are going to see it in the next script of R. >friedman.test(datosb) #non parametric test Friedman rank sum test ``` data: datosb Friedman chi−squared = 3.091, df = 9, p−value = 0.9606 ``` p-value = 0.9606 > 0.05 we don't have enough evidence so we can't reject the null hypothesis that our means are the same. Joinly with graphic and numeric description and with the test, we can determinate that our best value of tenure for the Tabu Best is 7. 3 Comparative between GRASP and TABU. In the next section we are going to discus our target from the beggining, see what is the best algorithms, GRAPS or Tabu Search (First or Best). The data of the diﬀerent examples are based on the election of the parameters α and two tenures which we have calibrated and we laid down in the following table (we need to remember that we got α = 0.9, Tabu First tenure equal to 1 and Tabu Best tenure equal to 7). In our statistical analysis, the response variable and the factor of study are Table 4: The 3 algorithms with their better parameters. \| GRASP \| 22080 \| 22118 \| 21895 \| 22045 \| 21951 \| 22035 \| 22008 \| 21910 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| Tabu First \| 20988 \| 21249 \| 21193 \| 20796 \| 21304 \| 21324 \| 21293 \| 21128 \| \| Tabu Best \| 21218 \| 21367 \| 21217 \| 21293 \| 21107 \| 21022 \| 21323 \| 21207 \| the following: Response variable (r.v.): value of the objective function with our 3 algorithms. Factor: Methods We answer the question: There is any signiﬁcant diﬀerence between the mean of the r.v. between our 3 algorithms? We will have done the statistical analysis with software R. Our statistical study will divide in two parts(as always): 1) Graphic representation and numeric data and 2) hypothesis contrasting. 3.0.1 Graphic and numeric representation We are going to see it in the next script of R (the graphic representation will be done by a box plot). REPRESENTACI ´ ON NUM ´ ERICA Amp=c(22080,20988,21218) Bor=c(22118,21249,21367) Dan=c(21895,21193,21217) Emi=c(22045,20796,21293) Jos=c(21951,21304,21107) Mar=c(22035,21324,21022) Raq=c(22008,21293,21323) Vir=c(21910,21128,21207) datos=cbind(Amp,Bor,Dan,Emi,Jos,Mar,Raq,Vir) rownames(datos)=c("Grasp","T. First","T. Best") datos<−t(datos) #traspuesta ``` #means medias<−apply(datos,2,mean) #medias para cada metodo #summary repnum=apply(datos,2,summary) varianza<−apply(datos,2,var) std=varianzaˆ(1/2) ``` We have got the following tables: ``` > medias Grasp T. First T. Best 22005.25 21159.38 21219.25 > repnum Grasp T. First T. Best Min. 21895.00 20796.00 21022.00 1st Qu. 21940.75 21093.00 21182.00 Median 22021.50 21221.00 21217.50 Mean 22005.25 21159.38 21219.25 3rd Qu. 22053.75 21295.75 21300.50 Max. 22118.00 21324.00 21367.00 > std Grasp T. First T. Best ``` ``` 80.12802 184.17068 113.19862 ``` As we can see the best algorithm is the GRASP. It is the best with diﬀerences, in the conclusions we say why that can happen. Graphics representation. ``` #Box plot par(mfrow=c(1,3)) boxplot(datos [,1], xlab="Grasp", ylab="f.o.",ylim=c(20790,22120)) boxplot(datos [,2], xlab="T. First", ylab="f.o.",ylim=c(20790,22120)) boxplot(datos [,3], xlab="T. Best", ylab="f.o.",ylim=c(20790,22120)) ``` We have obtained: 3.0.2 Hypothesis contrasting. Now, we will have done the hypothesis contrasting, which our null hypothesis H0 isµG = µTF = µTB, and our alternative hypothesis HA is that there are diﬀerences between the means, as the previous ones. We are going to use a non parametric contrasting like the Test of Friedman o Kruskal-Wallis. We are in front of a multiple contrasting with the same means. We are going to see it in the next script of R. > friedman.test(datos) Friedman rank sum test data : datos − Friedman chi squared = 13, df= 2, p−value = 0.001503 p-value = 0.001503 < 0.05 we have enough evidence with 95% that we can't assume that the means are the same. Jointly with graphic and numeric description and with the test, we can determinate that GRASP has been better than Tabu Search. We are going to prove why in these examples GRASP is better than any Tabu that we ran. 4 Conclusions and conjecture. Our algorithm GRASP,which we have done with our teacher Rafael Mart´ı, has resulted to be the winner. One possibility is that we have a good implementation of the construction of the solution and a good implementation of the local search. However, with the same computational time (two minutes), Tabu Search First can't hit the score of 21000 and the GRASP was near to 22000. We thought that this can happen because our algorithm get worse more time that it improve. It can be because Tabu Search First works like that. It try to improve, if we get an element which improves the value of the solution, we add it to the new solution without taken on count that we can get better improves if we explore more elements of the neighborhood. Then, we are going to check our conjecture: How many time Tabu First get worse and improve in an example with diﬀerent values of the parameter tenure? For this question we have designed a code with shows a counter which will give us the number of times that our algorithm gets worse and our algorithm improves. Later we ran it in many examples and we have seen that our Tabu First improve more times than it get worse, then, what is wrong with the algorithm? For answer this questions we designed a code which show us how many times our problem improve, or get worse the objective function with a determinate number, i.e., we are looking for the improves whom increments the objective function in a determinate number (for example, 10). We got what we were looking for, Tabu First improve more times but when it improve, it is in a little quantities (this is the problem that we get with Tabu First and this is why Tabu Best is better in this examples).However, when it get worse, it take bigger quantities, we represent this in the following table (we only let it 30 seconds of computation) We denote M+i as the number of times that the algorithm improve more than i units the objective function and we denote E+i as the number of time that the algorithm get worse more than i units the objective function. Table 5: Improves and Worsening in the example "Amparo" \| Tenure \| Improves \| Worsening \| M+20 \| E+20 \| M+50 \| E+50 \| M+90 \| E+90 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 2 \| 417130412 \| 392410467 \| 208503 \| 173990 \| 170784 \| 154659 \| 86272 \| 119104 \| \| 3 \| 534696743 \| 370918863 \| 292731 \| 200510 \| 152824 \| 167668 \| 97066 \| 106448 \| \| 4 \| 569957079 \| 375361296 \| 261709 \| 200469 \| 158381 \| 155252 \| 82677 \| 103590 \| As we had said, there are more improves than worsening for the tenure equal to 2, 3 and 4 as table shows us. The improves are small amounts as we can see in the column E + 20, and the worsenings are bigger. In essence: There are more improve than worsening but the improve doesn't contribute very much in the objective function while the worsening has a big contribution in the objective function (we can see in the column E + 90 which means that there are 119104 worsening which get the objective function decrease more than 90 pints of value while improve there are 86272). That's why our algorithm doesn't get better solutions. Our conjecture has been solved.
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Whether you walk, run, hike, or bike, Walkadoo will keep track of your activity and your personal goals. Visit Walkadoo from your smart phone or computer to check your progress, answer trivia questions, and see how your connections are doing. 6. When I sign up for Walkadoo, will I receive a wireless device that counts my steps? Yes. Go to mywellvolution.com and click on Walkadoo from the Programs page to sign up for the program. During the registration process, you will be prompted to order your free Pebble device, a wireless pedometer you wear on your shoe (most accurate), belt, waistband, or hip pocket to track your activity. If you'd prefer not to use the Pebble, you can connect an existing device or download a smartphone app to track your activity. MEDICAL BENEFITS 1. How do I know if my doctor is in the Trio ACO HMO network? To search for a network provider, just go to blueshieldca.com/sanmanuel, and go to the Find Network Providers section on the right side of the page. Then, select the type of provider that you are searching for. Click on Advanced Search to filter your search by doctor name. Under Search by Doctor Name, enter your doctor's last and first name, and then click on Find now. You can also call your dedicated Shield Concierge team at (855) 747-5800 for help from 7 a.m. to 7 p.m. Pacific time, Monday through Friday. 2. Can I continue to see my current doctor (called a "Personal Physician" by Blue Shield) after I enroll in the Trio ACO HMO plan? Yes, if your Personal Physician is in the Trio ACO HMO network you can keep your same doctor. If your doctor is not in the Trio ACO HMO network, you can search for a new Personal Physician by going to blueshieldca.com/sanmanuel. Then, go to the Find Network Providers section on the right side of the page. Next, select the type of provider that you are searching for. Click on Advanced Search to filter your search by name, specialty, and more. To find a Personal Physician, select "HMO Personal Physicians" as the doctor type. Then, enter your city and state or ZIP code, and click on Find now. Next, click on a doctor's name to find the provider number and medical group/IPA number. Once you've selected a Personal Physician, you'll need to give Blue Shield the name, provider number and medical group/IPA number for the Personal Physician. If you need assistance finding a provider in the Trio ACO HMO network, you can call your dedicated Shield Concierge team at (855) 747-5800 from 7 a.m. to 7 p.m. Pacific time, Monday through Friday. 3. What happens if I don't select a Personal Physician when I enroll in the Trio ACO HMO plan? If you don't select a Personal Physician at the time of enrollment, Blue Shield will automatically assign a Personal Physician to you and your enrolled family members based on your ZIP code. To change your Personal Physician, just call the Shield Concierge team at (855) 747-5800. 4. Can I self-refer to an OB/GYN? Trio ACO HMO plan members can self-refer to an OB/GYN within their medical group/IPA for any OB/GYN related services. You do not need a referral, and you will not have to pay an additional copayment. 5. What is the cost for preventive care? There is no cost for preventive care services. For more information, please see the Trio ACO HMO plan Benefit Summary by going to blueshieldca.com/sanmanuel and selecting the Trio ACO HMO Plan Brochure. For more information about preventive care services, call the Shield Concierge team at (855) 747-5800. 6. Do I have coverage while traveling outside of California or the U.S.? Through the BlueCard ® Program, HMO plan members can access emergency and urgent care services across the country and around the world. What's more, using urgent care services in the BlueCard Program can be more cost-effective. It may also eliminate the need to pay for the services when rendered and submit a claim for reimbursement. 7. My children are going to college outside of California. How do they access care while they are away from home? The Away From Home Care ® program gives students, long-term travelers, workers on extended out-of-state assignments, and families living apart the convenience and flexibility of coverage for extended periods across the country. The Away From Home Care program is not available in all areas and states, and benefits from the host plan may differ from benefits in the Trio ACO HMO plan. To find out whether your family is eligible, call the Shield Concierge team at (855) 747-5800. PHARMACY BENEFITS 1. How do I check to see if my medication is on Blue Shield's formulary? It's easy to access the Blue Shield Drug Formulary to see if your medication is on the list of preferred prescription drugs. Just go to blueshieldca.com/sanmanuel, select Pharmacy Benefits, and then Plus Drug Formulary. If you don't have access to the Internet or need help, simply contact your dedicated Shield Concierge team at (855) 747-5800 for personal assistance or to request a copy of our formulary. 2. I am interested in using the Blue Shield mail-order pharmacy to refill my prescriptions. What do I need to do to get started? If you take stabilized doses of covered long-term maintenance medications for conditions such as diabetes, you can order a mail-service prescription of up to a 90-day supply. You may save money on your copayment, and there is no charge for shipping. After you enroll in a Blue Shield health plan, it's easy to get started. All you will need is a prescription from your doctor and a completed PrimeMail New Order form. You can download the PrimeMail New Order form by going to blueshieldca.com/sanmanuel, selecting Pharmacy Benefits, and then Prescriptions by Mail. Or, you can call PrimeMail at (866) 346-7200 to request a form. After you send your order form and prescription to PrimeMail, you can order refills online by going to www.MyPrimeMail.com. AFTER YOU BECOME A MEMBER 1. When will I receive my subscriber ID card? New subscribers will receive a Blue Shield member ID card in the mail before their effective coverage date. The plastic member ID card lists the name of the subscriber on the front, and the name of the Personal Physician on the back. All covered dependents will also receive their own new ID card that lists the name of their Personal Physician. Please review your new ID card carefully to make sure all of the information is correct. 2. How do I get a replacement ID card? If you need to order an additional Blue Shield member ID card, go to blueshieldca.com/sanmanuel. Under Member Login, click on Log in to blueshieldca.com or Register for an online account. Once you have registered and logged in to blueshieldca.com, you can print a temporary ID card or order a new ID card and have it mailed to you. Except for the paper stock, temporary cards are identical to permanent ID cards. You can print a temporary card at any time. * Click on My Plan & Claims and then ID Card. * Click on View/Print a Temporary ID Card. If you order a replacement member ID card by mail, you will receive it via U.S. mail within seven to 10 business days. 3. How do I get a copy of the Trio ACO HMO Benefit Summary? You can download a copy of the Trio ACO HMO Benefit Summary by going to blueshieldca.com/sanmanuel and selecting the Trio ACO HMO Plan Brochure. For specific benefit information, or help with any other questions about the plan, call your dedicated Shield Concierge team at (855) 747-5800 from 7 a.m. to 7 p.m. Pacific time, Monday through Friday. Daily Challenge, QuitNet, and Walkadoo are trademarks of MeYou Health, LLC. MeYou Health is a Healthways, Inc. company. Wellvolution is a registered trademark of Blue Shield of California. Blue Shield and the Shield symbol are registered trademarks of the BlueCross BlueShield Association, an association of independent Blue Cross and Blue Shield plans.
LANS Defined Benefit Eligible Disability Program Benefit Program Summary Effective June 1, 2006 IMPORTANT This is a summary of the highlights of the LANS Defined Benefit Eligible Disability Program, a component of the LANS Welfare Benefit Plan for Employees, ERISA Plan 501 ("Plan"). Receipt of this document and/or your participation in the Plan and any benefit programs under the Plan do not guarantee your employment or any rights or benefits under the Plan. LANS reserves the right to amend or terminate the Plan or any benefit programs under the Plan at any time. The Plan and the benefit programs referred to in this summary are governed by a Federal law (known as ERISA), which provides rights and protections to Plan participants and beneficiaries. For more information on the LANS benefit programs, see the LANS Welfare Benefit Plan for Employees Summary Plan Description or the LANS Welfare Benefit Plan for Retirees Summary Plan Description, as applicable, available from the LANL Benefits Office at (877) 667-1806 or (505) 667-1806. Table of Contents This Booklet This booklet summarizes the highlights of the LANS Defined Benefit Eligible Disability Program (DB Disability Program), a long-term disability program for certain members in the LANS Defined Benefit Pension Plan (Pension Plan). Please note that the benefits described in this booklet are not part of the Pension Plan. Italicized terms used in this summary are defined in the Pension Plan. Capitalized terms are defined within this summary. The benefits described in this summary are effective June 1, 2006. Participation Requirements Who May Participate in the Program Generally, you are eligible to participate in the DB Disability Program only if: – You are an active member of the Pension Plan or you are an inactive member of the Pension Plan who applies for benefits under the DB Disability Program within the one-year period beginning on the date of termination of your covered employment under the Pension Plan, if medical evidence shows that your disability has been continuous from before your termination of covered employment under the Pension Plan; and – You have completed at least a 5-year period of service; and – You are not a retired member under the Pension Plan. How the Defined Benefit Disability Program Works The DB Disability Program provides disability income if you meet the participation and eligibility criteria and you suffer a disability that is expected to last for more than 12 months. The benefit calculation varies depending on your credited service on your Disability Date. If you are approved to receive a benefit, your benefit will be calculated as described below in Table A Benefit, unless you demonstrate that you meet the criteria for the Table B Benefit. You may apply for DB Disability Program benefits at any age. 1 Self-funded Benefit The LANS DB Disability Program is self-funded from LANS' general assets and administered by Liberty Life Assurance Company of Boston (Liberty). Liberty is the Claims Administrator located at: Liberty Life Assurance Company of Boston Western Regional Claims Office Post Office Box 37500 Phoenix, Arizona 85069-7500 1-800-838-4461 www.libertymutual.com Definition of Disabled and DB Disability Date In all cases, the determination of whether you are Disabled will be based on a medical opinion provided by one or more licensed physicians. The disability may be physical or mental. DB Disability Program income is payable only if certain requirements are met. The requirements vary, depending on the date you became a member of the University of California Retirement Plan (UCRP) prior to joining the LANS Defined Benefit Pension Plan. If you became a UCRP member April 1, 1980, or later: [x] For the first year—you are considered Disabled under the terms of the DB Disability Program if, due to a medically determined disability, you are unable to perform the duties of any job for which you qualify that pays 50% or more of your Final Pay. The disability must be permanent or expected to last 12 months or longer from your DB Disability Date. [x] After you have received benefits for one year—you are considered Disabled under the terms of the DB Disability Program if your medically determined disability prevents you from engaging in any occupation that gives you earnings above the level of "substantial gainful activity" as defined by the Social Security Administration (SSA). For example, in 2006, this amount is $860 per month. The amount is indexed annually by the SSA. If you became a UCRP member before April 1, 1980: [x] For the first two years— you are considered Disabled under the terms of the DB Disability Program if, due to a medically determined disability, you are unable to perform the duties of your current job or a comparable position at LANS. The disability must be permanent or expected to last 12 months or longer from your DB Disability Date. A comparable LANS position is a position for which you qualify and which you are medically able to perform, whether or not such a position is available, and which pays 80% or more of your Final Pay. [x] After you have received benefits for two years— you are considered Disabled under the terms of the DB Disability Program if your medically determined disability prevents you from engaging in any occupation for which you qualify (at LANS or elsewhere) that pays 70% or more of your Final Pay. Disability Date for DB Disability Program Benefits (DB Disability Date) Your DB Disability Date is the first day you are eligible for DB Disability Program income. If you meet the above definition of Disabled, your DB Disability Date is the later of: [x] The first of the month in which the LANL Benefits Office receives your application, or [x] The day after the termination of your covered employment under the Pension Plan. How Your DB Disability Benefit Is Calculated DB Disability Program income is based on your credited service and Final Pay as of your DB Disability Date. Final Pay Final Pay is your monthly full time equivalent compensation, as defined in the Pension Plan, as of your DB Disability Date. Credited Service Your credited service is defined in the Pension Plan and is generally the service you earned in the Pension Plan (including service credit in the UCRP before June 1, 2006). Service credit used to determine your eligibility for other benefits may differ from that used to calculate your DB Disability Program benefit. Under certain circumstances, you may elect to use your accumulated sick leave and/or vacation leave to increase your credited service. You may contact the LANL Benefits Office for additional information. Calculating Your Benefit Your DB Disability Program benefit amount is a percentage of your Final Pay. If you are approved to receive a benefit, your benefit will be calculated as described in Table A Benefit, unless you demonstrate that you meet the criteria for the Table B Benefit. Table A Benefit The Table A Benefit is a percentage of your Final Pay, less a reduction for your Social Security benefit. Note, only members of the Pension Plan whose former UCRP benefits were not coordinated with Social Security and who are not eligible for Social Security Disability Insurance Benefits as of the DB Disability Date can receive the Table B Benefit described below. All others will receive the Table A Benefit. The percentage of your Final Pay depends upon your credited service on your DB Disability Date, as shown in Table A below: The monthly Social Security reduction is $106.40 (or, if you became a UCRP member before July 1, 1988, the reduction is $106.40 or 33% of your Social Security Primary Insurance Amount as of your DB Disability Date, if less). Example: You have 11 years of credited service and your Final Pay is $3,000. Your benefit is calculated as follows: 37.5% of $3,000 = $1,125 unreduced benefit $1,125 – $106.40 Social Security reduction = $1,018.60 DB Disability Program monthly benefit Table B Benefit for Members Whose former UCRP benefits Were Not Coordinated with Social Security and Who Are Not Eligible for a Social Security Disability Insurance Benefit If your former UCRP benefits were not coordinated with Social Security and you are not eligible to receive a Social Security Disability Insurance Benefit as of your DB Disability Date, your DB Disability Program income is a percentage of your Final Pay as shown in Table B below. Otherwise you will receive a benefit as shown in Table A above. In order to receive the Table B Benefit, you must demonstrate that as of your DB Disability Date you are not eligible to receive a Social Security Disability Insurance Benefit (as described in section 423(c) of Title 42 of the U.S. Code) by providing Liberty with an appropriate denial of benefits letter from the Social Security Administration Office. The percentage of Final Pay depends on the number of your Eligible Child(ren). When you apply for benefits under the DB Disability Program and are approved, the Table A Benefit will be paid to you until you demonstrate that you were not eligible for Social Security Disability Insurance Benefits as of your DB Disability Date. After appropriate documentation is provided to Liberty, your benefit will be recalculated based on Table B. You will also receive a one-time payment (no interest applied) equal to the difference between your benefit under Table A and Table B from your DB Disability Date to the present. The Table B Benefit will be paid going forward. Example: You have 11 years of credited service, your Final Pay is $3,000, and you have two Eligible Children. Your application is approved and your first payment is to begin at the end of January. Your Table A Benefit is calculated as follows: ``` 37.5% of $3,000 = $1,125 unreduced benefit $1,125 – $106.40 Social Security reduction = $1,018.60 DB Disability Program monthly benefit at the end of January ``` 6 months later you provide Liberty with appropriate documentation that you are not eligible for Social Security Disability Insurance Benefits. Your DB Disability Program income is recalculated as follows and the first payment is expected to begin at the end of August. 50% of $3,000 = $1,500 DB Disability Program monthly benefit at the end of August Additionally, you will receive a one-time payment for the difference between your Table B Benefit and your Table A Benefit, for the period January to July. There is no interest paid on the one-time payment. $1,500 - $1,018.60 = $481.40 $481.40 x 7 months = $3,369.80 One-time payment Your monthly benefit will change if the number of your Eligible Children changes. In this event, be sure to notify Liberty immediately at (800) 838-4461, as you are responsible for repaying any overpayment. See "Overpayment of Benefits" on page 9. Eligible Child Eligible Child means your natural or adopted child or stepchild or the natural or adopted child of your Domestic Partner (as defined below). The child must have received at least 50 percent support from you for the one-year period ending on your DB Disability Date. On your DB Disability Date, the child must also be: a) Under age 18, b) Under age 22 and attending an educational institution full time, or c) Disabled (as defined below); the disability must have occurred while the child was eligible based on age under (a) or (b) above. The one-year support requirement does not apply to your natural child born after your DB Disability Date or less than one year before your DB Disability Date. A stepchild or a Domestic Partner's child must have been living with you or in your care just before your DB Disability Date. Domestic Partner Domestic Partner means your domestic partner. The partnership must be established pursuant to the LANS Declaration of Domestic Partnership. Definition of Disabled for an Eligible Child To determine eligibility as a Disabled Eligible Child, disability is defined as a medically determinable physical or mental impairment that prevents the individual from engaging in "substantial gainful activity" on the basis of qualified medical opinion. Substantial gainful activity means any type of gainful activity commensurate with age, education, skills or general background that could reasonably be expected to result in earnings in excess of the Social Security Administration's annually published dollar amount to determine substantial gainful activity (in 2006, this amount is $860 per month). The Claims Administrator determines disability eligibility and you and the child must cooperate with all requests for information. The disability must be expected to continue for an extended and uncertain period of time. For a Disabled child, the disability must have occurred while the child was eligible based on age, as above. Cost-of-Living Adjustments An annual cost-of-living adjustment (COLA) is applied to monthly income. The COLA is first payable on the July 1 that follows the one-year anniversary of your DB Disability Date. The COLA is based on the cost of living adjustment to monthly benefits defined in the Pension Plan Offsets related to Social Security and Other Disability Programs If you receive Social Security Disability Income, your DB Disability Program benefit will be reduced so that your total income does not exceed 70 percent of your Final Pay. Disability benefits paid by other LANS-sponsored programs (such as the Short-term or Supplemental Disability Programs) may be reduced by amounts paid to you from the DB Disability Program (COLA excluded). You may contact the LANL Benefits Office for additional information. Tax Information Generally, DB Disability Program income is taxable as ordinary income under applicable federal and state law. For more information, see your accountant or tax advisor. Receiving Your Benefits Your Monthly Benefit Your initial check will include payment retroactive to your DB Disability Date. Thereafter, benefits will be paid at the end of each month. For example, your benefit payment for May will be payable at the end of May. If your check does not arrive by the tenth of the following month—in this example, June 10—you should call Liberty at 1-800-838-4461 and report the check lost. Continuing Eligibility To determine your continuing eligibility for DB Disability Program income, Liberty will review your case from time to time—typically after one year, after two years, and every few years thereafter, depending on the nature and severity of your disability. The review is much the same as the initial evaluation. For details, see "Applying for DB Disability Program Benefits" on page 11. Information, forms, releases and forms for medical as well as legal and/or financial purposes may be required. Fees for any medical reports requested from your doctors are your responsibility. If an independent medical examination is necessary, LANS will pay the fee. To verify your level of earnings, if any, Liberty may request earnings information from the Internal Revenue Service, and/or applicable state sources. Benefits continue only while you remain eligible as defined by the DB Disability Program and within the time frame described in "Length of the DB Disability Program Income Period" on page 10. Rehabilitation/Training/Return-to-Work Programs Disabled members are encouraged to return to work if possible. Depending on the nature and severity of your disability, you may be able to work (at LANS or elsewhere) to some extent while continuing to qualify for DB Disability Program income; at some point you may be required to participate in a rehabilitation evaluation and/or training program to help you regain or develop skills. Job counseling or placement also may be available. If you receive pay for work at the same time that you receive DB Disability Program income, it is important that you notify Liberty immediately by calling 1-800-838-4461. You must provide the following information: [x] Your employer's name, address, and telephone number; [x] The amount of your earnings; [x] A description of your job and duties; [x] Hours worked (or expected hours worked); and [x] Date of employment. Additional information may be required to reevaluate your eligibility to receive DB Disability Program income. The amount you earn may affect the amount of your DB Disability Program income. Overpayment of Benefits If you receive benefits to which you are not entitled, you are responsible for repaying the excess amount. An overpayment could result from: [x] A change in eligibility. For example, if your monthly benefit is based on your having an Eligible Child and the child loses eligibility, your benefit must be adjusted. [x] A miscalculation of your monthly income. While every effort is made to ensure accuracy, occasionally a mistake is made. [x] A return to work. If you have been overpaid, you can contact Liberty for an explanation. You may make the repayment in a lump sum or deductions may be taken from your monthly benefit under this DB Disability Program. LANS reserves the right to offset overpayments against future payments. Note: If an overpayment occurs because you conceal, misrepresent, or give misleading information regarding, for example, your employment, earnings, Eligible Children, or medical condition, your benefit will be terminated and you must repay the amount of the overpayment. Effect on Employment Generally, after you've been approved for DB Disability Program income, your LANS employment will be terminated, and your position will not be held open for you. If you become able to work again, you should ask about rehabilitation services at your location and for information about positions that may be appropriate. Returning to Work Following a Disability Returning to work at LANS following a disability may have a different impact on your continued eligibility for DB Disability Program income, compared to a return to work outside of LANS. For more information, contact LANL Benefits Office at (877) 667-1806 or (505) 667-1806. Length of the DB Disability Program Income Period DB Disability Program income is not intended to be a lifetime benefit, even for a member who is permanently Disabled. Once you meet the Pension Plan requirements for retirement, you can elect to begin receiving your monthly Pension Plan benefit. Once your Pension Plan payments begin, your DB Disability Program payments will cease. As noted above, you can elect to begin receiving your monthly Pension Plan benefit at any time after you meet the Pension Plan requirements for retirement. If you prefer, and if you continue to be Disabled, you can receive DB Disability Program income as follows: When DB Disability Program Income Ends DB Disability Program income ends on the following dates: [x] The date you retire under the Pension Plan. For additional information see the section Retirement Income below [x] The date you reach the end of your DB Disability Program income period as described in Length of the DB Disability Program Income Period above. Contact Liberty for more information. [x] The date you are no longer Disabled under the terms of the DB Disability Program. Retirement Income Only you can make decisions about receiving benefits for which you may be eligible. For example, only you can decide when to begin receiving your monthly Pension Plan benefit. [x] Under certain circumstances, you continue to earn additional benefits in the Pension Plan while receiving DB Disability Program income, but only up to limits described in the Pension Plan. After your Pension Plan benefit reaches these limits, you may continue receiving DB Disability Program income as long as you qualify. However, you will not earn any additional benefit in the Pension Plan. Contact the Pension Plan administrator for more information. See the LANS Defined Benefit Pension Plan Summary Plan Description for the name of the Pension Plan administrator and for contact information. [x] You may elect to begin receiving your monthly Pension Plan benefit any time after you reach retirement eligibility. For more information, see the LANS Defined Benefit Pension Plan Summary Plan Description. [x] When you retire under the Pension Plan, your DB Disability Program income and the Costof-Living Adjustment (COLA) described in this Summary will stop. See the LANS Defined Benefit Pension Plan Summary Plan Description for more information, including information regarding monthly Pension Plan cost of living adjustments. [x] If you are eligible to begin receiving your monthly Pension Plan benefit at the time you apply for DB Disability Program benefits, you should review your Pension Plan benefit calculation as well as your DB Disability Program benefit. If the Pension Plan benefit is higher, you may prefer to begin receiving your monthly Pension Plan benefit rather than apply for DB Disability Program benefits. For more information to help you make your decision see "When Disability Ends" on page 10. [x] When you retire under the Pension Plan, your monthly Pension Plan benefit may be substantially lower than your DB Disability Program benefit. This is especially likely if you have only a few years of credited service. Applying for DB Disability Program Benefits When to Apply You should apply for DB Disability Program benefits as soon as it appears you will be Disabled as defined on page 3. Generally, if it appears you may be eligible for DB Disability Program benefits, the application packet will be provided to you by the LANL Benefits Office within about 120 days after the start of your disability. If you believe you may be eligible for DB Disability Program benefits and have not been contacted by the LANL Benefits Office, please contact LANL Benefits Office at (877) 667-1806 or (505) 667-1806 for further information. LANS requires that you apply for DB Disability Program benefits with the LANL Benefits Office within the one-year period beginning on the date of termination of your covered employment under the Pension Plan. Required Information and Forms To qualify for benefits, you must comply with DB Disability Program requirements. Otherwise, your benefits may be denied, suspended, terminated, or offset. Whenever Liberty or LANS requests information from you, you are expected to submit it as soon as you can. If it is not clear to you why a particular report or other document is needed, be sure to ask. If a doctor prescribes treatment expected to enable you to return to work, you will be expected to follow the course of treatment. If you do not follow the required treatment, you may lose eligibility for DB Disability Program income. This rule does not apply to procedures that may be recommended rather than required—for example, surgical procedures or treatment that is experimental. You are also required to notify Liberty and the LANL Benefits Office at (877) 667-1806 or (505) 667-1806 immediately if any change occurs that could affect your eligibility or the amount of your benefit—such as your earnings or employment, other disability benefits, or the status of your Eligible Children. You will be responsible for repaying any overpayment of benefits. You should submit your application for DB Disability Program income before termination of your covered employment under the Pension Plan. If you apply after termination of your employment with LANS, the application must be received by LANS within the one-year period beginning on the date of termination of your covered employment under the Pension Plan. In addition, medical evidence must substantiate that the disability has been continuous since before termination of your employment with LANS. You will be asked to provide documentation such as: [x] Identity records (for example, your birth certificate); [x] Medical reports and other records related to your medical condition; [x] Information about other disability benefits you receive or are eligible to receive; and [x] Information about your education, work experience, and related activities. Depending on the nature of your disability, LANS or Liberty may require additional information from various sources at any time; you may be asked to provide records or to sign a release authorizing LANS or Liberty to obtain records. When Your Application Is Received When Liberty receives your application for DB Disability Program income, an analyst will be assigned to your case. Your DB Disability Program analyst will be available to answer questions you may have. If the medical evidence you submit is inconclusive, an independent medical examination (IME) may be necessary. Information, forms, releases and forms for medical as well as legal and/or financial purposes may be required. Fees for any medical reports requested from your doctors are your responsibility. If an independent medical examination is necessary, LANS will pay the fee. It is important for you to provide us with any information that may have a bearing on your disability. A review of your possible qualifications for other types of employment may be necessary. In this case, you may be asked to meet with a vocational rehabilitation professional to help you explore the options available to you and/or regain skills you need to return to work. Various tests, including those of skills and aptitude, may be involved. Determining Your Eligibility After Liberty receives all necessary documentation from you, your doctors, and others, your case will be reviewed and evaluated. Once your eligibility for DB Disability Program income has been determined, Liberty will send you a written notice of the decision. In all cases, the determination of whether you are Disabled will be based on a medical opinion provided by one or more licensed physicians. The disability may be physical or mental. If Your Application Is Approved If your application for DB Disability Program benefits is approved, you will receive an approval letter stating the effective date of your DB Disability Program income (your DB Disability Date), the amount of your monthly benefit, terms and conditions of the approval and when you can expect to receive your first check. If Your Application Is Denied In the event that your claim is denied, either in full or in part, Liberty will notify you in writing within 45 days after the date your claim is first filed with Liberty. If more time is required by Liberty to make a decision, you will be notified of the reasons for the delay before the end of the 45-day period. Liberty may extend the decision-making period by up to 30 days. If additional time is needed, Liberty may extend the decision-making period for an additional 30 days. You will be notified of the second extension before the end of the first extension period. The notice of extension may include a request for additional information from you. You must provide the requested information to Liberty within 45 days. Liberty's 30-day extension period will begin when you respond to the request for additional information. Liberty's notice of denial shall include: 1. the specific reason or reasons for denial with reference to those policy provisions on which the denial is based; 2. a description of any additional material or information necessary to complete the claim and an explanation of why that material or information is necessary; and 3. the steps to be taken if you wish to have the decision reviewed. Please note that if Liberty does not respond to your claim within the time limits set forth above, you should automatically assume that your claim has been denied and you should begin the appeal process at that time. However, failure to do so will not waive your right to appeal. How To Appeal You, the claimant, or your authorized representative, may appeal a denied claim within 180 days after you receive Liberty's notice of denial. You have the right to: 1. submit a request for review, in writing, to Liberty; 2. review pertinent documents; and 3. submit issues and comments in writing to Liberty. Liberty will provide notice of its decision within 45 days after you file the appeal with Liberty. Liberty may extend the decision-making period for up to 45 days if special circumstances require extra time. You will be notified of the extension before the end of the first 45-day period. Liberty's Rights of Recovery If a benefit overpayment on any claim occurs, you will be required to reimburse Liberty within 60 days of such overpayment, or Liberty has the right to reduce future benefit payments until such reimbursement is received. Liberty has the right to recover such overpayments from you or your estate. Timing of Legal Proceedings You or your authorized representative cannot start any legal action until 60 days after proof of the claim has been given nor more than one year after the time proof of the claim is required. Additional Information Other Disability Benefits The LANL Benefits Office at (877) 667-1806 or (505) 667-1806 can tell you about other benefits for which you may be eligible—such as Short-term or Supplemental Disability benefits—and whom to contact if state-provided Workers' Compensation benefits might apply. If you have participated in retirement plans other than the LANS Defined Benefit Pension Plan, contact LANL Benefits Office at (877) 667-1806 or (505) 667-1806 about benefits you may be eligible to receive. If you contribute to Social Security now or have contributed in the past, contact Social Security to find out about benefits you may be eligible to receive. You may also be eligible for Social Security benefits based on contributions by your spouse or former spouse. Definitions in this DB Disability Program may differ from those in other benefit Programs, including, but not limited to, the LANS Short-term and Supplemental Disability programs. Medical, Dental and/or Legal Coverage Coverage While Your Disability Program Application is Pending To continue LANS-sponsored medical, dental, AD&D and/or legal benefits, you must remain continuously covered in those programs from termination of your covered employment under the Pension Plan. Contact LANL Benefits Office for information regarding continuation arrangements. Coverage If You Are Approved for Disability Program Benefits If you are approved for DB Disability Program benefits, you may be eligible to continue your LANS medical, dental, AD&D and/or legal coverage under certain circumstances. See the LANS Welfare Benefit Plan for Retirees Summary Plan Description for further information. If you are eligible for a refund of your medical or dental benefit payments, contact LANL Benefits Office at (877) 667-1806 or (505) 667-1806. Important Note While care has been taken to develop this summary, it is not a guaranty. 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The Role of Graphics in Video Lectures by Laura J. Bianchi A thesis presented to the University of Waterloo in fulfilment of the thesis requirement for the degree of Master of Arts in Psychology Waterloo, Ontario, Canada, 2019 © Laura J. Bianchi 2019 Author's Declaration I hereby declare that I am the sole author of this thesis. This is a true copy of the thesis, including any required final revisions, as accepted by my examiners. I understand that my thesis may be made electronically available to the public. Abstract With the increase in online course use (Allen & Seaman, 2017), there is an increasing need to determine the most effective (i.e., the most conducive for learning) way to present lectures online (e.g., video lectures). Lecture graphics that are interesting but extraneous to the content (e.g., a celebrity), have been shown to impair comprehension of the material, likely resulting from an increase in cognitive load. In this study, the use of graphics on the slides of an online psychology lecture was manipulated to determine the extent to which images can improve (or impair) comprehension as well as the effect it may have on intentional and unintentional mindwandering. Across our two experiments, we demonstrate no differences across conditions (i.e., unnecessary graphics, relevant graphics, no graphics) in overall comprehension and limited differences in mind wandering behaviour. Acknowledgements I would like to thank my supervisor Dr. Evan Risko for the support and guidance he gave me during this process. His enthusiasm and insight for cognitive research has inspired me to be a better researcher by learning and applying new methodologies throughout this degree program. I would like to thank my readers, Dr. Derek Besner, and Dr. Jonathan Fugelsang, for their helpful comments and expertise. I would also like to thank Dr. Kristen Wilson for her help with the project's initial design, including the creation the stimuli used. Lastly, I would like to thank my family and friends who helped me through every challenge that I faced, as well as my colleagues in the Cognition and Natural Behaviour Laboratory, for their friendship and support. Table of Contents Authors declaration ......................................................................................................................... ii List of Tables List of Figures Figure 1 - An example slide taken from each of the three lecture conditions: unnecessary graphics (left panel), relevant graphics (middle panel), and no graphics (right panel). 9 Figure 2- Average frequency of distraction events during the video lecture by condition (unnecessary, relevant, no graphics), for Experiment 1. Error bars are 95% confidence intervals. 16 Figure 3- Average frequency of distraction events during the video lecture by condition (unnecessary, relevant, no graphics), for Experiment 2. Error bars are 95% confidence intervals. 26 Chapter 1: General Introduction 1.1 Online learning and multimedia learning There has been a growing use of online courses in post-secondary education in the last 20 years. Colleges in the United States reported an increase in the proportion of students enrolled in an online course from 10% in 2002 to 30% in 2015 (Allen & Seaman, 2017). In Canada, the same pattern of results is apparent with 2/3 of post-secondary institutions reporting an increase in online course enrollment from the 2015-16 school year to the 2017-18 school year, half of which report an increase of 10% or more (Canadian Digital Learning Research Association, 2019). Given the rising use, there is a growing need for researchers to study these environments and determine ways to optimize learning. Online learning environments rely heavily on video lectures as a means of communicating course content (e.g., Gorissen, van Bruggen & Jochems, 2012). Video lectures can include audio, images and text making them a form of multimedia. Research investigating multimedia learning has a long history (Mayer, Heiser & Lonn, 2001; Mayer, 1997; Mayer & Moreno, 2003; Najjar, 1996; Moreno & Mayer, 1999) and has clearly demonstrated that the decisions one makes about the combinations of media and their structure can have notable effects on learning (Mayer, 2005; Mayer, 2009). For example, Mayer and Anderson (1991) found that when presenting learners with audio of how a bike pump works, followed by an animation showing how the pump works, learners had poorer learning outcomes compared to those who were presented the audio and animation simultaneously. In the present investigation we continue this general line of inquiry by examining, in a postsecondary video lecture, the influence of the presence of graphics in lecture slides and in particular the influence of the graphic's relevance to the lecture content on comprehension and attentional engagement with the lecture material. 1.2 Cognitive load theory and unnecessary graphics The dominant framework for understanding multimedia learning is cognitive load theory (Mayer, 2009; Sweller, 2010). This theory assumes that learners have a limited capacity for information processing, and therefore can experience overload, thus impairing learning (Mayer, 2005; Mayer, 2009; Sweller, 2010). Consequently, decisions about what forms of multimedia to use need to consider how it impacts the load imposed on the learner. One common combination of media used in a university lecture is merging audio or text with graphics. Research investigating the use of graphics on comprehension has found that in some cases (e.g., when the graphics are unnecessary), the addition of graphics can have a negative impact (Harp & Mayer, 1997; Mayer, Griffith, Jurkowitz & Rothman, 2008; Sanchez & Wiley, 2006; Sung & Mayer, 2012). For example, Harp and Mayer (1997) conducted a series of experiments comparing the addition of "seductive" graphics (i.e., irrelevant to learning but catchy) to conditions without those graphics and found that comprehension was reduced in the former condition even though it increased ratings of interest. This negative effect on comprehension due to unnecessary graphics has been found across various studies (Garner, Gillingham & White, 1989; Harp & Maslich, 2005; Park, Moreno, Seufert & Brunken, 2010; Sanchez & Wiley 2006), and is thought to be caused by distracting the learner (Harp & Mayer, 1998) thus, consuming some of the limited resources potentially available to learn the material (Mayer, 2009; Sung & Mayer, 2012; Paas, Renkl & Sweller, 2003). That said, the inclusion of unnecessary graphics do not always produce negative effects (Ketzer‐Nöltge, Schweppe & Rummer, 2018; Kühl, Moersdorf, Römer & Münzer, 2018; Strobel, Grund & Lindner, 2018), and under low load conditions they may actually improve learning outcomes (Park et al., 2010). These inconsistences in the literature have led some researchers to believe that the negative effect of unnecessary graphics may have been exaggerated, since the effect is often small and can be moderated by a various other factors (e.g., prior knowledge; Eitel & Kuhl, 2018). 1.3 Mind wandering and unnecessary graphics While the primary consideration in designing video lectures is comprehension, comprehension is intimately tied up with the video lecture's ability to maintain learner's attentional engagement (Risko, Anderson, Sarwal, Engelhardt, & Kingstone, 2012). Indeed, one can consider the capacity limit noted above to reflect our attentional capacity limits. That is, if a learner is attending to something other than the lecture, then the learner is not devoting attention to the lecture content, impairing their ability to store in memory and comprehend the material (McVay & Kane, 2012; Unsworth & McMillan, 2013; Risko et al., 2012; Smallwood & Schooler 2006). This consideration is arguably even more important when learning is online because individuals are engaging with the material on their own schedule (Gorissen et al., 2012), where they can easily disengage through media multi-tasking (e.g., switching to social media; Burak, 2012; Ralph, Thomson, Cheyne & Smilek, 2014), or quit the lecture early (Kim et al., 2014). A popular means of indexing the extent to which an individual is attending to the lecture is to measure mind wandering – the shifting of attention from a task to internal thoughts (Smallwood & Schooler, 2006). Recent studies have suggested that mind wandering occurs often in video lectures (approximately 40% of the time; Risko et al., 2012), which can lead to impaired comprehension of the lecture material (Farley, Risko & Kingstone, 2013; Risko et al., 2012; Risko, Buchanan, Medimorec & Kingstone, 2013). Given that a lack of attentional engagement in a lecture will have negative consequences on comprehension, it is important for researchers to investigate ways to keep learners' attention on task with their lecture designs. For example, some studies suggest that time spent in a lecture can change rates of mind wandering, such that as the time into the lecture increases (i.e., the longer the learner is required to sustain their attention to the task) mind wandering increases (Farley et al., 2013; Risko et al., 2012; Szpunar, Multon & Schater, 2013). In addition to time-on-task, research has suggested that some combinations of media (e.g., audio, text and graphics) may lead to more or less motivation for learners to continue to engage with the learning material (Moreno & Mayer 2007). Specifically, the use of attractive illustrations in a lecture have been demonstrated to be helpful (Magner, Schwonke, Aleven, Popescu, & Renkl 2014), and can increase interest in study material (Harp & Mayer, 1997), even though in the latter case these images impaired comprehension. If it is the case that unnecessary graphics keep learners engaged and interested in the material, then mind wandering might decrease in conditions where these types of graphics are used. Nonetheless, while attractive graphics may keep attention to the lecture through reduced mind wandering, they may still impair (or not benefit) comprehension if they are irrelevant to the lecture material. That is, unnecessary graphics could draw the learner's attention to an irrelevant aspect of the lecture (the graphic) and thus while their attention might be "on task" resources are being diverted from the to-be-learned material (Harp & Mayer 1998). Thus, a deeper understanding of how graphics influence attention, as indexed by mind wandering, would be valuable in informing instructional design. 1.4. Present Investigation In the present investigation we examined the use of unnecessary graphics in an online video lecture, specifically, how it affects participant's comprehension and mind wandering during the lecture. Participants viewed one of three types of video lecture; 1) unnecessary graphics, 2) relevant graphics, and 3) no graphics, and completed a comprehension test to measure learning. In addition, during the lecture participants were probed to determine if they were mind wandering and if so what type (i.e., intentional or unintentional). Intentional mind wandering is considered to be a purposeful shift from the task to an internal thought, whereas unintentional mind wandering is considered shifting attention away from the task even though the intent was to remain on task (Seli, Carriere & Smilek, 2015; Seli, Risko & Smilek, 2016; Seli, Risko, Smilek & Schacter, 2016). Provided these types of mind wandering are argued to be distinct, measuring both provides a fuller understanding of how certain lecture designs can affect attentional engagement. In addition to mind wandering, we include an exploratory measure, with the intention of providing further insight into disengagement from the lecture. Specifically, we include a behavioural measure of "distraction" that consisted of recording how often participants clicked away from the task screen showing the lecture (i.e., our participants were completing the task online, as opposed to in a laboratory, and as such could freely disengage in this manner). This provided a behavioral measure of disengagement that complemented the self-report based mind wandering measure. We were also interested in participant's perceptions of how much they learned from the lecture and of the graphics used. As such, participants were asked to provide judgments of learning (Wilson, Martinez, Mills, D'Mello, Smilek & Risko, 2018) before the comprehension test, and concluded the study with a rating scale of how helpful and relevant the graphics used were. The latter served as a manipulation check to determine if participants who were in the conditions with graphics, perceived the graphics as we intended them. Chapter 2: Examining Graphics in Video Lectures 2.1 Experiment 1 2.1.1Methods Participants. A total of 215 people participated in this online study through Amazon's Mechanical Turk. Participants received $5 in compensation for completion of the study. An apriori sample size was determined in order to achieve 0.80 power, at alpha .05, to detect a smallto-medium effect size of η 2 = 0.05 in a one-way omnibus ANOVA. Stimuli. The video lecture consisted of a 25-minute slideshow presentation paired with audio of the instructor explaining the content of the lecture (i.e., an introduction to reasoning and decision making). The audio of the lecture was recorded before creating the matching slideshow presentation and, participants in all conditions listened to the same audio track. The lecture slides were developed using the audio recording. The text and positioning of the text on all of the lecture slides were matched across conditions, however the images that accompanied the text on the slide varied by condition (see Figure 1). For both conditions containing graphics, there was at minimum one graphic per slide, some contained up to 4 images. In all conditions, there was 71 slides which made up the presentation. In the unnecessary graphics condition, images that had no additional explanatory value with respect to the material but were engaging (e.g., cat photos) were featured on each slide of the presentation. In the relevant graphics condition, there were images that related to the content of the lecture (e.g., exemplars, infographics) presented on each slide. In the no graphics condition, there were no images of any kind on the slides. Measures. Participants completed a demographic questionnaire where they reported their age, gender, highest level of education, current student status, as well as the number of online courses and the number of psychology courses they had taken. They were then presented with two pre-assessment questions assessing their existing knowledge of the content for the online lecture (i.e., reasoning and decision making). These questions were open response and participants were told they could respond with "I don't know" if they did not know the answer and did not want to guess (see Appendix A). During the video lecture participants received 10 mind wandering probes. The probe would appear at the same time for everyone, however they were presented at unequal intervals to prevent participants from anticipating the probe. The unequal intervals were decided using a random number generator, which lead to 6 of the probes occurring in the first half of the video (i.e., the first 12.5 mins) and the remaining 4 were distributed in the last half of the video (see Appendix B for timings). The question asked if the participant had been mind wandering in the moments before the probe and participants needed to select one of the following three responses: "yes -I was intentionally mind wandering", "yes-I was unintentionally mind wandering", or "noI was fully focused on the lecture". After the video participants provided an estimate of the grade they expected on the upcoming test (judgement of learning). The study concluded with a test of the content of the lecture they just watched. There were 15 comprehension questions (10 multiple choice, 5 open response, see Appendix A). These test questions were additionally categorized as being "deep" (i.e., required integration/ manipulation of lecture material), or "shallow" (i.e., vocabulary, definitions, or have content verbatim from the lecture). Three of the test questions were categorized as deep learning questions, and the remaining 12 were categorized a shallow learning questions. As a manipulation check, we asked participants at the end of the study to rate on a 1-7 scale how helpful they thought the graphics in the lecture were, and how relevant they thought the graphics were, where 1 meant completely relevant/helpful and 7 meant completely irrelevant/unhelpful. For easier data interpretation, we reverse scored responses so that a larger number represented greater helpfulness and relevance. Additionally, throughout the study, if the participant navigated away from the task screen (e.g., minimizing the page featuring our study) and the page with our study was no longer in focus, the change was coded and timestamped. Participants were not told at the beginning of the study that this data would be recorded. We included this exploratory variable as a behavioural measure of "off-task" performance. Procedure. After providing consent, participants were asked to complete the demographic questions and the pre-assessment questions. After the pre-assessment, participants were instructed to read a short description about what mind wandering is and what the different types of mind wandering are (i.e., intentional and unintentional). Participants were asked a comprehension (multiple choice) question about the difference between intentional and unintentional mind wandering to ensure they knew how to respond when probed during the video. The participants were then instructed to watch a 25-minute psychology lecture on reasoning and decision making, where they responded to the mind wandering probes. Participants knew they would be asked questions about the video. After the video participants completed the judgement of learning (JOL) and the comprehension test. Lastly, they were asked how helpful and how relevant they thought the graphics were in the lecture they watched. Once these questions had been completed participants were debriefed and compensated. 2.1.2 Results Twenty-nine participants were not included in data analysis since they did not complete all necessary aspects of the study (i.e., they quit before the post-assessment questions were completed). A further, 11 participants were excluded for failing to correctly answer the comprehension question on the difference between intentional and unintentional mind wandering. The distribution of the remaining 175 participants for each condition were as follows: 61 participants saw unnecessary graphics, 55 saw relevant graphics, and 59 saw no graphics. Demographic data was collected for all the participants. The mean age was 35 years old. There were 84 males and 91 females. Participants reported their highest level of education with 63 participants reporting having a high school diploma, 28 having a college diploma, 64 having a bachelor's degree, 18 having a master's degree, and 2 having a doctorate degree. A final question asked was if participants were currently university students, 146 reported not being a current student, and the remaining 29 said they were. 9 Open response comprehension questions (pre and post assessment questions) were scored by a research assistant who was blind to the condition participants were in. Participants could receive one mark for a correct response, half a mark for a partially correct response or zero for an incorrect response, therefore each question was scored out of 1. All correct multiple choice responses received a score of 1. The questions were then split by when the content was delivered in the video lecture, specifically if it fell within the first half of the video or the second half. Below we first report the effect of condition on accuracy in the test. Additionally, we split the questions by whether they can be considered deep or shallow learning questions, and question format (i.e., multiple choice or open responses). We then examine the effect of condition on the proportion of wandering events across the two types of mind wandering. Mind wandering was also analyzed across time (i.e., split by if the probe occurred at the start or end of the video). Lastly, we report an exploratory analysis of our "off-task" behavioural measure (i.e., deviation from the task screen). We concluded with an analysis for reports of helpfulness and relevance for the lectures which contained graphics, and conducted bivariate correlations for all of our dependent variables. We include a Bayes factor analysis for each effect using the default prior (0.71). Comprehension. There was a marginally significant effect of condition on the proportion of correct answers for the pre-assessment questions, F(2,172) = 2.91, p = .057, 𝜂𝑝 2 = .03, BF01 = 1.41 (see Table 1), such that those in the relevant graphic condition had a greater proportion of correct answers compared to those in the no graphics condition, t(112) = 2.45, p = .015, d = 0.46, BF10 = 2.87. There was no difference between those in the relevant graphics and unnecessary graphics conditions, t(114) = 0.87, p = .387, d = 0.16, BF10 = 0.27, and no difference between those in the unnecessary graphics and those in the no graphics conditions, t(118) = 1.64, p = .104, d = 0.30, BF10 = 0.65. Overall, the pre-assessment means were all low (i.e., below 15% correct) and the majority of participants (80%) had zero correct responses on the pre-assessment. Bayes factor analysis suggests that this marginal effect has slightly more support for the null. There was no significant effect of condition on the proportion of correct answers to the comprehension test questions, F(2,172) = 0.66, p = .518, 𝜂𝑝 2 < .01, BF01 = 9.77. There was also no significant effect of condition on shallow learning questions, F(2, 172) = 0.97, p = .380, 𝜂𝑝 2 < .01, BF01 = 7.47 or deep learning questions, F(2, 172) = 0.17, p = .843, 𝜂𝑝 2 < .01, BF01 = 14.90. When we compared across the different question formats, we also found no effect of condition for either multiple choice, F(2, 172) = 1.24, p = .293, 𝜂𝑝 2 = .01, BF01 = 5.96 or open response questions, F(2, 172) = 0.04, p = .959, 𝜂𝑝 2 < .01, BF01 = 16.65 (see Table 1). As noted above, there was a small difference across conditions in pre-knowledge of the lecture material and as such, we conducted a linear regression examining test scores across the conditions, controlling for pre-assessment accuracy. There was still no effect of condition on comprehension when we controlled for pre-knowledge, F(2, 171) = 0.42, p = .661. To determine if there was an effect of time on task and if it differed by video condition, we split questions by whether the content occurred during the first half (first 12.5 mins) or second half of the video, and conducted a condition by time (first half, second half) mixed ANOVA. There was no significant main effect of time, F(1, 172) = 2.52, p = .114, 𝜂𝑝 2 = .01, BF01 = 2.64 and no interaction of time with condition, F(2, 172) = 0.12, p = .885, 𝜂𝑝 2 < .01, BF01 = 15.79 (see Table 1). Judgements of Learning. Three participants did not respond to this question and therefore are not included in the analysis. There was no significant effect of condition for JOLs, F(2, 169) = 0.70, p = .499, 𝜂𝑝 2 < .01, BF01 = 9.34 (see Table 1). When we compared actual test accuracy with JOLs using a paired t-test, there was a significant difference, t(171) = 4.14, p < .001, d = 0.31, BF10 = 262.22, such that participants reported higher JOLs (M = 0.58) than their actual test score (M = 0.51; i.e., they were overconfident). Table 1: Means and 95% CIs for the proportion of correct answers to the pre-assessment questions, the test questions, the test questions split by type (shallow, deep), question format (multiple choice, short answer) and time (start, end), and participants' JOL (score out of 100) in Experiment 1. Mind Wandering. There was no effect of condition on overall mind wandering, F(2, 172) = 1.34, p = .264, 𝜂𝑝 2 = .02, BF01 = 5.42. There was also no effect of condition for the proportion of reported intentional mind wandering, F(2, 172) = 0.37, p = .695, 𝜂𝑝 2 < .01, BF01 = 12.61, but there was a significant difference between our conditions in unintentional mind wandering, F(2, 172) = 3.29, p = .039, 𝜂𝑝 2 = .04, BF10 = 0.99, such that those in the no graphics condition reported significantly more unintentional mind wandering than those in both the unnecessary graphics, t(118) = 2.27, p = .025, d = 0.41, BF10 = 1.94, and the relevant graphics conditions, t(112) = 2.19, p = .031, d = 0.41, BF10 = 1.68.There was no difference in unintentional mind wandering across the unnecessary and relevant graphics conditions, t(114) = 0.13, p = .893, d = 0.02, BF01 = 5.02 (see Table 2). That said, the Bayes analysis shows little evidence for this effect. To investigate time on task effects, mind wandering at the start of the video was defined as mind wandering reported on the first two probes, and mind wandering at the end of the video was defined as mind wandering reported on the last two probes. We conducted a condition by time (start, end) mixed ANOVA on the proportion of overall mind wandering. There was a main effect of time, F(1, 172) = 31.80, p < .001, 𝜂𝑝 2 = .16, BF10 = 237,837.74, such that at the end of the video lecture there was a greater proportion of mind wandering, compared to the start. There was no interaction between time and condition, F(2, 172) = 0.39, p = .677, 𝜂𝑝 2 < .01, BF01 = 15.79. This pattern of results was the same for both types of mind wandering (intentional: time, F(1, 172) = 15.37, p < .001, 𝜂𝑝 2 = .08, BF10 = 168.47, interaction, F(2, 172) = 0.79, p = 457, 𝜂𝑝 2 < .01, BF01 = 12.79; unintentional: time, F(1, 172) = 13.17, p < .001, 𝜂𝑝 2 = .07, BF10 = 61.97, interaction, F(2, 172) = 0.61, p = .546, 𝜂𝑝 2 < .001, BF01 = 10.48; see Table 3). Table 2: Means and 95% CIs for the proportion of reported mind wandering during the video lecture for each type of mind wandering by condition in Experiment 1. Distraction Frequency. We examined the frequency of distraction events which occurred during the video lecture, across the conditions with a one way ANOVA. Three participants were removed for having extreme scores (z scores above 3). There was a significant main effect of condition, F(2, 169) = 5.19, p = .006, 𝜂𝑝 2 = .06, BF10 = 4.95, such that those in the relevant graphics condition had less distraction events during the video (M = 3.52), compared to the unnecessary graphics condition (M = 9.12), t(111) = 3.20, p = .001, d = 0.60, BF10 = 17.76, and the no graphics condition (M = 6.68), t(111) = 2.16, p = .033, d = 0.41, BF10 = 1.59. Those in the unnecessary graphics and no graphics condition did not significantly differ, t(116) = 1.27, p = .206, d = 0.23, BF01 = 2.47 (see Figure 2). Helpfulness and Relevance. Those in the relevant graphics condition (M = 5.59) reported that the graphics were more helpful than those in the unnecessary graphics condition (M=4.52), t(113) = 3.33, p = .001, d = 0.62, BF10 = 25.48. Those in the relevant graphics condition, also reported that the graphics were more relevant (M = 5.70) compared to those in the unnecessary graphics condition (M = 4.97), t(113) = 2.49, p = .014, d = 0.47, BF10 = 3.16. The Bayes analysis for these both show strong evidence for the effect. Table 3: Means and 95% CIs for the proportion of reported mind wandering during the video lecture across time (start, end) and condition in Experiment 1. 2.1.3 Bivariate Correlations While not the focus of the present work, we examined the bivariate relations between the various dependent variables, which are displayed in Table 4. Provided the large number of correlations significance values should be interpreted cautiously. We provide the equivalent table of bivariate correlation split by condition in Appendix D. As expected, test accuracy positively correlated with pre-assessment accuracy, and negatively correlated with overall reports of mind wandering and distraction frequency. Test accuracy also positively correlated with JOLs, suggesting that participants could judge their learning, at least to some extent. Interestingly, mind wandering did not correlate with distraction frequency, but it did negatively correlate with JOLs suggesting that participants may have been aware in some respect that mind wandering relates to reduced learning outcomes. The latter is likely driven by reports of unintentional mind wandering, since JOLs significantly and negatively correlated with unintentional mind wandering but not intentional mind wandering. JOLs also correlated positively with ratings of helpfulness and relevance, these ratings positively correlated with each other. Helpfulness also negatively correlated with overall reports of mind wandering. Table 4. Bivariate correlation table for Experiment 1. Note. * indicates p < .05. ** indicates p < .01 2.1.4 Discussion In Experiment 1 there was no effect of the lecture condition on comprehension. In addition, there was no effect of condition on the overall amount of mind wandering, but there was a greater proportion of unintentional mind wandering for those in the no graphics condition compared to conditions with graphics (unnecessary and relevant). JOLs did not significantly vary across the conditions, however participants were overconfident in their estimates. We did find differences across conditions in distraction frequency, such that those in the relevant graphics condition had the lowest rates of being away from the screen compared to the other two lecture conditions. Interestingly, distraction frequency negatively correlated with test accuracy, but did not correlate with mind wandering. Importantly, participants were aware the graphics used in the unnecessary graphics condition were unhelpful and irrelevant to the lecture material, suggesting our conditions were being perceived by participants the way we intended them to be. Experiment 1 also replicated some results from previous studies. Comprehension and overall mind wandering correlated negatively supporting findings from other studies (Risko et al., 2012). With regards to mind wandering, we found time on task effects for each type of mind wandering, such that there was greater mind wandering reported at the end of the video (Risko et al., 2012). Additionally, participants were overconfident in their JOLs, which is common when JOLs are asked immediately after encoding (Koriat & Bjork, 2006). Before discussing these results further we report a replication and extension. 2.2 Experiment 2 2.2.1 Rationale In Experiment 2 we set out to replicate and extend Experiment 1's results. While we did not find differences in comprehension across our lecture conditions in Experiment 1, participant's experiences with the video lecture varied. For example, we found participants were aware the unnecessary graphics were less helpful and relevant than having relevant graphics in the lecture. Some research has suggested that visuals used in a lecture may increase interest, even if it does not improve learning outcomes (Sung & Mayer, 2012; Wilson et al., 2018). For example, Wilson et al. (2018) examined how the addition of an instructor in a video lecture (compared to one with only audio) changed attitudes towards the lecture. They found that participants reported being less likely to drop a class with the instructor in the video, even though this addition did not improve learning outcomes. While focusing on comprehension is reasonable in an education setting, it is important not to ignore learner's feelings towards the video lectures, since this may influence if they maintain engagement with the material at a coarser level than attending to an individual lecture (Moreno & Mayer, 2007). For example, whether an individual "enjoys" the video lectures in a class would likely influence whether they opened the lecture at all. As such, we included a measure of positive and negative affect for the lecture graphics in Experiment 2. 2.2.2 Methods Participants. A total of 226 participants from Amazon's Mechanical Turk participated in this study. Sample size for this study was chosen using the same power analysis as Experiment 1. Stimuli. The video lectures were identical to those used in Experiment 1. Measures. Participants completed the same demographic, pre-assessment, mind wandering probes, JOL and test questions as was used in Experiment 1. In addition to the measures used in Experiment 1, participants completed the positive and negative affect scale (PANAS; Watson, Clark & Tellegen, 1988). The PANAS scale consists of 10 positive word items (e.g., interested) and 10 negative word items (e.g., upset; see Appendix C) that get rated on a 1-5 scale. This scale is reliable for both positive and negative items at alpha >.84. Unlike in the original scale which asks how the participants feel about each of the items in the current moment, we asked participants to "indicate to what extent you felt this way while watching the video lecture". Procedure. The procedure follows Experiment 1 except that immediately after the lecture participants completed the PANAS. They then completed the JOL and the comprehension test. Lastly, they were asked about the helpfulness and relevance of the graphics in the lecture they watched. Once these questions had been completed participants were debriefed and compensated. 2.2.3 Results Thirty four participants were removed for not completing all aspects of the study. An additional 13 participants were removed for failing to correctly answer the question distinguishing the types of mind wandering. The distribution of the remaining 179 participants for each condition were as follows: 61 participants saw unnecessary graphics, 59 saw relevant graphics, and 59 saw no graphics. The mean age was 37 years old. There were 92 males, 81 females, and 1 other. Participants also reported their highest level of education with 63 participants reporting having a high school diploma, 32 having a college diploma, 68 having a bachelor's degree, 13 having a master's degree, and 2 having a doctorate degree. A final question asked was if participants were currently university students, 152 reported not being a current student. The analyses follow those in Experiment 1 with the additional analysis of the positive and negative affect scale. Comprehension. We found no effect of condition for the proportion of correct answers for the pre-assessment questions, F(2,176) = 0.60, p = .551, 𝜂𝑝 2 < .01 BF01 = 10.49, and the majority of participants (82%) had a score of zero on the pre- assessment questions. There was also no effect of condition for the proportion of correct answers to the test questions, F(2,176) = 2.28, p = .106, 𝜂𝑝 2 = .03, BF01 = 2.46 (see Table 5). Unlike in Experiment 1, when we examined the proportion of correct answers to the shallow test questions there was a significant effect of condition, F(2, 176) = 3.61, p = .029, 𝜂𝑝 2 = .04, BF10 = 1.27, such that those in the unnecessary graphics condition did significantly better on these questions than those in the no graphics condition, t(118) = 2.68, p = .009, d = 0.49, BF10 = 4.67, but did no better than those in the relevant graphics condition, t(118) = 1.42, p = 0.159, d = 0.26, BF01 = 2.08. There was no difference between those in the relevant graphics and no graphics conditions t(116) = 1.25, p = .215, d = 0.22, BF01 = 2.54. That said the Bayes factor is only anecdotally supporting this effect. There was no effect of condition for the deep learning questions, F(2, 176) = 0.00, p = .999, 𝜂𝑝 2 < .01, BF01 = 17.61 (see Table 5). We also found an effect of condition when we analyze just the multiple choice questions, F(2, 176) = 3.65, p = .028, 𝜂𝑝 2 = .04, BF10 = 1.32, such that those in the unnecessary graphics condition did significantly better on these questions than those in the no graphics condition, t(118) = 2.66, p = .009, d = 0.49, BF01 = 4.52, but did no better than those in the relevant graphics condition, t(118) = 1.40, p = 0.165, d = 0.25, BF01 = 2.14. There was no difference between those in the relevant graphics and no graphics conditions, t(116) = 1.31, p = .193, d = 0.24, BF01 = 2.34. There was no effect of condition for the open response questions, F(2,176) = 0.34, p = .714, 𝜂𝑝 2 < .01, BF01 = 13.16 (see Table 5). In the analysis including time as a factor, there was a significant main effect of time, F(1, 176) = 23.98, p < .001, 𝜂𝑝 2 = .12, BF10 = 6870.52, such that participants had greater accuracy for questions with content that was from the second half of the video lecture (M = 0.56) compared to questions with content from the first half of the lecture (M = 0.48). There was no interaction between time and lecture condition, F(2,176) = 0.02, p = .981, 𝜂𝑝 2 < .01, BF01 = 17.70 (see Table 5). Table 5: Means and 95% CIs for the proportion of correct answers to the pre-assessment questions, the test questions, the test questions split by type (shallow, deep), test format (multiple choice, short answer) and time (start, end), and participants' JOL (score out of 100) in Experiment 2. Judgements of Learning. Two participants did not respond to this question and therefore are not included in the analysis. There was no effect of condition for JOLs, F(2, 174) = 0.65, p = .523, 𝜂𝑝 2 < .01, BF01 = 9.93 (see Table 5). There was also no difference between participants' JOLs and their score on the test, t(176) = 1.02, p = .311, d = 0.07, BF01 = 7.18, thus unlike Experiment 1 participants were not overconfident. Mind Wandering. Consistent with Experiment 1, there was no effect of condition on proportion of overall mind wandering, F(2, 176) = 0.74, p = .478, 𝜂𝑝 2 < .01, BF01 = 9.27, or intentional mind wandering, F(2, 176) = 0.23, p = .791, 𝜂𝑝 2 < .01, BF01 = 14.38,. Unlike in Experiment 1, we find no effect of condition for unintentional mind wandering, F(2, 176) = 0.36, p = .700, 𝜂𝑝 2 < .01, BF01 = 12.94, (see Table 6). Table 6: Means and 95% CIs for the proportion of reported mind wandering during the video lecture for each type of mind wandering by video condition in Experiment 2. With respect to time on task, for overall mind wandering there was a main effect of time, F(1, 176) = 63.27, p < .001, 𝜂𝑝 2 = .26, BF10 = 5.06e+10, such that at the end of the video lecture there was more reported mind wandering (M = 0.58), compared to the start (M = 0.32). There was no interaction between time and condition, F(2, 176) = 0.47, p = .623, 𝜂𝑝 2 < .01, BF01 = 13.56 (see Table 7). This same pattern of results was found for both intentional and unintentional mind wandering types (intentional: time, F(1, 176) = 26.84, p < .001, 𝜂𝑝 2 = .13, BF10 = 49,783.99 interaction, F(2, 176) = 0.44, p = .644, 𝜂𝑝 2 < .01, BF01 = 11.16; unintentional: time, F(1, 176) = 17.82, p < .001, 𝜂𝑝 2 = .09, BF10 = 515.18, interaction, F(2, 176) = 0.19, p = .830, 𝜂𝑝 2 < .01, BF01 = 15.16). Table 7: Means and 95% CIs for the proportion of reported mind wandering during the video lecture across time (start, end) and condition in Experiment 2. Positive and Negative Affect Scale. Fourteen participants were removed from this analysis for providing an impossible response (a number that was not between 1 and 5) or for leaving a response on the questionnaire blank. For the remaining 165 participants we calculated their positive and negative affect score and conducted a one-way ANOVA to determine if affect scores varied by condition. There were no differences across the conditions for positive affect ratings, F(2, 162) = 0.39, p = .679, 𝜂𝑝 2 < .01, BF01 = 13.80 (see Table 8) or for negative affect ratings, F(2, 162) = 1.81, p = .166, 𝜂𝑝 2 = .02, BF01 = 2.35 (see Table 8). We examined individual items from the PANAS to determine if ratings for any single item (e.g., interest) varied by condition, however there was no significant effect of condition for any item on the scale (all p's>.1; see Appendix E). Table 8: Means and 95% CIs for the Positive and Negative Affect scale by condition in Experiment 2. Distraction Frequency. Seven participants were removed for having extreme scores (z scores above 3). Unlike in Experiment 1, there was no main effect of condition, F(2, 169) = 1.36, p = .258, 𝜂𝑝 2 = .02, BF01 = 5.26 (see Figure 3). Helpfulness and Relevance. Those in the relevant graphics condition (M = 5.38) reported greater helpfulness of the graphics compared to those in the unnecessary graphics condition (M = 4.75), t(116) = 2.20, p = .029, d = 0.41, BF10 = 1.71 as well as greater relevance of the graphics (M = 5.74) compared to those in the unnecessary graphics condition (M = 4.97), t(117) = 2.97, p = .003, d = 0.54, BF10 = 9.48. As in Experiment 1 the Bayes factors suggest support for this effect, though it is only anecdotal for the difference in helpfulness ratings. 2.2.4 Bivariate correlations The bivariate correlations between all our dependent variables are displayed in Table 9 Again, correlations should be interpreted cautiously given the number of correlations. The equivalent table of bivariate correlations split by condition are in Appendix D. As with Experiment 1, test accuracy positively correlated with pre-assessment accuracy, and negatively correlated with overall reports of mind wandering and distraction frequency. As well, both types of mind wandering and distraction frequency negatively correlated with JOLs. Again, test accuracy positively correlated with JOLs. Unlike in Experiment 1, mind wandering did positively correlate with distraction frequency. Like in Experiment 1, helpfulness ratings negatively correlated with overall mind wandering, however in this Experiment we also find relevance ratings showed the same relation. Again, both ratings positively correlated with each other suggesting that if the graphics were perceived as helpful they were also perceived to be relevant. Interestingly, positive, but not negative, affect negatively correlated with both types of mind wandering and distraction frequency, suggesting that greater distraction is associated with less positive affect. Positive and negative affect oppositely related to JOLs, such that positive affect was positively related and negative affect was negatively related. As well, positive affect significantly correlated with participants' pre-assessment scores, suggesting that greater prior knowledge related to greater positive affect. Lastly, positive affect positively correlated with helpfulness and relevance ratings, as well as reports of negative affect. Table 9: Bivariate correlation table for Experiment 2. Note. * indicates p < .05. ** indicates p < .01. 2.2.5 Discussion As in Experiment 1, in Experiment 2 there were no effect of condition on overall comprehension. That said, those in the unnecessary graphics condition did better on shallow learning questions, and multiple choice questions (these were largely the same items), than did those in the no graphics condition. This was not the case in Experiment 1. Again, there was no effect of condition on the overall amount of mind wandering, but unlike in Experiment 1, there was also no effect of condition on unintentional mind wandering. There was no effect of condition on JOLs and participants were not overconfident in their estimates as we would have expected given what we found in Experiment 1. In Experiment 2 there was no effect of condition on our exploratory measure of distraction, though we found an effect in Experiment 1. We also found that distraction frequency positively correlated with overall mind wandering, which it did not in Experiment 1. Consistently, distraction frequency and mind wandering negatively correlated with test accuracy. As well, we continue to find evidence of time on task effects for each type of mind wandering, with mind wandering increasing over time. While participants were aware the graphics used in the unnecessary graphics condition were unhelpful and irrelevant to the lecture material, as they did in Experiment 1, we did not find an effect of condition for ratings of positive and negative affect. That said, positive affect significantly and negatively correlated with both mind wandering and distraction frequency. Chapter 3: General Discussion Across our two experiments we examined the effect unnecessary graphics (i.e., graphics which had no additional explanatory value to the lecture material) had on comprehension and mind wandering in a video lecture compared to a lecture with relevant graphics and one with no graphics. Overall, there were no consistent effects of our video conditions on comprehension of the material overall (nor interactions with time on task). Similarly, for mind wandering, there was no consistent effect of condition on overall or on any specific type of mind wandering (nor interactions with time on task). There was also no effect of condition on participants' JOLs. When we examined distraction frequency, we did not find a consistent effect of condition. In Experiment 1 the relevant graphics had the lowest frequency of navigating away from the task screen, but this was not replicated in Experiment 2. Similarly, in Experiment 1 there was no correlation between distraction frequency and mind wandering, however there was a positive correlation between them in Experiment 2. Despite not finding an effect of condition, we did find a number of results that are consistent with existing literature. First, in both experiments there was a negative correlation between overall mind wandering and test accuracy. Additionally, we found that mind wandering occurred often (around 40% of the time), and that reports of mind wandering increased as the time on the task increased. While there were limited effects of condition on most of our dependant variables, we do find participants ratings of helpfulness and relevance differed reliably across the conditions as we would expect (i.e., the relevant graphics are rated as more helpful and relevant than the unnecessary graphics). While this suggests participants were sensitive to the graphics used, we did not find that the graphics had any effect on ratings of positive and negative affect in Experiment 2. 3.1 The Influence of Graphics on Comprehension and Attention Overall, there was no effect of condition on comprehension. As noted above, despite there being clear empirical demonstrations of negative effects of irrelevant graphics on comprehension, this effect is likely small and moderated by a number of factors. Thus, it might not be surprising that we found no such effect here. That said, it is possible that our video conditions had no effect due to the fact that our graphics were ineffective. This might also explain why, across our measures of mind wandering, distraction frequency and affect, we found no consistent effect of video condition. That is, the unnecessary graphics might not have been sufficiently distracting or the relevant graphics sufficiently informative (or both). That said, participants were attending to the graphics enough to notice they were unhelpful and irrelevant in the unnecessary condition. It is important to note that in this study, our goal was for ecological validity rather than producing a large effect of graphics, and as such we chose graphics common to what a lecture may actually use (e.g., stock photo of a student reading a book, image of a cat). Another potential explanation for the lack of effect of video condition on comprehension, could be due to the test questions we asked. Mayer (1999) has suggested that many effects in the multimedia learning literature are specific to "deep" or "transfer" type questions that require learners to engage with the material beyond simple recall. For example, Mayer (1999) summarizes a series of studies that found that "transfer" question performance was affected in lessons with designs that may cause overload (e.g., the use of additional extraneous text or images). While our deep questions required slightly more than verbatim responses from the lecture, they might not have required participants to transfer their knowledge in a new way (Mayer, 2002). For example, in one of our deeper learning questions we ask what type of reasoning is involved to solve the syllogism, and though the content of this syllogism is different from what was presented in the lecture, it was ordered the same way (i.e., if a then b, a therefore b). Consistent with this idea, in Experiment 1 the deep questions were no harder than the shallow ones, t(174) = 1.43, p = .152, d = .11 (see Table 1), however, participants did significantly worse on deep questions in Experiment 2, t(178) = 2.41, p = .017, d = .18 (see Table 5). 3.2 Measuring Attention in Lectures The present research introduced a novel measure of attentional engagement in online lectures via a behavioral index of whether or not individuals navigate away from the lecture display. Importantly, we consistently found a negative correlation between distraction frequency and test accuracy. This suggests that this behavioural measure of distraction can predict learners' test accuracy. Distraction frequency and mind wandering were not correlated in Experiment 1 but moderately correlated in Experiment 2 suggesting that this measure, at least to some extent, is uniquely measuring a learners' attentional engagement (i.e., distraction frequency may be capturing something beyond what is captured by mind wandering reports). Like mind wandering, distraction frequency was also negatively related to positive affect and JOLs. One interesting possibility is that our distraction measure is capturing learner's media multitasking live, since past research has shown a positive correlation for self-reported media multitasking, and selfreported mind wandering (Ralph et al., 2014). 3.3 Conclusions Across two Experiments, we found no effect of graphics on both overall comprehension and attentional engagement. 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Name 2 different types of reasoning studied by cognitive psychologists. 3) 03:30- MC. When it comes to reasoning, problem solving, and decision making, researchers have relied on a method that involves the detailed, concurrent, and nonjudgmental observation of the contents of your own consciousness as you work on a problem. This method is called: 4) 05:00- MC. Writing a letter is best considered an example of: 5) 05:40- MC. Which of the following is NOT one of the reasons cognitive psychologists have focused on well-defined problems? 6) 08:00- OR. Sally has forgotten her password to log in to her email account. To solve this problem she enters all of her commonly used passwords until she finds the correct one. This problem solving approach is most similar to which one of the approaches discussed in the lecture (please type your response below): 7) 10:20 & 11:20- MC. A problem space includes an initial state, intermediate state, and goal state, all of which are important parts of these two problem solving techniques: 8) 10:45- MC. In means ends analysis a permissible move in the problem space is referred to as an: 9) 14:30- MC. In Gick and Holyoak (1980), participants who were told to use the story of the general to help solve the tumor problem were better able to solve it than participants not told to use the story. This was attributed to the utility of what problem solving technique: 10) 18:45- MC. The following is an example of what type of reasoning: Brian is a university student, Brian lives in a dormitory; therefore all undergrads live in dormitories 11) 19:40- MC. When individuals solve syllogisms quantifiers like all, none, and some_______________ 12) 20:50- MC. Imagine if I gave you a pattern (e.g., 2-5-9) and asked you to generate the rule that was used to generate it. This task would be examining what type of reasoning? 13) 23:30- MC. The generation of a quasi-pictorial representation of the relationship between the information in the premises and the conclusion when reasoning would be consistent with which approach 14) 04:00- OR. The lecture discussed both ill-defined and well-defined problems. Provide an example of each that is different from the examples provided in the lecture 15) 18:34- OR. Aaron argues that all cats are lazy, you have a cat named Boots, and he concludes that Boots is lazy. What kind of reasoning is Aaron using? Appendix B- Mind Wandering Probe Timings The timing of each probe for all participants. The first 6 fell within the first 12.5 minutes of the 25 minute video lecture and the last 4 fell at the end of the video lecture. Probe 1- 01:04 Probe 2- 03:29 Probe 3- 05:22 Probe 4- 07:26 Probe 5- 10:08 Probe 6- 13:25 Probe 7- 16:17 Probe 8- 18:32 Probe 9- 20:11 Probe 10- 24:01 Appendix C –Positive and Negative Affect Scale (PANAS) This scale consists of 20 words that describe different feelings and emotions. Read each item and then enter a number from the scale below next to the word. Indicate to what extent you felt this way while watching the video lecture. Use the following 1-5 scale to record your answers: 1-Very Slightly or Not at All, 2-A Little, 3-Moderately, 4-Quite a Bit, 5-Extremely 1. Interested ______ 2. Distressed______ 3. Excited______ 4. Upset______ 5. Strong______ 6. Guilty______ 7. Scared______ 8. Hostile______ 9. Enthusiastic______ 10. Proud______ 11. Irritable______ 12. Alert______ 13. Ashamed______ 14. Inspired______ 15. Nervous______ 16. Determined______ 17. Attentive______ 18. Jittery______ 19. Active______ 20. Afraid______ Appendix D- Magnitude of Correlations Below are the bivariate correlations for all of our dependent variables in both Experiments, split across the lecture conditions. The correlations for Experiment 1 are presented first followed by Experiment 2. Correlations with a beside it indicates p < .05, and those with ** indicates p < .01. Experiment 1: Unnecessary Graphics Experiment 1: Relevant Graphics Experiment 1: No Graphics Experiment 2: Unnecessary Graphics Experiment 2: Relevant Graphics Experiment 2: No Graphics Appendix E- Statistics for the effect of condition on each PANAS item PANAS Item One-Way ANOVA results
Honorable Donna Mercado Kim President of the Senate Twenty-Eighth State Legislature Regular Session of 2015 State of Hawaii: Madam Your Committee on Health, to which was referred Governor's Message Nos. 638, 639, 640, 642, 643, and 644, submitting for study and consideration the nominations of: DISABILITY AND COMMUNICATION ACCESS BOARD begs leave to report as follows: Your Committee has reviewed the personal histories, resumes, and statements submitted by the nominees and finds Ann Ito, Pauline Aughe, Ed Chevy, Misella Tomita, Yolanda Phelan, and Robin 2015-2443 GM SSCR SMA.dOC ,I1 STAND. COM. REP. NO. Honolulu, Hawaii IWO APR 2 2 2015 RE : GOV. MSG. NOS. 638, 639, 640, 642, 643, 644 Inaba to possess the requisite qualifications to be nominated to the Disability and Communication Access Board. ANN CHINEN IT0 Your Committee received testimony in support of the nomination of Ann Ito from the Disability and Communication Access Board and one individual. Ms. Ito is currently the Director of the KOKUA Program for the Office for Students with Disabilities at the University of Hawaii at Manoa, which serves undergraduate, graduate, and professional students with learning, physical, psychiatric, and other documented disabilities. She earned a Master's degree in Social Work and Bachelor's degree in Speech from the University of Hawaii at Manoa. She also serves as Chairperson for the Library for the Blind and Physically Handicapped Consumer Advisory Board and as President of the Friends of Ho'opono. Ms. Ito indicated in her personal statement that she brings her best energy, knowledge-based judgment, genuine respect for human differences, and passion for social justice to the Board. Your Committee finds that Ms. Itols past experiences providing disability access services to individuals, as well as her continuing commitment to serve those with disabilities in the college community, will be great assets to the Board. PAULINE AUGHE Your Committee received testimony in support of the nomination of Pauline Aughe from the Disability and Communication Access Board and one individual. Ms. Aughe is an entrepreneur, speaker, and author who spreads the inspiring message of hope and possibility using various media platforms, such as books, live events, and videos. She also authored a chapter in the best-selling book, "Fight For Your Dreams: The Power of Never Giving Upft. Ms. Aughe earned a Bachelor of Arts in Communication from Santa Clara University. She currently volunteers for Aloha Independent Living Hawaii and serves on the Mayor's Committee on People with Disabilities for Hawaii County. lIIIAllllllllll~llll~l'l' Your Committee finds that Ms. Aughe's past experiences related to the employment of individuals with disabilities, as well as her commitment to inspire others through her inspirational words and messages, will be great assets to the Board. ED CHEVY Your Committee received testimony in support of the nomination of Ed Chevy from the Disability and Communication Access Board and one individual. Mr. Chevy is recognized as a veteran in the field of deaf education, as he is an American Sign Language Instructor and mentor of families with children who have hearing loss. He also is a speaker and lecturer, speaking at such events as the Annual Pacific Rim Conference on Disabilities. Mr. Chevy indicated in his personal statement that he is interested in the Board's role in credentialing interpreters, advocacy, and legislation. Your Committee finds that Mr. Chevy's past experiences as an educator and instructor of American Sign Language, as well as his commitment to deaf awareness, will be great assets to the Board. MISELLA TOMITA Your Committee received testimony in support of the nomination of Misella Tomita from the Disability and Communication Access Board; Aloha State Association of the Deaf; Gallaudet University Alumni Association, Hawaii Chapter; Hawaii Deaf Surfriders Association; Hawaii School for the Deaf and the Blind Alumni Club; and one individual. Ms. Tomita is currently an American Sign Language Lecturer at Kapiolani Community College and an American Sign Language and Social Skills Instructor at the Comprehensive Service Center for Deaf, Hard-of-Hearing, and Deaf-Blind. She earned a Bachelor of Social Work from Gallaudet University. As the daughter of an active deaf father who has been involved with the Board for many years, Ms. Tomita is well-aware of the issues affecting the Deaf community, such as access to government facilities and services within the community. 2015-2443 GM SSCR SMA.doc lllllllllllllllllllllllllllllllll I1 llllllllllllll lllllllllllllllllrllllllllll llllll lllllllllllllllllll llllllllll Ill1 "" Your Committee finds that Ms. Tomita's experiences as an American Sign Language instructor, as well as her continuing commitment to sharing Deaf culture with others, will be great assets to the Board. YOLANDA PHELAN Your Committee received testimony in support of the nomination of Yolanda Phelan from the Disability and Communication Access Board and one individual. Ms. Phelan currently serves on the Board of Directors for the Hawaii Association for the Blind. She also started her own business, Sharper Senses, which provides sensitivity training to management and staff for restaurants, hotels, shops, airports, and other businesses that provide services to the public. Furthermore, she serves on the Ho'opono State Rehabilitation Center for the Blind Advisory Board, having served twice as Chair. Your Committee finds that Ms. Phelan's past experiences advocating for issues that affect the safety and access to the Blind community, as well as her continuing commitment to educating communities on Blind awareness, will be great assets to the Board. ROBIN INABA Your Committee received testimony in support of the nomination of Robin Inaba from the Disability and Communication Access Board and one individual. Ms. Inaba is owner and principal of Inaba Architecture, LLC, a design firm that provides architectural services for commercial, public, residential, and hospitality projects. She earned a Bachelor of Architecture from the University of Hawaii at Manoa. She has proven to be an avid proponent of accessible design, attending design-related conferences and trainings and improving education outreach to architects. Your Committee finds that Ms. Inaba's past experiences as a business owner and community volunteer, as well as her expertise in the field of architecture and design, will be great assets to the Board. As affirmed by the records of votes of the members of your Committee on Health that are attached to this report, your 11111'1'1 STAND. COM. REP. NO. Page 5 Committee, after full consideration of the background, experience, and qualifications of the nominees, has found the nominees to be qualified for the positions to which nominated and recommends that the Senate advise and consent to the nominations. Respectfully submitted on behalf of the members of the Committee on Health, JOSH GREEN, Chair The Senate State of Hawai'i Twenty-Eighth Legislature Record of Votes Committee on Health HTH Advise and Consent TOTAL 3 Governor’s Message No.:* Committee Referral: Date: Grn L33 HTH 0 The Committee is reconsidering its decision Advise and Consent 2340 0 Not Advise and Consent 2345 Members Aye(WR) Excused GREEN, Josh (C) WAKAI, Glenn (VC) BAKER, Rosalyn H. I GABBARD, Mike RIVIERE, Gil RUDERMAN, Russell E. SLOM, Sam Chair's or Designee's Signature: Distribution: Original Pink Goldenrod File with Committee R e Drafting Agency Committee File Copy Only one Governor's Message per Record of Votes The Senate State of Hawai'i Twenty- Eig ht hLegislature Record of Votes Committee on Health HTH Advise and Consent 3 Governor's Message No.: Gm 637 Committee Referral: Date: HTH Members GREEN, Josh (C) WAKAI, Glenn (VC) BAKER, Rosalyn H. GABBARD, Mike RIVIERE, Gil RUDERMAN, RussellE. SLOM, Sam I I I I Aye/ Aye (WR) Nay Excused r TOTAL Chair's or Designee's Signature: Distribution: Original Pink Goldenrod File with Committee Report Drafting Agency Committee File Copy I / Only one Governor'yMessage per Record of Votes The Senate State Twenty-Eighth Legislature of Hawai'i Record of Votes Committee on Health HTH Advise and Consent 3 TOTAL f Governor’s Message No.: Committee Referral: Date: GM 640 HTH - / 0 The Committee is reconsidering its decision The Recapf6ndation is: WAdvise and Consent 2340 u Not Advise and Consent 2345 Only one Governor's Message per Record of Votes The Senate State of Hawai'i Twenty- Eig hth Legislature Record of Votes Committee on Health HTH Advise and Consent Governor’s Message No.: Gn 6Yx Committee Referral: Date: HTH Members Aye / Aye(WR) GREEN, Josh (C) I [7 The Committee is reconsidering its decision - Nay Excused / WAKAI, Glenn (VC) BAKER, Rosalyn H. GABBARD. Mike The RecHmendation is: # / and Consent 2340 u Not Advise and Consent 2345 RIVIERE, Gil I d l RUDERMAN, Russell E. SLOM,Sam TOTAL I [7 Not Akpted -> dpted Recommendation: I Chair's or Designee's Signature: Distribution: Original Pink Goldenrod Drafting Agency Committee File Copy File with Committee Report Only one Governor's ddssage per Record of Votes The Senate Twenty-Eighth Legislature State of Hawai'i Record of Votes Committee on Health HTH Advise and Consent TOTAL 25 Governor's Message No.: Committee Referral: GM 643 HTH 0 The Committee is reconsidering its decision c] Not Advise and Consent 2345 2340 Members Aye / Aye(WR) Nay Excused GREEN, Josh (C) WAKAI, Glenn (VC) BAKER, Rosalyn H. GABBARD, Mike RIVIERE, Gil RUDERMAN, Russell E. SLOM, Sam Chair's or Designee's Signature: Distribution: Original Pink Goldenrod File with Committee Repo Drafting Agency Committee File Copy u Only one Governor's Message per Record of Votes The Senate Twenty-Eighth Legislature State of Hawai'i Record of Votes Committee on Health HTH Advise and Consent TOTAL r / -3 Governor's Message No.: Committee Referral: Date: G M bqL( HTH 0 The Committee is reconsidering its decision The Reymendation is: WAdvise and Consent 2340 u 2345 Not Advise and Consent Members Aye /Aye (WR) Excused GREEN,Josh(C) WAKAI, Glenn (VC) BAKER, RosalynH. GABBARD, Mike RIVIERE, Gil / RUDERMAN, Russell E. SLOM, Sam Chair’s or Designee’s Signature: Distribution: Original Pink Goldenrod File with Committee Report Drafting Agency Committee File Copy - *Only one Governor's Message per Record of Votes
COMMERCIAL BANKS COMPARATIVE SCHEDULE OF FEES AND CHARGES AS AT JUNE 30TH 2020 \| \| Bank of Baroda (Trinidad & Tobago) Limited \| \| Citibank (Trinidad & Tobago) Limited \| \| FirstCaribbean International Bank (Trinidad & Tobago) Limited \| \| First Citizens Bank Limited \| \| JMMB Bank (T&T) Limited \| \| RBC Royal Bank (Trinidad &Tobago) Limited \| \| Republic Bank Limited \| \| Scotiabank Trinidad and Tobago Limited \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| LENDING FEES \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Instalment Loans \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| Frequency \| Value \| \| Application fee \| Per transaction \| 50% of the acceptance fee (shall be adjusted in acceptance fees) \| - \| - \| - \| - \| - \| Free \| - \| - \| - \| - \| - \| Free \| Per transaction \| 1.75% (min-$1,250.00 loan>$33,000.00, min $625.00 loan<$33,000.00) \| \| Credit report fee \| Per unit \| On actual cost basis (no fee levied by bank) \| - \| - \| - \| - \| Per transaction \| $120.00 \| Per transaction \| $150.00 \| Per unit \| $75.00 \| - \| Free \| Per unit \| $175.00 \| \| Acceptance/Commitment fee \| Other \| $0 to $25k -$250.00, $25k to $50k -$500.00, >$50k @1.25%, min- $750.00 \| - \| - \| Per transaction \| 1% of loan \| Per transaction \| 1.5% of loan value or $300.00 whichever is greater \| Per transaction \| 1.5% loan value (min. $300.00) \| Per transaction \| 1.75% of principal amt, min $1,000.00 \| Per transaction \| 1.50% of loan amount (minimum $400.00) \| - \| - \| \| Late payment fee \| Monthly \| 2% on overdue amount \| - \| - \| Per transaction \| 2% above loan interest rate based on amount outstanding \| Per transaction \| 2% of instalment, minimum $75.00 \| Monthly \| 2% of delinquent amount (minimum $50.00) \| Monthly \| 2% of amt in arrears, Minimum $80.00 \| Per transaction \| 2.00% of amount due ($60.00) \| Per transaction \| 3% of arrears, min:$100.00 \| \| Refinancing fee \| Per transaction \| Same as acceptance fee on additional funds (Application Fee) \| - \| - \| Per transaction \| $250.00 + 1% on additional amount \| Per transaction \| $300.00 plus 1.5% on additional amount \| - \| - \| Other \| $250.00 plus negotiation fee on additional advance \| - \| Free \| Per transaction \| $500.00 plus application fee on additional advance \| \| Early settlement fee (for full outstanding balance) \| Per transaction \| Free \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| - \| Free \| - \| - \| - \| - \| - \| Free \| Per transaction \| 2 months interest. Min $250.00 \| \| Prepayment fee (for partial repayment of principal) \| Per transaction \| Free \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| - \| Free \| - \| - \| - \| - \| - \| Free \| - \| - \| \| Residential Mortgages \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Application fee \| Per transaction \| 50% of the acceptance fee (shall be adjusted in acceptance fees) \| - \| - \| - \| - \| - \| Free \| - \| - \| - \| - \| - \| Free \| - \| - \| \| Credit report fee \| Per unit \| On actual cost basis (No fee levied by bank) \| - \| - \| - \| Free \| Per transaction \| $120.00 \| Per transaction \| $150.00 \| Per unit \| $75.00 \| - \| Free \| Per unit \| $175.00 \| \| Acceptance/Commitment fee \| Per transaction \| $0 to $25k -$250.00, $25k to $50k -$500.00, >$50k @1.25%, min- $750.00 \| - \| - \| Per transaction \| 1% of loan amount \| Per transaction \| 1.5% of loan amount or $300.00 whichever is greater \| Per transaction \| 1.00% loan value (min. $1,000.00) \| Per transaction \| 1.25% of principal amount \| Per transaction \| 1.00% of loan amount \| Per transaction \| 1.5% of total loan amount plus inspection fee \| \| Late payment fee \| Monthly \| 2% on overdue amount \| - \| - \| Per transaction \| 2% above loan interest rate based on amount outstanding \| Per transaction \| 2% of instalment, minimum $75.00 \| Monthly \| 2% delinquent amount (minimum $50.00) \| Monthly \| 5% of principal and int in arrears or minimum of $100.00 \| Per transaction \| 2.00% of amount due (min $60.00) \| Per transaction \| 3% of amt in arrears minimum $100.00 \| \| Refinancing fee \| Per transaction \| same as acceptance fee on additional funds (Application fee) \| - \| - \| Per transaction \| $250.00 + 1% on additional amount \| - \| - \| - \| - \| % of value \| 1.25% of refinancing amount \| - \| Free \| Per transaction \| $500.00 plus commitment fee on additional funds advanced \| \| Early settlement fee (for full outstanding balance) \| % of value \| 0.50% p.a., 2.00% max. No fee if prepaid from own source \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| Other \| 6 months interest \| - \| In lieu of 3 month's notice - 3 months interest \| Per transaction \| 6 months interest \| % of value \| Year 1 or part thereof: 7%, Year 2-5: 5%, Year>5: 3% \| Per transaction \| 6 months penalty interest \| \| Prepayment fee (for partial repayment of principal) \| % of value \| 0.50% p.a., 2.00% max. No fee if prepaid from own source \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| - \| Free \| - \| - \| Per transaction \| Annual lump sum up to 20% princ. amt. When > 20% = 6 mth int \| - \| No fee once pre- arranged after 12 months \| Per transaction \| 3 months interest if no notice. 6 months interest if >10% \| \| Commercial Mortgages \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| Application fee \| Per transaction \| 50% of the acceptance fee (shall be adjusted in acceptance fees) \| - \| - \| - \| - \| - \| Free \| - \| - \| - \| - \| - \| Free \| % of value \| ¼ % to 1% of net amount; Minimum $500.00 \| \| Credit report fee \| Per unit \| On actual cost basis (no fee levied by bank) \| - \| - \| - \| Free \| Per transaction \| $120.00 \| Per transaction \| $150.00 per director and Company \| Per unit \| $75.00 \| - \| Free \| Per unit \| $175.00 \| \| Acceptance/Commitment fee \| Per transaction \| $0 to $25k -$250.00, $25k to $50k -$500.00, >$50k @1.25%, min- $750.00 \| - \| - \| Per transaction \| 1 % of loan amount \| Per transaction \| 1.5% or $300.00 whichever is greater \| Per transaction \| 1.5% loan value \| Per transaction \| 1% of principal amount, minimum of $500.00 \| Per transaction \| 1.00% of loan amount \| - \| - \| \| Late payment fee \| Monthly \| 2% on overdue amount \| - \| - \| Per transaction \| 2% above loan interest rate based on amount outstanding \| Per transaction \| 2% of instalment, minimum $75.00 \| Monthly \| 2% delinquent amount (minimum $50.00) \| Per transaction \| 5% of principal in arrears, minimum of $100.00, charge after 10 days \| Per transaction \| 2.00% of amount due (min $60.00) \| Per transaction \| 2% of arrears; Minimum $300.00 \| \| Refinancing fee \| Per transaction \| Same as application fee on additional funds \| - \| - \| Per transaction \| $250.00 + 1% on additional amount \| - \| - \| - \| - \| % of value \| 1% of new funds, minimum of $500.00 \| - \| Free \| Per transaction \| ¼ % to 1% of loan amount; Minimum $500.00 \| \| Early settlement fee (for full outstanding balance) \| % of value \| 0.50% p.a., 2.00% max. No Fee if prepaid from own source \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| Other \| Varies \| Per transaction \| 3 months interest \| Per transaction \| 6 months interest \| - \| Free \| Other \| 3 months' interest, if 3 months written notice not provided \| \| Prepayment fee (for partial repayment of principal) \| % of value \| 0.50% p.a., 2.00% max. No Fee if prepaid from own source \| - \| - \| Other \| Pre-determined in the client's Credit Agreement \| Other \| Varies \| - \| - \| Per transaction \| 6 months interest \| - \| Free \| Per transaction \| 3 months' interest, if 3 months written notice not provided \| Source: Central Bank of Trinidad and Tobago Note : A dash (-) indicates the fee or charge is not levied by the institution and/or the service is not relevant to the institution.
Science Arts & Métiers (SAM) is an open access repository that collects the work of Arts et Métiers Institute of Technology researchers and makes it freely available over the web where possible. This is an author-deposited version published in: https://sam.ensam.eu Handle ID: .http://hdl.handle.net/10985/9217 To cite this version : Yuan LIU, Jean-Pierre NIKOLOVSKI, Nazih MECHBAL, Moustapha HAFEZ, Michel VERGÉ - An acoustic multi-touch sensing method using amplitude disturbed ultrasonic wave diffraction patterns - Sensors and Actuators A: Physical - Vol. 162, n°2, p.394-399 - 2010 Administrator : email@example.com An acoustic multi-touch sensing method using amplitude disturbed ultrasonic wave diffraction patterns Y. LIU a,b , JP. Nikolovski a , N. Mechbal b , M. Hafez a , and M. Vergé b a CEA, LIST, Sensory Interfaces Laboratory, 18 Route du Panorama, BP6, 92265 Fontenay-aux-Roses, France b LMSP (CNRS 8106), Arts et Métiers ParisTech, 151 Boulevard de l'Hôpital, 75013 Paris, France Abstract This paper proposes an acoustic multi-touch tactile sensing method. The proposed method is based on an amplitude disturbed ultrasonic wave diffraction pattern. An A0 Lamb wave transmitted in a thin finite copper plate is processed to provide tactile information, for one or two fingers. A touch event is localized by identifying the diffraction signals among a data base of diffracted Lamb wave references. Statistic models are used to improve the localization reliability. An artificial silicone finger is used in the calibration procedure. This touch interface is evaluated as a 2touch interface. Keywords: Lamb Wave; Tactile; Multi-Touch; Diffraction; Pattern Recognition. 1. Introduction Tactile interfaces are largely used for the communication between human and machine through the sense of touch. Their purpose is to localize and track points of contact. Most of the current tactile interfaces can only allow single point localization. The need of more sophisticated interaction forms between a user and a machine drive Corresponding author. Tel.: +33 6 7955 3407; fax: +33 1 4654 7580. E-mail address: firstname.lastname@example.org. progressing interests in developing multi-touch sensing systems, which allow the user to interact with more than one finger or hand, such as bi-manual operations or multi-user collaborations. Many laboratory prototypes or commercial products of multi-touch sensing system are already available. Some of them use a matrix of discrete sensors [1]; another approach uses a passive matrix of force-sensitive-resistors [2] or capacitive electrodes [3-4]. Those technologies have pros and cons, and alternative cost competitive methods with video cameras for touch sensing [5-6] or with frustrated total internal reflection (FTIR) [7] are also developed. Compared to other technologies in the field of tactile sensing, acoustic wave methods have many advantages, as they don't require an extra layer. They can be implanted on different bulk materials or on composite surfaces such as LCD glass panels. Lamb wave methods have often been used for the localization of contact between an index (pinpoint or finger) and a plate [8]. Measurements may rely on the time delay of an acoustic wave propagating in a plate [9-10] or on a cross correlation with a predefined acoustic signature associated with the position [11-12]. However, these methods can only localize a signal source. Indeed, some modern interaction modes such as "multi-touch" are difficult to achieve with single "impacts", since it would require localize and interpret simultaneously close successive impacts on the surface in a tactile gesture. This paper proposes a new method using Lamb wave diffraction pattern for multi-point tactile applications. A copper plate with propagating Lamb waves includes plural discrete points (X×Y) on the surface. For one index localization, a predefined acoustic signature associated with one discrete point (x, y) is considered as one pattern. When an index is in contact with this plate, which is considered as an object, we find an absorption signal (or attenuated signal) of the propagating Lamb wave. Then the localization involves a pattern recognition step. In this attempt, this paper suggests to change the measurement method from cross correlation with an acoustic signature [11-12] to pattern recognition. In the multi-touch case, the pattern is not associated with one discrete position, but with two or several simultaneous contact positions. 2. Experimental set-up 2.1. Measurement System Fig.1. describes the test bench. It contains a function generator Tektronix 3012 and a data acquisition board Pico ADC 212/50. USB and parallel ports are used for the connection between the instruments and a laptop PC. Matlab is used for the signal processing and demonstration of results. Four piezo-ceramic transducers (PZT, thickness = 0.5 mm, type Pz27 by Ferroperm, Denmark) are bonded to the edges of the plate with a conductive glue Circuitworks CW2400. The transducers are used as transmitters and receivers of Lamb wave. Some features of Lamb waves' propagation are analytically known, such as group velocity and phase velocity. Following some approximations in [13], corresponding to the case k×h <<0.5, where k is the angular wave number and h the half thickness of the plate, the phase velocity is given by the equation: Where Vp is the plate velocity which depends on Young's modulus E, the Poisson's ratio , and the density of the material. For the copper plate, we have Vp = 4273 m/s. The group velocity is twice the phase velocity and similarly given by the equation: Fig.2. shows the group and phase velocities between 20 kHz and 250 kHz for a 350 µm thick copper plate. At a frequency f, the wavelength is: For the first asymmetric Lamb mode A0, the ratio between the normal displacement component Sz and the shear displacement component Sx is equal to: Where VT is the shear wave velocity, it depends only on E, and of the material. For the copper plate, we have VT = 2270 m/s. As we can see from equation (3), the wavelength decreases with the square root of frequency. For the A0 Lamb mode, the ratio between the normal and the shear components is calculated quantitatively according to equation (4) and ranges from 11 (20 kHz) to 4 times (250 kHz). Therefore, most energy carried out by the Lamb wave is the shear wave energy, which can be attenuated by the human finger contact, and provide position associated information for localization. According to these analytical results, below 100 kHz, an A0 mode Lamb wave packet can reflect up to 10 times at the boundaries in 1 ms, when its propagating group velocity is equal to 1000 m/s and the dimensions of the plate are 75 mm × 100 mm × 0.35 mm. It means that a 1 ms excitation signal is enough to establish a stable interference figure. The test bench operates as described in Fig.1.(b). The excitation signal is transmitted from the function generator to the PZT transducers, which generate Lamb waves. After a short-time of interference building, say 1 ms, the superposition of transmitted waves generated by the PZT transmitters with reflected waves at the plate boundaries produces a stable Lamb wave interference figure. The PZT Receivers sample the acoustic field at their locations and transfer it to the computer for processing. A sinusoidal drive signal creates amplitude attenuation information that changes according to different contact positions. A single frequency is not enough to produce reliable position identification because multiple positions may correspond to the same attenuation. By using several frequency components, Lamb waves exhibit different propagating velocities and ratios between the normal and the shear components, which involve distinct attenuation values when a finger comes in contact with the plate. The tactile localization by Lamb waves is an extraction of position information from different disturbed Lamb wave signals at various frequencies. To obtain a precise localization, well spaced frequencies are required. The excitation signal is then composed of 30 frequencies distributed between 20 kHz and 80 kHz, with an interval of 2 kHz. The choice of excitation frequencies is important and complex, and a more detailed study is presented by the same authors in another paper [14] . More precisely, the sampling frequency of the data acquisition board is set at 195.31 kHz. A 2 ms time window acquisition collects amplitudes at different frequency components. The FFT provides information of signals amplitudes from 0 to 97.7 kHz. In the localization process, we take into account not only the amplitude of signals at 30 selected carrier frequencies chosen in the FFT domain, but also all the frequencies addressed by the FFT. Based on a simulation study on modal analysis [8] that established strong variations of resonant frequencies of a plate according to boundary conditions, a support was designed to minimize disturbances coming from boundary conditions. The 75 mm × 100 mm rectangular thin finite copper plate (thickness = 450 µm) is maintained at the four vertexes by the support, as shown in Fig.3. 2.2. Localization Principle The pixilation step is described in Fig.4. An artificial finger made with silicone is used for the calibration process. A detailed study of silicone properties and difference from human finger is presented in [9]. The silicone finger is displaced and controlled by a 3-D robot arm with a 2 µm precision. 36×32 contact points are predefined on the tactile surface, with a spatial grid of 2 mm × 2.5 mm. The tactile surface is 64×90 mm 2 . The contact surface, roughly 1 cm 2 , is assured by applying the same contact pressure. At each reference position, the artificial finger comes into contact with the tactile surface. Then we measure the disturbed signals from two PZT receivers independently. The FFT signal of this disturbed signal is then considered as a pattern, as shown in Fig.5. It could be described as: Here m is the index of Lamb wave receiver, Aimref is the amplitude of one frequency element of the FFT figure, N is one half of the acquisition points acquired by the data acquisition board. All 36× 32 predefined positions are numbered and arranged in an array indexed from (x1, y1) to (x36, y32). 36×32 reference FFT figures are collected by the calibration process. This provides 36×32 patterns associated with predefined contact positions. In the second step, the user touches the plate. The new FFT of the measured signal contains position information and is described as an amplitude vector object: Analytically, this amplitude vector pm can be expressed as a function of emitted signal, the object property and geometry, the contact position, and contact surface at a given pressure. As we maintain the same conditions during the training step, the emitted signal and geometry are constants, so we consider that this amplitude vector is only a function of contact position i.e. an amplitude disturbed diffraction phenomenon. Localization of the contact position consists in finding out the closest pattern to the amplitude vector object. The nearest neighborhood search is used with different definitions of distance (dm), such as Manhattan Distance: The contact position can be visualized on a figure representing the normalized distances with a grey amplitude scale, as in Fig.6. By using a recognition process of one measured signal among all the reference signals, we are able to find the position of contact. The contact position appears in black. Neighboring points exhibit small distances which implies a limit to the spatial resolution of the learning process. This method enhances an active acoustic plate featuring a process that continuously generates Lamb wave packets, 1000 per second. Excitation signals and signal processing are fundamental to its reliability. We can observe from Fig.7 the performance of localizing 10000 consecutive measurements, while a touch is made at the center of the tactile plate. When using a single Lamb wave receiver (R1), 94.63% measurements identify the contact point with the same reference point (x 18 , y 20 ) or the position (x=36mm, y=50mm). The two receivers have different accuracies in according with the contact positions. For example, a touch is made at position (x=16mm, y=67.5mm), the measurements using the receiver R2 has 89% accuracy as identifying the contact position with the corresponding reference point (x 8 , y 27 ), and the rest 11% measurements identifying a touch event at a neighboring reference point (x 8 , y 28 ). Indeed, due to the fact that the diffraction signals depend on the placement of PZT transducers and the contact position, it is normal that the two receivers at different positions will have different sensibilities for a given contact point. As well, it is because contact events at some points may have difficultly to provide enough distinct diffraction information for a single Lamb wave receiver that additional receivers are required. Hence, the double-validation check is like a triangulation process to find a point, we need at least two or three PZT transducers to ensure a measurement. Identification errors may come from the surrounding noise. The accuracy of identification by single Lamb wave receiver varies from 89% to 95%. To improve the accuracy of localization, we propose a double-validation criterion: a touch-localization is trust worthy and validated if and only if the closest patterns found by both receivers are independently identical. Following this process, the localization procedure was found to be 100% reliable in experiments. We can estimate this accuracy mathematically. Supposing that each Lamb wave receiver has at least 89% accuracy and the errors occur only at the 8 neighboring reference points of the correct point, the localization process has a 79.21% probability to provide correct results with the double-validation process. A false localization happens only when the PZT receivers find the same false contact points at the same time, which means a probability less than 11%/8×11%/8 or 2 per 10 000 measurements. As the diffraction signals get more symmetrical, we found out the error measurements may consist not only in confusing neighboring points from right ones, but also from other different positions. The double-validation process can ensure a high reliability of our localization process; however, it will slow down the system. In the previous example, the response time is prolonged by 1.25 times. The performance of localization process depends on the reliability of the worst Lamb wave receiver. For example, if one receiver has 20% accuracy for a given contact point, even if the second receiver has 100% accuracy, the localization process could only validate 20% of overall measurements. Furthermore, if one receiver doesn't work properly in case of failure, the localization system is then incapable to output an answer. The double-validation process is seen as "a reason to reject" scenario. A different approach could be to implement "a reason to accept" scenario. In this regard, we provide a method based on the extended vector of received Lamb wave signals. The amplitude signals from m receivers are combined to form an extended vector: The localization of the contact position consists in finding out the closest pattern to the extended amplitude vector object, which has a smallest Manhattan distance from the extended references vectors. With this definition, a failure on one receiver does not stop the identification process. With the experimental set-up presented in this paper, the extended vector is a combination of amplitude vectors from the two Lamb wave receivers. When a touch is made at the center of the tactile plate, the localization performance shows 69.3% accuracy with 10000 consecutive measurements. The errors are found to be 20.6% at reference point (x16, y20), 7.4% at (x18, y19), 1.3% at (x18, y21), 0.9% at (x27, y21), and the rest 0.5% at (x9, y28). The first three errors can be considered as neighboring points to the correct one, as they have a distance less than 4 mm. To further increase the accuracy with the extended vector method, we add a likelihood statistic criterion. As one localization process is quite fast compared to the movement of finger on the tactile surface, we suppose that trust worthy localizations must remain spatially close in a short time window, thus a new touch-localization is trust worthy and validated if and only if its localization remains in the same vicinity of previous ones. With that criterion, only 13.3% of 10000 consecutive measurements are validated, without a single false identification. The response time of localization is prolonged by 7.5 times to about 15 ms. 3. Multi-Touch Localization The tactile surface presented in this paper can be used for multi-point tactile localization by simply applying the same analysis on disturbed signals. For one point localization, each reference signal is associated with a predefined contact point; in a multi-point case, the reference signals are associated with a combination of plural contact points. For example, in the case of localization of 2 simultaneous contacts, a reference pattern could signify a 4-D point (x,y,x',y') where (x,y) is the position of the first contact point and (x',y') is the position of the second. In the single-point localization, the identified position is easily illustrated by a contrast figure of the Manhattan distance. In this paper, we arranged all the reference signals in an array. Let us take an example where the plate is divided in a 5×5 contact grid. We call P1 a first configuration with contact positions (x1,y1,x'2,y'2) where 2 fingers come in touch with the plate at the position (x1,y1) and (x2,y2), respectively. We consider the two fingers used in the calibration procedure to be similar, which means (x1,y1,x'2,y'2) and (x2,y2,x'1,y'1) represent the same contact situations. We impose in our system that the index of the second position is always higher than the first one, to simplify calculations. All the possible two-point combinations of contact position are then sequentially touched and calibrated, to collect a 300 length array. The configurations are numbered P2 (x1,y1,x'2,y'3), P24 (x1,y1,x'5,y'5) and P300 (x5,y4,x'5,y'5). In some current methods of multi-touch applications [2], thumbs are considered as different from fingers. This can also be taken into account in the calibration process by modifying the indexation of reference signals. Fig.8 shows a measurement with both Lamb wave receivers. The acquired signal has minimum distance to the reference signals numbered 254 by both receivers, which is the index for (x3,y5,x'5,y'4) . Two fingers are detected at position (x=45 mm, y=100 mm) and (x=75 mm, y=80 mm), respectively. The number of reference signals depends on the subdivision degree of the plate. For a plate with a 5×5 mesh, the number of potential combinations is 2 25 C or 300. In extension, with M predefined points on the surface and N multiple contact fingers, this number is N M C . Fig.9 indicates the distances from each reference signal to all reference vectors. There are several "shadow" lines. The reference vectors in a "shadow" line have a common contact point for their two-point contact combinations. This shows the correlation between the reference signals and the positions. The accuracy of localization in the two-point case is similar as in the one-point case. We have a 100% reliable localization performance with the double-validation process, or nearly 100% with the extended vector method completed with the likelihood criterion. Not surprisingly, less than 10% of the measurements are validated as a localization error at one of the two-point will make the two-point identification rejected. Thus, the optimization processes generate higher rejection ratio in multi-point cases. The response time increases to 30 ms. 4. Conclusions and Perspectives This paper introduces a tactile surface with simple architecture and design. With only four piezo-ceramic transducers, the tactile plate exhibits a spatial resolution down to 2 mm with a response time in the millisecond range. With a double-validation process, simple point localization has 100% accuracy. Multi-point localization by this technology is also possible and a two-point case is described and tested. This technology is already a good alternative for many commercial tactile interfaces such as ticket distributors' screens. Its low-cost and low consumption features make it also a good alternative for mobile applications. In the next future, the number of reference points will be increased to develop a quasi-continue tactile plate, which requires solving the problem of ambiguity between adjacent points. Though the algorithm used in this work is already efficient in pattern recognition, another algorithm such as on- line neural network optimization is also being studied with the expectation to reduce computation and response time. A circuit board for mobile application, which should replace the function generator and data acquisition board, is also in progress. References [1] W. D. Hillis, International Journal of Robotics Research, 1, 2, 33-44 (1982). [2] W. Westerman, and J. G. Elias, U.S. Patent 6,323,846 (2001). [3] K.,Nicol, and E. M. C. Hennig, U.S. Patent 4,134,063 (1979). [4] J. Rekimoto, Conference on Human Factors in Computing Systems. CHI '02, 113-120 (2002). [5] N. Matsushita, and J. Rekimoto, 10th Annual ACM Symposium on User Interface Software and Technology. UIST '97, 209-210 (1997). [6] S. Malik, and J. Laszlo, "Visual Touchpad: A Two-Handed Gestural Input Device," Proceedings of the 6th International Conference on Multimodal Interfaces, State College, PA, USA, October 13 - 15, (2004). [7] J.Y. Han, "Low-Cost Multi-Touch Sensing through Frustrated Total Internal Reflection," In Proceedings of the 18th Annual ACM Symposium on User Interface Software and Technology, (2005). [8] E. Dieulesaint, D. Royer, O. Legras French patent FR8903074. Publication Nb: 2 644 309; (1989). [9] R. Adler and P. Desmares, "An economical touch panel using SAW absorption," Ultrason. Symp. Proc., 289-292, (1985). [10] J.P. Nikolovski and F. Devige, French Pattern. FR0008372, (2000). [11] Y. Liu, J. P. Nikolovski, N. Mechbal, M. Hafez, and M. Vergé, "Thin Finite Plate Modeling And Experimentation of Lamb Wave Propagation at Various Boundary Conditions," proceeding of the Eurosensors XXII conference, Dresden, Germany, (2008). [12] R. K. Ing, D. Cassereau, M. Fink, J.P. Nikolovski, "Tactile Touch Plate with Variable Boundary Conditions," proceeding of Acoustic 08, pp. 4223-4227, (2008). [13] J.P. Nikolovski, "Détecteur à ondes de Lamb de la position d'un stylet," Ph.D. thesis. UPMC, 2 feb. (1995). [14] Y. Liu, J. P. Nikolovski, N. Mechbal, M. Hafez, and M. Vergé, "Tactile objects based on an amplitude disturbed diffraction pattern method," Applied Physics Letters, 95, 251904 (2009). Vitae Yuan Liu received his Master's degree from Arts et Métiers ParisTech in 2006. He is currently pursuing his Ph.D. degree in the same institute. His research interests include acoustic wave sensors and their applications in robotics or human-computer interactions. Jean-Pierre Nikolovski is a research engineer at CEA LIST, where he specializes in acoustic actuators and devices in human-computer interactions. He received his Ph.D. degree in Physics in 1995 from University Pierre and Marie Curie. He was formerly at Ecole Supérieure de Physique et Chimie Industrielles de Paris where he studied and designed several ultrasonic transducers and instruments such as wideband longitudinal and shear wave transducers, adaptive surface acoustic wave filters, ultrasonic gas flow meters, ultrasonic digitizing pen for computer graphics and large area touch screens. In 1997, he raised capital and co-founded Intelligent Vibrations SA where as a chief technical officer he designed products such as interactive tables and multimodal touch and vocal shop windows based on large area tap screens. He has authored 20 patents and is the recipient of the Montgolfier Medal from SPI. Nazih Mechbal is an associate professor in the Laboratory of Mechanical Systems and Processes (LMSP) at the engineering school Arts et Métiers ParisTech of Paris, where he is member of the control team. He received his Ph.D. degree in robotics from the ENSAM Paris in 1999. His research interests include robotics, robust fault detection and diagnosis, active Control and structural health monitoring. Moustapha Hafez received his M.S. degree in robotics from École Nationale Supérieure d'Arts et Métiers, Paris, France, in 1995, and the Ph.D. degree from the Institute of Applied Optics, Swiss Federal Institute of Technology, Lausanne, Switzerland, in 2000. He joined the Field and Space Robotics Laboratory, Massachusetts Institute of Technology, Cambridge, as a Postdoctoral Researcher. Since 2002, he has been with Commissariat à l'Energie Atomique/Laboratoire d'Intégration des Systèmes et des Technologies, Fontenay aux Roses, France, where he was the Group Leader of the Mechatronics and Active Materials Group within the Robotics and Interactive System Unit. He is currently the Head of the Sensory Interfaces Laboratory,CEA/LIST, and a part-time Professor with Ecole Polytechnique, Palaiseau, France. His research interests are in the field of haptics, robotics, and smart materials. He has published more than 80 papers and is the coinventor of 20 patents. Michel Vergé is professor on control at the Laboratory of Mechanical Systems and Processes (LMSP) of ENSAM ParisTech in Paris (France). He obtained HDR at Nancy University (France) in 1991. His research interests focus on the fault detection methods and Structural Health Monitoring. Fig. 1. (a) Test bench with a Lamb wave plate; (b) Signals flux. Fig.4. Pixilation of the plate. Fig.5. FFT figure of acquired signals from Lamb wave receiver R1, while a human finger is in contact at the position (x1, y1). Fig.6. Contrast images based on the normalized distances from one reference signal to all others. Fig.9. Distance from each pattern to all other references. The shadow lines indicate one common contact point between two-point contacts.
ISSN Print: 2394-7500 ISSN Online: 2394-5869 Impact Factor: 5.2 IJAR 2019; SP12: 113-119 Dr. ASmaa Abdul Qadir Al Ani Dept. of Religion Basics, Al Imam Al aadum University College, Iraq Dr. Lubna Riyadh Abduljabbar Dept. of Islamic Studies in English language, Al Imam Al aadum University College, Iraq (Special Issue-12) "International Conference for Humanities and Technology ICFHAT" (27-28 th October, 2019) The semantic loss of the phrase "God's Face" in the translations of The Holy Quran Dr. ASmaa Abdul Qadir Al Ani and Dr. Lubna Riyadh Abduljabbar Abstract One of the most difficult attempts made in the field of translation is the translation of the meanings of the Holy Quran into English. According to Muslims, Qur'an text is miraculous and eloquent so the translation of one verse from one language to the other may lead to the loss of its intended meanings. The term loss refers to the partial or complete loss of any verbal sign affecting the interpretation of them on the semantic level. Such losses negatively affect the ways by which target readers understand the holy Quran This research will try to answer the following questions: How the word God's face is translated in the Holy Quran? Does the translation of the word God's Face fit its connotative meaning? The two hypotheses of the research are: 1. the phrase Allah's Face is translated literally by its denotation meanings rather than its connotation meaning i.e., the explicit meanings of the word face have been translated as face or countenance rather than its implicit ones which are reward and satisfaction. The importance of research is related to the importance of Quran as a Holy Book, how to understand and interpret it and consequently translate it into English. Furthermore, it is related to the correction of some meanings that seem unclear to the non-Arab readers. The word Face is mentioned in the holy Quran 78 times in different verses (Ayat) .But the phrase God's face is mentioned 11 times in different verses .The researchers employ a descriptive qualitative approach in their analysis of the data to identify the loss of meaning and the causes behind them . No means of statistical procedures or quantification have been used. The research is based on two different translated versions: First, the printed copy of Al Fahad congregation of the Holy Quran translated by Muhammad Taqi Al-Din and Dr. Muhammad Mohsen Khan (2014). Second version is the Islamic Research Academy in Al-Azhar for Research, Translation translated by Said Ali Abdul Hamid, Abdul Raouf Zahran and Mohammad Amin Taha (2006). Keywords: Parental attitude, participation, sports, girls 1. Introduction 1.1 Statement of the problem From Islamic point of view, the meaning of the Holy Quran cannot be translated precisely because it is revealed as a miracle in Arabic language. So, it cannot be reproduced in another language correctly, and its translation will make the meaning weaker and reduces its real value. The present study deals with the loss of meaning in the translation of the phrase God's Face 1 . The inability to decode and convey the meanings of this phrase from the exegesis of the Holy Quran leads to some deviations and under translations. (Abdul-Raof, 2004; AlQinai, 2011). The study will try to answer the following questions 1 There is a sort of disagreement among the translators, Muslims and non-Muslims, as to the appropriate translation of the word وهلال i.e., whether to use transliteration Allah or Correspondence Dr. ASmaa Abdul Qadir Al Ani Dept. of Religion Basics, Al Imam Al aadum University College, Iraq 1.1.2 The Hypothesis It is hypothesized that (1) There are differences in conceptions between Arabic and English languages. Sometimes single phrase in Arabic may have many meanings depending on the context in which it is used. (2) semantic loss occurs when translators concentrates on the denotation meaning rather than the meanings found in the Quran exegesis. 1.1.3 Value of the study The importance of this study is to show that translating the Holy Qur‟an into other languages is a practical need for some Muslim believers. It is as well a practical need for the non-Muslim to read and listen to the word of Allah. A good translation is needed to help non-Arabic speakers and nonArabic Muslim speakers as well. A great benefit will reach other communities that hold different faith; then it will allow them a good chance to understand the Qur‟an, as the main source of Islamic Religion. This will also be one practical step towards setting up a dialogue to better understanding between Muslims and non-Muslims communities, to secure global peace and mutual human feelings. render it into „God‟. Among the translators who opt for the word 'God' are A.Y. All, M. Pickthal, M. Asad, Rodwell, Sale, Palmer, Arberry, and Bell, whereas those who use the word Allah are Hilali and Khan, and King Fahd Holy Quran printing complex (The Holy Qur-an, English Translation of the Meanings and Commentary).in this research the two words God and Allah have the same meaning, therefore they are used interchangeably. 2. Literature Review 2.1. Translation of the Holy Quran Translation is an integrated process through which the communication of meaning passes from the source Language (Henceforth SL) to the target Language (Henceforth TL).or as Ghazala (1995:1) puts it: Translation is generally used to refer to all the process and methods used to convey the meaning of the source language in to the target language . his definition focuses on the notion of meaning as an essential element in translation, i.e., the translator need to understand the meaning of source text in order to have the appropriate equivalent in the target text. Thus, this process involves comprehension, analysis, reformulation and retextualizations of texts by incorporating the original tone and intent of a message, taking into account cultural and regional differences between source and target languages. In other words, translation is the replacement of textual material in one language (SL) by equivalent textual material in another language (TL) "Catford; 1995:20). But when it comes to the translation of the holy Quran, the case becomes a challenging and exclusive. Throughout many years, translators have attempted to produce an accurate translation of the Holy Quran; however, the nature of the sacred text made their job strenuous. The Holy Quran is the words of Allah, and thus it is so sophisticated, versatile that makes translating its meanings challenging. Hasanuddin (1996) defines Quran as a collection of messages received by prophet Muhammad [Pbuh] direct from Allah; which he delivered through them to the entire humanity. The Book is guidance from Allah for the mankind. It contains revelations by prophet Muhammad [Pbuh] from Allah during a period of about 23 years (quoted in Al-Jabari 2008, pp. 16-17). The Holy Quran is a genre by itself. It encompasses all the different aspects of people's life such as cultural norms, beliefs, ethics, social life, manners, politics, religions, worship, collectivism, individualism, law.In other words, The Quranic discourse has its own distinctive features at the syntactic, semantic, cultural and rhetorical levels (AbdulRaof, 2010). Quran is revealed for all humanity of different tongues and cultures. The non- Arab Muslims, who took Islam as their religious faith, have the right to read this Book in their original tongue in order to follow its instructions. Consequently, this view paved the way to scholars and translators to produce a translated text of the original and deliver the intended message behind it. Therefore, accuracy and comprehensibility are required in the translation of the holy Quran because poor translations create difficulties that disallow the readers from comprehending the same meanings and effect of the translated text (Al-Jabari; 2008:1) 2.2 The Semantic Loss The term semantics is derived from the ancient Greek term "semantikos" means "Significant" .it refers to the science of meaning that studies human expression through language, in other words it is the study of meaning .So it is meaning that is translated from one language( SL)to the other language (TL) . Loss of meaning occurs in any kind of translation because of linguistic, cultural and rhetorical barriers especially in dealing with highly sacred texts such as the holy Quran. We can never find the (TL) identical to the (SL), each one has its own properties and rules. Loss can be either partial or complete, so it is very common in translation especially in the translation of the meaning of the holy Quran which is highly complex and full of rhythm and rhetorical characteristics, as loss is varied, it is of two kinds: inevitable loss and avertable loss, both kinds can be seen on all levels: morphological, syntactic, semantic, textual and stylistic. Inevitable loss occurs because of the divergent systems of the two languages, regardless of the competence, level or skills of the translator, it is merely due to the differences between the two languages (SL) and (TL), and it is the most encounter by translators because there is no 100% identical languages even if they refer to the same family. avertable loss depends on the translator and his /her competency, avertable loss occurs when the translator cannot establish equivalence or find the suitable translation, so it attributes to translator failure to find the appropriate equivalent regardless to the differences between the two linguistic systems .This will lead him to choose one the literal denotative meaning rather than metaphorical connotative meaning in the translation. 2.3 Denotative vs. Connotative Meaning In semiotics, denotation and connotation are terms describing the relationship between the signifier and its signified, and an analytic distinction is made between two types of signifieds: a denotative signified and a connotative signified. Meaning includes both denotation and connotation. Simply put, the signifier is the sound associated with or image of something (e.g., a tree), the signified is the idea or concept of the thing (e.g., the idea of a tree), and the sign is the object that combines the signifier and the signified into a meaningful unit. as shown in the following diagram: Diagram 1: the Relationship between Signifiers and Signified Denotative literal meaning is "that kind of meaning which is fully supported by ordinary semantic conventions" (Dickins et al, 2002: 52 . It is the definitional, literal, obvious, or common sense meaning of a sign. In the case of linguistic signs .the denotative meaning is what the dictionary attempts to provide (Elewa;2015). But dictionaries have their own meaning problems. One of these is that "they impose, by abstraction and crystallization of one or more core senses, a rigidity of meaning that words do not often show in reality, and partly because, once words are put into a context, their denotative meanings become more flexible" (ibid: 52). Thus the rigidity of meaning and the flexibility of words in contexts make it difficult for the translator to determine the exact denotative meaning in any text. Connotation refers to a meaning that is implied by a word apart from the thing which it describes explicitly. Words carry cultural and emotional associations or meanings, in addition to their literal meanings or denotations. For example , if we take the sign" red rose", red is the denotation of a color, and rose is the denotation of a flower. Together they present a description of a flower of a particular color: a red rose. The connotation of red rose is a symbol for love. The words red and rose simply describe a noun in terms of its color and define a type of flower. Social convention has meant that the red rose as an idea represents or symbolizes love. Leech(1974: 14) defines connotation as"the communicative value an expression has by virtue of what it refers to, over and above its purely conceptual content" (Leech, The term connotation is used to refer to socio-cultural and personal associations (ideological, emotional, etc) of the sign. That‟s why signs are more open to interpretation in their connotative than their denotative meaning (Lyon; 1977:176). 3. Analysis of the Data 3.1 Limitations of the Study The data used for the analysis in this research is the eleven instances of the phrase" God's face "in different verses of the Holy Quran. Researchers adopted qualitative content analysis approach 2 through which codes are systemically applied and generated from the data. Subsequently, the researchers used exegesis books as references for examining 2 Altheide (1987) and Morgan (1993) asserts that qualitative content analysis is a dynamic, descriptive and qualitative form of analysis oriented toward summarizing the informational contents of verbal and visual data the authentic meanings of the verses under study and identifying the semantic losses. Fifteen Exegesis books that are well trusted by Muslims have been used such as Tafsir Ibin Kathir, Al Razi, Al-Durmunthur, Al-Shafy, AlKashif, Al –Wahidi, Al-Samarqandi., Al- Tabari, Al -Manar, AlMatridi, Ibin Atya, Al-Nasafi, Al-Sirage AlMuneer, Al Qurtubi, 3.2 Procedures of the Analysis Analysis of the data involves several steps and they are as follows: 1. All the instances of the phrase" God's face" are numerated in Arabic numbers according to the name of the suras with the number of the verses (Ayah) in which it is mentioned. 2. The verses with the assigned phrase are written in Arabic. 3. Then the two adopted translation the Saudi Arabian translation ( henceforth ST ) and Alazahar translation (henceforth ET) are examined to understand the lexical meaning of the verses 4. All the exegeses are documented by the exegetist with the number of the page and the number of the section (part) 5. A comparison of the lexical meanings in the translation and the authentic meanings in the exegesis books are made in order to identify the semantic loss . 6. Finally , the researchers propose a suggested translation of the phrase God's face in context 3.3 Analysis of the Verses The Cow:115 [x] The Translations ST: So wherever you turn (yourselves or your faces) there is the Face of Allah ET: Whither so_ ever ye turn, there is the presence of Allah. [x] The Exegesis Interpretations a. The reason behind the revelation of this ayah is the place for praying (Al Razi 18/4; Ibin Katheer 271/1). b. Where ever you go east or west is the place of your praying .(Al- Duralmanthur 276/1) c. It is the place where God wants you to pray ( AlShafay:64/1) [x] The Comparison The meaning of face in ST is the front part of God's head which is not mentioned in any of the interpretations .whereas in ET , the word 'presence' includes the whole body ,i.e., the face stands for the whole .Both translations do not mention the place of praying. [x] The Suggested Translation So wherever you turn (yourselves or your faces) there is the place where God Commands you to pray. 3.4 The Cow:272 3.5 The Translations ST: Whatever you spend not except seeking Allah's countenance ET: Whatever of good ye give benefits your own souls, and ye shall only do so seeking the Face of Allah [x] The Exegesis Interpretations a. Seeking God's reward (Al-Kashaf;433/ 1) b. Seeking God's Satisfaction (Ibin Kather;542/1) c. Seeking him and not anybody else(Al-Razi;67/7 ) [x] The Comparison In ST God's face is translated Allah's Countenance whereas in EG it is translated to Face of Allah. On the one hand, Countenance means the Appearance, especially the features and expression of the face. On the other hand, face means the front part of the head, featuring the eyes, nose, and mouth and the surrounding area. Both translations are far away from the intended meaning of the exegesis. Furthermore, the translator of ET added benefit your own souls which does not exist in the Arabic form [x] The Suggested Translation Whatever you spend not except seeking Allah's ' Reward and Satisfaction 3.6 Al Anaam:52 [x] The Translations: ST: And turn not away those who invoke their lord morning and afternoon seeking his face. ET: Send not away those who call on their lord morning and evening, seeking His Face [x] The Exegesis Interpretations a. Seeking God's reward and his satisfaction and nothing equals this privilege .(Al- Wahidi 167/8) b. Seeking obedience.( Al-Samarqandi:344/2) [x] The Comparison In both ST and ET the word face is translated literally and no elaboration is made to interpret its real meaning as suggested in its exegesis. But ST uses the phrase turn not which is more close to the meaning in the Arabic form than send not a away. [x] The Suggested Translation ------Those who invoke their Lord morning and afternoon seeking his satisfaction and reward. 3.7 Ar-Raad:22 [x] The Translations ST: And those who remain patient, seeking their Lord's countenance …" ET: Those who patiently persevere seeking the countenance of their Lord [x] The Exegesis Interpretations a. Magnifying Allah (Al Wahidi:340/12) b. Seeking Allah's satisfaction and reward (AlSamarqandi:225/2) c. Seeking God's Pleasure and great reward.(Ibin Kather:387/4) [x] The Comparison Both ST and ET have the countenance replacing the word face. [x] The Suggested Translation a. Those who remain patient seeking their lord's reward and satisfaction Those who patiently persevere seeking the reward of their Lord 3.8 Al- Kahaf 28 The Translations ST: And keep yourself (0 Muhammad) patiently with those who call on their Lord (i.e. your companions who remember their Lord with glorification, morning and afternoon seeking His Face ET: And keep the soul content with those who call on their Lord morning and evening, seeking His Face- [x] The Exegesis Interpretations They seek God's reward and they work hard to get his satisfaction (Al- Wahidi:275/2) a. They want to glorify him and be his obedient. (Al Tabari 391/10) b. They worship only Him for his satisfaction and obedience (Al -Wahidi :275/2) c. They want to be faithful in every work they do .( Al Manar:192/2) [x] The Comparison In ST the word yourself is used for the word "وفسك " in Arabic which refers to the soul from outside whereas, in ET it is translated as the soul content and with no equivalent translation for the word (اصبس ). In both translations ,His Face is not replaced by his reward and obedience. [x] The Suggested Translation And keep yourself with those who call their Lord morning and evening seeking his obedience 3.9 Al-Qasas:88 The Translations ST: Everything will perish except His face ET: Everything (that exists) will perish except His own Face [x] The Exegesis a. Face means the essence or the self or the whole body. (Al Razi;112/1) b. By except his face, means only the scientists. In ST: but that which you give in Zakat (sadaqa. charity. etc.) seeking Allah's countenance, then those, they shall have manifold increase . c. ET: but that which ye lay out for charity, seeking the countenance of Allah will be increased. d. The Exegesis e. Doing things for God only and no one else. (Al Nasafi 792/2) f. The highness and the greatness of the lord (Al Sirag Al Muneer:171/3) g. Seeking Allah's reward .(Fatih Al- Bayan 255/10) h. The Comparison i. Countenance in both ST and ET is the translation for the word face. j. The suggested Translation k. But that which ye lay out for charity, seeking Allah ' reward will be increased l. Al Rahman: 27other words, only the knowledge remains which is the intention of science face. (Al Matredi: 541:41 ) m. It is him and his characteristics that will stay forever. (Al- Qushairy 85/3) n. Nothing lasts except Him .He is the everlasting( Ibin Katheer:235/6) [x] The Comparison Both translations asserts the fact everything will be ended except His face .which it should be replaced by him. [x] The Suggested Translation a. Everything will perish except Him. b. Everything will perish except His knowledge. c. Everything will perish except His characteristics 3.9 Ar-room:38 [x] The Translations ST:. That best for those who seek Allah's Countenance. And it is they who will be Successful. ET: That is best for those who seek the countenance of Allah, and it is they will prosper. [x] The Exegesis a. Its God Himself. (Al Tabari :103/20) b. It's God's satisfaction .(Al Razi:103/25) c. It‟s the destination of his worship and his closeness. (Ibin Atya :171/3) d. Abundant reward and benevolence.( Al-wahidi 434/3) To achieve the ultimate aim which is to look at God on the Day of Resurrection (Ibin Katheer:286/6) [x] The Comparison A gain the word countenance refers to Allah's face in both translations with the difference in the translation of the word "خيسا ".. It is translated as successful in ST and prosper in ET. [x] The Suggested Translations That is best for those who seek, ------and it is they will prosper a. God ' satisfaction b. God's closeness c. God's rewards and benevolence d. God 3.10 Ar-room:39 [x] The Translations ST: but that which you give in Zakat (sadaqa. charity. etc.) seeking Allah's countenance, then those, they shall have manifold increase . ET: but that which ye lay out for charity, seeking the countenance of Allah will be increased. [x] The Exegesis a. Doing things for God Only and no one else.( Al Nasafi 792/2) b. The highness and the greatness of the lord ( Al Sirag Al Muneer:171/3) c. Seeking Allah's reward .(Fatih Al- Bayan 255/10) [x] The Comparison Countenance in both ST and ET is the translation for the word face. [x] The suggested Translation But that which ye lay out for charity, seeking Allah ' reward will be increased 3.11 Al Rahman:27 [x] The Translations ST: And the Face of your Lord full of Majesty and Honour will remain for ever. ET: But will abide (Forever) the Face of thy Lord_ Full of Majesty, Bounty and Honour [x] The Exegesis a. God remains apparent by his evidence as the appearance of man in his face,,i.e, the meaning of face is the appearance.(Al Wahidi: b. God remains the greatest, i.e, face means the greatest. (Simple Exegesis:158-159/2) c. Face means God's holy self. ( Ibin Atya:418/1) d. It is God's satisfaction .(Al -Matridi:472/9) [x] The Comparison The two adjectives "are translated differently :In ST , they are translated to Majestiy and Honour whereas, in ET they are translated into three words Majesty ,Bounty and Honour. ST puts the word forever at the end of the utterance whereas ET puts focus on it and forwards it to the beginning of the utterance. [x] The Suggested Translation And the present of your lord full of Majesty and honour will remain for ever. 3.12 Al-Insaan:9 [x] The Translations ST: (Saying): "We feed you seeking Allah's countenance only we wish for no reward, nor thank from you. ET: Saying "We feed you for the sake of Allah, no reward do we desire from you, nor thank. [x] The Exegesis a. Seeking God' satisfaction and reward.( AlTabari:98/24) c. Intending their deeds for the sake of God (Ibin Fork :105/3) d. Ethics for God (Al Manar:364/7l). [x] The Comparison In Cambridge Academic content Dictionary the 'countenance' in ST means appearance or expression of someone's face. it also has the meaning of support .The translation does not coincide with anyone of the interpretations. Whereas, God's face in ET is translated 'for the sake of Allah "which means "you do something because you want to and not for any particular reason (Longman Dictionary). This translation coincides with interpretation c. The translation of "ه وج " in ET is" for the sake of Allah" that means for his entity .This translation is closer in meaning to the exegesis than ST translation. [x] The Suggested Translation The same as ET. 3.14 Al-Layl :20 [x] The Translations ST: Except to seek the countenance of his Lord, the most High ded the phrase "to seek" in ST which is not found in the Arabic form. In ET the personal pronoun "their" is used as a reference for the pronoun "anyone" in the previous aya which it should be His as in ST. [x] The Suggested Translation Except to seek the reward of his Lord the most high. 4. Results and Conclusions The results of the analysis can be detected from the following table: b. Getting frightened of his punishment and seeking his gratification.(AlQurtubi:130/19) Table 1: A breakdown table of the meaning of God's face in translations and exegesis. \| NO. \| NO. of Surah \| NO.of Ayah \| ST Translation \| ET Translation \| Exegesis Interpretations \| \|---\|---\|---\|---\|---\|---\| \| 1 \| Al- Baqara \| 115 \| Allah's Face \| Allah's presence \| Place for Praying \| \| 2 \| Al-Baqara \| 272 \| Allah' Face \| Countenance \| Reward &Satisfaction \| \| 3 \| Al-Anaam \| 52 \| His face \| His face \| Reward &Satisfaction \| \| 4 \| Ar-Raad \| 22 \| His face \| His face \| Reward &Satisfaction \| \| 5 \| Al -Kahaf \| 28 \| His face \| His Face \| Reward &Obedience \| \| 6 \| Al-Qasas \| 88 \| His Face \| His own Face \| Allah &Knowledge \| \| 7 \| Ar-Room \| 38 \| Countenance \| Countenance \| Reward &Satisfaction \| \| 8 \| Ar-Room \| 39 \| Countenance \| Countenance \| Reward &Satisfaction \| \| 9 \| Ar-Rahman \| 27 \| Face of Allah \| Allah \| Allah's present \| \| 10 \| Al-Insaan \| 9 \| Countenance \| Allah \| Reward &Satisfaction \| \| 11 \| Al- layl \| 20 \| Allah's Countenance \| Allah's Countenance \| Reward &Satisfaction \| This research confirms that semantic loss in the English translation of the phrase God's face exist. The loss occurs either completely or partially. However, complete loss tends to be more common than the partial loss for all the translations tend to replace God's face by God facial appearance rather than his reward and satisfaction. The two translations ST and ET are considered literal translation depending on the denotative literal meanings which is unaccepted because the Holy Qur'an cannot be translated literally, and the latter creates loss of meaning. In view of the complexities of the message conveyed in the Qur'an, it seems reasonable to state that the only acceptable translation is the exegetical translation; one that is based on exegesis books, which will guide a translator in attaining accurate meaning of the TT. Without full knowledge of the exegesis books, a translator will inevitably fail in translating the Holy Qur‟an References 1. Abdul-Raof H. Pragmalinguistic forms in cross-cultural communication: Contributions from Qur‟an translation. Intercultural Communication Studies. 2005; 4:115-130. 2. Al-Jabari R. Reasons for the Possible Incomprehensibility of Some Verses of Three Translations of the Meaning of the Holy Quran into English". University of Salford Theses, Salford, U K, 2008. 3. Almasaeid AA. Some cultural and linguistic issues involved in translating the theme of love from Arabic into English in the Seven Odes translated by Frank. Johnson. Education and practice. 2013; 4(3):193-203. 4. AlQinai J. Convergence and divergence in the interpretation of Qur‟anic polysemy and lexical recurrence. Kalbų Studijos, 2012; 19:27-38. 5. Cay, Annette Lindegaard. (eds.). "Teaching Translation and Interpreting 2: Insights, Aims, Visions" Amsterdam and Philadelphia: John Benjamins Publishing Company, 245-251 6. Catford J. Alinguistic Theory of Translation. London. Oxford University Press, 1995. 7. Foster M. Translation from/in Farsi and English. Retrieved April, 1958, 2007, from http://www.parasa.ts.com/index.htm. 8. Ghazala, Hasan, Translation as problems and solutions (4th ed.) Syria: Dar Elkalem ElArabi, 1995 9. johnson M. The body in the mind. In The Bodily Basis of Meaning, Imagination and Reason The Bodily Basis of Meaning, Imagination and Reason.Chicago: Chicago University Press, 1987. 10. Lakoff G. Women, fire and dangerous things. InWhat Categories Reveal aboutthe Mind.Chicago: Chicago University Press, 1987. 11. Yowell A, Muftan SL. principles of Translation. Dar Annahda Alarabiya. Lyons, J. (1977). Semantics (vols I & II). Cambridge CUP, 1999 1.تفسجرالرا زي م ف ا ػ ح ال جت ج ب " ا ب و ع دب هلال م مد ح بن ع م ر ( 5606 ) َد ا ر ا ح ج اء ا ل ت ر ا ث الع ر ب َ َ ب ج رو ت ط ) 51420 (3 2 . عما الج ماك َ ح نارقلا بطرقلل َ ا ب و ع دب هلال مد ح م نب مد حا س مش ني لدا ( ت)5671 ت ح : ه ش ام سم ج ر ا ل بخ ا ري َ ر ا د لماع كلا ت ب َ ا ل ر ي ا ض ط( 51423 ) 2003 /م 3 . ت ف س رج نبا ج عط َ رر حملا جولا ج ز ف ت ف س ج ر ا ل ك بات ز الع ي ز ا وب مد ح م ع بد قحلا نب ب لاغ نب ج عط َ ا َ ند ل س َ د ا ر ا ل ك بت ج علم لا َ َ ل ب ن ان َ ط /51413( 1993 م) ت ح ع دب سلا َم ع بد ا ل ش اف م مد ح. 4 . ت ف س رج سنلا ف كرادم ليزنتلا اق وح َق ليوأتلا َ ا ب و ا ل ب ر ك ا ت ع بد هلال نب مد حا افظ ح ني لدا ( ت )5710 حت : س وي ف عل وي يدب . ر اد لمكلا طلا ج ب َ ب ج رو ت ط 1 /51419( 1998 ك .) 5.تفسجرابوع دب هلال مد ح م نب ردا ي س ا ل ش اف ع َ ( 5204 )عمج قجق تحو اردو س َ د مد ح ا نب صم طف لا ف ر ان َ را لدا ر دم تلا ي دوعسلا َ ي ط 1 51427( 2006/ م.) 6 . ت ف س رج ندي قرمسلا رحب مول الع ا وب ث جللا رصن ن ب مد ح م ن ب ا مج اه رب راد لا ف ك ر ب ج رو ت َ تح : د دومحم جر مخ َ 7 . تفسجر الطبري : جامع البجان فً تأويل القران َ محمد بن جوير ابو جعفر الطجري ( ت 5310 ) تح : احمد َ محمد شاكر ٌمؤسسٌ الرسال ط 2000/51420( م ) 8 . تفسجر الواحدي : الوسجط ابو الحسن علً بن احمد الواحدي النجسابوري ( ت 5468 ) تح : مجموعٌ من العلماءَ ط 1 1415( ه / 1994) دار الكتب العلمجٌ بجروت ً 9 . الدر المنثور َ عبد الرحمن بن ابً بكر جّل الدين السجوط ( ت )5911 ََ دار الفكر بجروت 11 . تفسجر القران الحكجم ( المنار ) محمد رشجد بن ًعل رضا ( ت 51354 ) الوجأة ٌالمصري ٌالعام للكتاب 1990 11 . تفسجر الماتريدي : تأويّت اهل السنٌ َ محمد بن محمد ابو منصور الماتريدي ( ت 5333 ) تح : مجدي باسلوم َ دار الكتب العلمجٌبجروت لبنان ن ط 1 ( /51426 2005 ) ّ 12 . السراج المنجر فً اِعانٌ عل معرفٌ بعض معانً ك م ربنا الحكجم الخبجر شمس الدين ًالخطجب الشربجن ( ت 5977 ) مطبعٌ بوِق اِمجريٌ القاهرة 51285( )
Cairns, Australia. 5 – 9 September 2011 Potential Water Saving in Avocado During the Summer Period Levin, Adolfo Gabriel 1 , Oshri Rinot 1 and Michael Noy 2 1Northern R&D-Israel; 2Israeli Extensions Office-Ministry of Agriculture. Key words: avocado, deficit irrigation, yield, stem water potential The effect of four different irrigation rates (100% [control], 125%, 75% and 50%) was tested during the summer period of 2010 on the avocado trees cv. Pinkerton in the north-east avocado cultivation area of Israel. The different water application rates were applied during the months of July and August. The standard water quantity was calculated according to the pan evaporation and crop factor agreed for the area. The water quantities applied during the experimental period were 5219 (100%), 6580 (125%), 3940 (75%) and 2740 (50%) m 3 /ha. The treatments were tested in four replications in randomized blocks. Forty eight hours after the beginning of the experiment, the 50% treatment already showed significantly higher daily trunk shrinkage and a week later also significantly higher water trunk pressure, respective to the rest of the treatments. Results obtained in additional physiological tested parameters e.g. photosynthesis activity and stomata conductivity were similar for all 4 treatments. No significant differences in number of fruit per tree and total yield were observed among the treatments but the average fruit size and the fruit size distribution were significantly reduced in the most reduced irrigation treatment (50%). However, under mild irrigation stress (75% treatment), similar results were observed in all the tested parameters compared to the control and over-irrigated treatments. We conclude that potentially, 25% of the irrigation water can be saved during the period of maximum atmospheric water demand without negatively affecting the performance of the trees in the short and medium term. Ahorro potencial de agua en Aguacate durante los meses de verano El efecto de cuatro diferente cantidades de agua (100% [control], 125%, 75% y 50%) durante los meses de verano fue testeada en árboles de aguacate de la variedad Pinquerton durante el año 2010 en la zona de cultivo Nor-este de Israel. La aplicación de las diferentes cantidades de agua se concentró durante los meses de Julio y Agosto. La cantidad de riego básico (control) fue establecida en base a la evapotranspiración del lugar y el coeficiente de cultivo aceptado para la zona. Las cantidades de agua aplicadas durante el período del experimento fueron las siguientes: 5,219 (100%), 6580 (125%), 3940 (75%) y 2740 (50%) m 3 por hectárea. El diseño experimental fue de 4 replicas distribuidas al azar en 4 bloques. Cuarenta y ocho horas después del comienzo del experimento los valores de contracción diaria en el tronco ya eran significativamente más altos en el tratamiento deficitario máximo (50%) respecto al resto de los tratamientos; una semana más tarde la misma tendencia fue observada para la presión de agua en el tronco. Resultados similares fueron obtenidos en el resto de los parámetros fisiológicos medidos durante el período del experimento. En cuanto a los parámetros de producción, no se observo diferencia significativa en la producción ni tampoco en la cantidad de frutos por árbol. Sin embargo, el tamaño promedio del fruto y la distribución de los tamaños fueron significativamente reducidos en el tratamiento más deficitario. Ninguna diferencia en los parámetros medidos durante el experimento fue observado entre el tratamiento parcialmente deficitario (75%) y los tratamiento control y sobre irrigado (100 y 125% respectivamente). Nosotros concluimos que existe la posibilidad de ahorrar 25% de agua durante el periodo de máxima demanda de agua en el riego, sin afectar negativamente la producción de los árboles en el corto y mediano plazo. Introduction Forecast of water withdrawals on a global scale predict sharp increases in future demand to meet the needs of urban, industrial, and environmental sectors (Fereres and Soriano, 2007, p.147). Given that the single biggest water problem worldwide is scarcity (Jury and Vaux, 2005, p.15715), the amount of fresh water available for agricultural use is decreasing. Climatic changes, irregular rain seasons, human population increase, and fresh water contamination are among the main factors responsible for decreasing of available water for agriculture use. Irrigated agriculture is the primary user of diverted water globally, reaching a proportion that exceeds 70-80% of the total in the arid and semi-arid zone (Fereres and Soriano, 2007, p.147). In many areas of Israel drought and scarce fresh water resources endanger the sustainability of irrigated agriculture. Among irrigated crops, fruit trees are of high economic value and can suffer the most from poor water management because of the carry-over effects into subsequent years. As a consequence, the future of the agriculture in many of the fruit cropping areas of the country depends on the effective use of fresh irrigation water for the commercial production of high quality crops. Efficient water use has become an important issue, on the one hand because the lack of available water resources, which in some areas is becoming more and more of a serious problem, and on the other ,because of the high price of fresh water for agricultural use (1.6 NIS per m 3 =$ 0.46 US) . Since shortages and further price increases of fresh water are to be expected, there is a need to increase water use efficiency, either by improving genetic performance and horticultural practice, or by improving irrigation scheduling (Naor, 2006, p.339). Irrigation is a major horticultural practice in fruit crops in Israel, and is the most intensively practiced operation throughout the season. For this reason, in these areas, the optimization of water use and the efficiency of irrigation by means of deficit irrigation strategies that allow maximum yields whilst reducing water application are of great importance. In this sense, regulated deficit irrigation (RDI) may offer an approach to saving water in some fruit crops with minimal or no impact on yield and/or crop revenue (Chalmers, Mitchell and Van Heek., 1981, p.307; Domingo, Ruiz-Sánchez, Sánchez-Blanco and Torrecillas, 1996, p.115; Goldhamer, 1997, p. 14; Kang and Zhang, 2004, p. 2437) as well as improving water use efficiency (WUE). The avocado (Persea americana) production area in Israel is mainly concentrated in the centralnorthern area of the country, from the coastal plane in the west to the Galilee Mountains and internal valleys (Jordan and Beit Shean) in the north-east. Of 6,500 hectares planted in Israel, around 1,500 are almost exclusively irrigated with fresh water. Israel produces between 80,000-90,000 tons of fruit per year with a revenue value estimated at 212,250,000 new Israeli shekels (NIS)=$ 60,642,857 US). Over the past 10-15 years the water application rate in the main avocado growing areas of Israel has been between 800 and 1,200 mm per year, depending on the growing region, as well as the cultivar, with an average production between 12 to 15 tons per hectares, achieving in some cases even 40 tons per hectare (e.g. in cv. Pinkerton, Arad and Ettinger). Previously, the water application rates were aproximately600mm per year with an average yearly production of less than 10 ton per hectare. Not only has the increase in the water application rate had an important impact on the yield increment observed in the last 10 years, but also the water application technique has changed, e.g. from the weekly or even fortnightly water application previously practiced, to the daily application used today that has played an important role in this yield improvement. Very little research worldwide in general, and in Israel, in particular, has been carried out regarding to water deficit irrigation in avocado trees and its consequence from the fruit quantity and quality point of view. To the best of our knowledge, this will be the first research study in avocado to evaluate the impact of deficit irrigation at the highest atmosphere water demand period (summer) on tree physiology, and fruit quantity and quality in the short, medium and long terms. The aim of our research was to evaluate the effect of reduced/deficit drip irrigation at the most intensive irrigation period of the year (summer time) on fruit quality and fruit production in cv. Pinkerton. The development of a curve response to different irrigation levels during the summer season will provide the growers with a powerful decision tool for the development of irrigation strategies under conditions of water shortage. Materials and Methods Plant material and experimental design The experiment was carried out during the summer of 2010 at the avocado grove of Kibbutz Maayan Baruch. The experimental plot designated 60/3 east, consisted of 34 rows, 7 m apart by 5.5 m between trees. In the plot, five rows of cv. Pinkerton alternated with one of cv. Ettinger as a pollenizer. The first and the last trees of the Pinkerton rows contained Ettinger cv.. The rootstock in the plot was a Mexican type, the trees were 30 years old and the agricultural practices in the plot were of high standard, recommended by the Israeli Agriculture Extension Office for Avocado Growers. Four different water quantities were applied between the 24th of June and the11th of September 2010 and their effect on tree physiology, fruit quantity and fruit quality was evaluated. The evaluated treatments were as follows: 1) Control or 100% water application based on crop coefficient of evaporation pan, recommended by the Israeli Extension Service); 2) 50% of the recommended water application; 3) 75% of the recommended water application; and 4) 25% more than the recommended water application (125%). The experimental design was a randomized block with four replications. Each section consisted of 15-16 trees. The center 3 or 4 trees were used for experimental measurement and the others served as a buffer. Water was supplied every day in two equal irrigation pulses. All the agricultural practices including the use of fertilizers, pruning, insect, disease and weeds management were carried out according to the recommendations of the Israeli Extension Office. Physiological parameters Leaf gas exchange and leaf temperature: Net CO2 assimilation rate (Anet), leaf stomatal conductance to water vapor (gs) and leaf temperature (Tl) were measured twice a day, at morning and afternoon on a clear day, just before the end of the differential irrigation period. Measurements were conducted using a portable open-path gas exchange system (CIRAS-2, PP Systems USA). Mature leaves facing the sun at the time of the measurement were enclosed in the clear top leaf chamber. Care was taken not to affect the photosynthetic photon flux density (PPFD) reaching the leaf. The leaf chamber was supplied with air at ambient temperature and humidity containing 380 ppm of CO2. After reaching stable readings of An gs and Tl (usually about 1 minute in the chamber) the values were recorded. Midday stem water potential: Three leaves per replicate were selected from the inner part of the canopy, and were enclosed, while still attached, in plastic bags covered with aluminum foil. After a 90 minute equilibration period, the leaves were detached from the tree and their stem water potentials were determined immediately in the field with a pressure chamber (Ari-Mad, Kfar Charuv, Israel). The two measurements were averaged before statistical analysis. Maximum daily shrinkage (MDS): Trunk diameter fluctuations were measured throughout the experimental period in four trees per treatment (one per replicate), using a set of linear variable displacement transducers (LVDT) (model DE-1M, measurement linear range (LVDT stroke): 10 mm; Sensitivity: 0.2 V/mm, PhyTech Ltd, Rehovot, Israel) attached to the trunk. Sensors were placed 20-40cm aboveground, below the first branch. All external parts are manufactured using stainless steel, titanium and engineering polymers. Measurements were continuously taken and sent to a repeater by radio signal. The readings were downloaded daily to a central computer by connecting to a mobile modem. The repeater was programmed to auto-saved data every 60 minutes. Maximum daily trunk shrinkage was calculated as the difference between maximum and minimum daily trunk diameter. Crop yield: In 2010, the crop was picked from each experimental tree and each fruit individually weighed, and the yield per tree, average fruit size, number of fruit per tree and fruit size distribution was subjected to statistical analysis. Flowering intensity: In 2011, flowering intensity at full bloom was ranked between 0 for no flowers to 4 for the best flowering trees, i.e. those with all 1 year old branches carrying inflorescences. Statistical analysis: Effects were evaluated by analysis of variance (ANOVA) folollowed by Multiple Comparison of Means, Tukey or Tukey-Kramer HSD (honestly significant difference) test (JMP-7, SAS Institute, Cary, NC, USA). Results are expressed as means ± standard errors (SE). Differences were assessed as significant at P<0.05. Results The cumulative irrigation applied in the control treatment during the experimental period was 523mm (Figure 1). The water quantities applied in the rest of the treatments were similar to the intended original values (Figure 1), designation of the treatments as below (Figure 1). Figure 1. Cumulative irrigation applied to the four treatments during the experimental period. The water quantities are based on the water-meter dial installed in each treatment before the beginning of the experiment. Effect of different water application rate on fruit development The studied cultivar manifested a typical seasonal pattern of avocado fruit growth (sigmoid curve) with the highest growing ratio between fruit set and hardiness of the stone (Figure 2) reaching almost a plateau toward harvesting. The fruit growth curve was similar to the control in all stress and over irrigated treatments (Figure 2). Effect of different water application rate on trunk daily shrinkage During all the experimental period, the most water stressed treatment (50%) showed higher MDS values with respect to the control and rest of the treatments (75 and 125%), but soon after the end of the experimental period, similar values were observed (Figure 3). The differences in MDS values between the 50% treatment and the rest were almost constant for the experimental period (23/6 to 11/9/2011), except for the day when 47⁰C was recorded, where all four treatments, including the overwatered one (125%) clearly showed stress symptoms in their MDS values (Figure 3). However, the recovery was quicker for the better irrigated ones. The control treatment showed the highest daily trunk growth (Figure 4). Figure 3. Average daily shrinkage during and after the experimental period of the four irrigation treatments. Each point is the average of four measurements. 8/7 22/7 5/8 19/8 2/9 16/9 30/9 14/1028/10 11/11 25/11 9/12 23/12 6/1 20/1 3/2 17/2 Figure 4. Maximum daily trunk growth of the four treatments. Each point is the mean of 4 measurements. The net photosynthetic assimilation, Anet, leaf diffusive conductance to water vapor, gs and leaf temperature (Tl) values at the end of the different irrigation withholding periods are shown in Figure 5. The overall results indicated that the water stressed irrigated treatment (50%) produced significant lower values on Anet and gs (p<0.05), but produced similar values on Tl. However, such differences were observed only during the morning hours, but not during the afternoon, where the four treatments showed similar values in all the evaluated parameters. When the gs values obtained during the morning were compared with those obtained during the afternoon hours, the former were significantly higher in all the treatments. A similar but opposite tendency was observed for the Tl values (Figure5).The effect produced by the day time on the gs values, was also observed for the Anet ones. However, no effect of day time on Anet values, on the most water stressed irrigation treatment was observed (Figure 5). The differences in Anet values among the treatments were paralleled by differences in gs of similar magnitude. Stomatal conductance was found to be closely correlated to Anet, independently of the irrigation treatment (Figure 5). Effect of different water application rates on stem water potential When water stress was first implemented at the end of June, only the most severe irrigation treatment showed a marked decrease in water stem values, which became noticeable 15 days after water restriction. A minimum value of -1.0 MPa was recorded in this treatment just after the hottest day of the season (47⁰C). No differences among the rest of the treatments were found. Following application of the different water rates, the recovery period for the most water-stressed treatments lasted almost two weeks (Figure 6). Effect of different water application rate on crop yield Crop yield and number of fruit per tree were not affected by the different irrigation level (Figure 7), however, the average fruit size and fruit size distribution were negatively affected by the most water stressed treatment. Interestingly, the mild water stressed irrigation treatment (75%) resulted in the highest average fruit size and the best fruit size distribution (Figs. 7 and 8). Treatments Figure 7. Fruit yield (kg per hectare), average fruit number per tree, and average fruit weight for the four irrigation treatments during the experimental period. Each point is the mean of 3 measurements. For average fruit weight, values with different uppercase letters differ significantly at P< 0.05. For average number of fruit, values with different lowercase letters differ significantly at P< 0.05. For yield per hectare, values with different Greek letters differ significantly at P< 0.05. Figure 8. Effect of the different irrigation treatments on fruit size distribution at harvesting time. The fruit size classification is according to the factory standards. Each point is the mean of 4 measurements. Values with different uppercase letters differ significantly at P< 0.05. Effect of different water application rates on bloom return in the following year Bloom return, in the following season, was unaffected by the different water treatments (Figure 9). Similar flower intensity was observed not just at the treatment levels but also at an individual tree level. Figure 9. Effect of the different irrigation treatments on flower intensity in the following season. Each point is the mean of 4 measurements. Values with different letters differ significantly at P< 0.05. Discussion To the best of our knowledge, the effect of restricting irrigation at the maximum atmospheric water demand period (summer) has not been previously reported for avocado trees. In this study, there was a significant difference in fruit average weight and fruit size distribution, but no significant difference in the number of fruit per plant or in yield per tree, observed between the different irrigation treatments. Flowering after the first year of the treatment was not affected even by the most deficit irrigation treatment. However, it is important to emphasize that by the end of the withholding irrigation period, the trees from the most reduced/water-stressed irrigation treatment (50%), showed clear symptoms of salinity damage of the old leaves with brownish edges and tip-burn, while vegetative development appeared to be retarded (data not shown). All the evaluated physiological parameters (photosynthesis, leaf stomatal conductance, midday stem water potential and trunk diameter fluctuations) were shown to be negatively affected by the most reduced irrigation treatment. However, the mild water-stressed irrigation treatment (75%) did not significantly affect any of the evaluated productive or physiological parameters. Interestingly, after the first year of the experiment, the over-irrigated treatment (125%) also did not show any advantage in any of the evaluated parameters compared to the control or even to the mild water-stressed (75%) treatment. When the economic value of each treatment was compared (data not shown), taking into account the cost of the saved water and the economic return of the fruit production (yield and fruit size distribution), the most economical treatment was that of 75%, resulting in a 5% more net value. Even though this is the first year of the experiment, and as a consequence it is too early to draw a management conclusion, there is no doubt that the results are encouraging, mainly for the potential use of the extra water rather than the economic value of the saved water itself. Acknowledgements The authors are grateful to the staff of Kibbutz Maayan Baruch for their invaluable assistance and to Menashe Levy for his technical support. This research was supported by the Northen R&D and the Israeli Avocado Fruit board. References 1. Chalmers, D.J., Mitchell, P.D., and Van Heek L., 1981. Control of peach tree growth and productivity by regulated supply, tree density, and summer pruning. J. Amer. Soc. Hort. Sci. 106: 307-312. 2. Domingo, R., Ruiz-Sánchez, M.C., Sánchez-Blanco, M.J., and Torrecillas, A., 1996. Water relations, growth and yield of Fino lemon trees under regulated deficit irrigation. Irrig. Sci. 16: 115-123. 3. Fereres, E., and Soriano, A., 2007. Deficit irrigation for reducing agricultural water use. J. Exp. Bot. 58 (2): 147-159. 4. Goldhamer, D.A., 1997. Regulated deficit irrigation of fruit and nut trees. Int. Water Irrig. Rev. 17: 14-19. 5. Jury, W.A., and Vaux Jr, H., 2005. The role of science in solving the world's emerging water problems. Proceedings of the National Academy of Sciences, USA. 102: 15715-15720. 6. Kang, S., and Zhang, J., 2004. Controlled alternate partial root-zone irrigation: its physiological consequence and impact on water use efficiency. J. Exp. Bot. Vol. 55, 407: 2437-2446. 7. Naor, A., 2006. Irrigation Scheduling of peach- Deficit irrigation at different phonological stages and water stress assessment. Acta Hort. 713: 339-349.
MODELING OF THE THERMO-PHYSICAL PROPERTIES OF GRAPES JUICE II. BOILING POINT AND DENSITY ♦ Andrei I. Simion * , Cristina Grigoraş, Lăcrămioara Rusu, Lucian Gavrilă "Vasile Alecsandri" University of Bacău, Department of Chemical and Food Engineering, Mărăşeşti no 157, 600115 Bacău, România email@example.com Corresponding author: Received: 15/10/2009 Accepted after revision: 18/11/2009 Abstract: When optimizing the process of grape juice manufacture not just to obtain an excellent quality, but also to develop a data base is essential to know the evolution of physical properties, such as density or boiling point elevation. These properties are affected by pressure, temperature and solid content. The aim of this work was to establish a mathematical relation between these variables. In order to assess and select a suitable mathematical model the known data were fitted in different equations. Tests results have shown that at constant dry matter content the pressure and the boiling point are related by a "shifted power" equation while between temperature and density variation a logarithmic model seems to be the most appropriate. Keywords: grapes juice, thermo-physical properties, density, boiling point, mathematical modeling, food industry ♦ I. THERMAL CONDUCTIVITY AND THERMAL DIFUSSIVITY has been published in Annals of Food Science and Technology, 2009, 10 (2), 363-368 – Valahia University, Târgovişte, ISSN 2065-2828 INTRODUCTION Fruits constitute a major part of the food crops. With 67.79 millions of tons produced in 2008 grape is one of the most world-wide appreciated fruit. An important part of this quantity is processed into different products such as juice, wine, jams, raisins etc [1]. Lately the grape juice has become very popular because it can be consumed directly either as a final product or as a raw material (i.e., winemaking). In both manufacturing processes, grape juice is undergone to different treatments [2]. Knowledge at any time of the thermo physical properties, such as boiling temperature and density variation, is important not only for process design but also for the prediction and control of various changes that occur in juice during processing [3]. A major part of the existing data is presented in graphical form and it cannot be used for further determination of different physical and thermo dynamical properties. Using a methodology previously used in other liquid foods modeling [4 – 9], the paper presents simple and reliable mathematical relationships between the grape juice boiling temperature and density variation and pressure, temperature and dry mater content. MATERIALS AND METHODS Tabular data (Table 1 and Table 2) and graphic representation (Figure 1) concerning the variation of grapes juice boiling temperature and density with dry matter and pressure or temperature were used as primary data for the regression analysis. These data were selected due to their wide use in research, development and design of the grapes juice processing industry. Table 1. Variation of grapes juice boiling temperature [K] with presure (P) and dry matter content (X) [10] \| Pressure \| \| \| \| \|---\|---\|---\|---\| \| [mm Hg] \| [Pa] \| 20 \| 40 \| \| 56 \| 7460 \| 315.8 \| 317.9 \| \| 156 \| 20800 \| 336.1 \| 338.9 \| \| 256 \| 34100 \| 347.6 \| 349.9 \| \| 356 \| 47500 \| 355.4 \| 357.4 \| \| 456 \| 60700 \| 361.4 \| 363.7 \| \| 556 \| 74100 \| 366.8 \| 368.7 \| \| 656 \| 87500 \| 370.9 \| 372.9 \| Different experimental extrapolated equations presented in various scientific papers concerning the grapes juice density variation were also used (Table 3). Frequently thermo-physical properties of various products in food industry are presented in graphics forms. Therefore xyExtract Graph Digitizer.v2.3 software was used to extract numerical data from graphical representations. The experimental data were plotted in Temperature – Thermo-physical property, Dry matter content – Thermo-physical property coordinates. Linear regression techniques, involving the method of least squares were used to reveal the best-fit equation. Microsoft Excel™ 2007 spreadsheets and CurveExpert® software were used to establish the equations. Table 2. Variation of grapes juice density with temperature and dry matter content [11] \| \| \| \| 20 \| 30 \| 40 \| 50 \| 60 \| 70 \| 80 \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| 24.77 \| 22.9 \| 21.6 \| 1097.3 \| 1093.2 \| 1089.2 \| 1084.5 \| 1078.5 \| 1071.4 \| 1065 \| \| 26.94 \| 25.5 \| 23.21 \| 1108.3 \| 1102.9 \| 1098.9 \| 1094 \| 1088 \| 1082.7 \| 1076 \| \| 31.19 \| 31 \| 27.51 \| 1130 \| 1126.2 \| 1121.8 \| 1116.6 \| 1111.2 \| 1105.7 \| 1095.7 \| \| 36.05 \| 34 \| 32.86 \| 1150.3 \| 1144.4 \| 1140.6 \| 1135.5 \| 1130.3 \| 1123.9 \| 1117.5 \| \| 44.06 \| 41 \| 38.18 \| 1190.6 \| 1185.4 \| 1180.5 \| 1174.9 \| 1169.8 \| 1163.3 \| 1155.8 \| \| 47.84 \| 45 \| 41.71 \| 1208.4 \| 1203.4 \| 1197.6 \| 1192.5 \| 1185.9 \| 1180.2 \| 1173.8 \| \| 53.98 \| 51 \| 46.77 \| 1240 \| 1234.5 \| 1228.3 \| 1222.8 \| 1216.8 \| 1211.7 \| 1203.7 \| \| 58.14 \| 53.4 \| 48.49 \| 1253.8 \| 1248.1 \| 1242.2 \| 1236.6 \| 1230.1 \| 1226.2 \| 1218.7 \| \| 64.72 \| 60.7 \| 57.14 \| 1297.2 \| 1290.9 \| 1284.7 \| 1278.8 \| 1271.8 \| 1268.2 \| 1261.8 \| \| 68.49 \| 67 \| 60.62 \| 1337.3 \| 1328.8 \| 1322.6 \| 1315.7 \| 1309 \| 1302.7 \| 1295.4 \| \| 76.57 \| 70.6 \| 66.25 \| 1358.4 \| 1351.8 \| 1346.3 \| 1339.2 \| 1332.5 \| 1328.3 \| 1321.8 \| Table 3. Equations used in grapes juice density calculus as a function of temperature (T) and dry matter content (X) or degrees Brix (Bx) \| Eq. no. \| Equation \| \|---\|---\| \| (1) \| ρ=1768−7⋅(100−X)−0.928⋅t+0.0062⋅(100−X)⋅t \| \| (2) \| ρ=1.1391⋅103−5.7760⋅10−1⋅T +5.3941⋅103⋅Bx \| \| (3) \| ρ=1.0462⋅103 +1.9630⋅10−1⋅T +3.8568⋅Bx+1.1973⋅10−3⋅T2 + +1.6533⋅10−2⋅Bx2 \| \| (4) \| ρ=2.0816⋅103 −9.4737⋅T +3.9796⋅Bx+2.8793⋅10−2⋅T2 + +1.3724⋅10−2⋅Bx2 −3.0934⋅10−5⋅T3 +2.0035⋅10−5⋅Bx3 \| * Equation (1) applies for the following values of X and t: X = 15…60%; t = 0…70 °C RESULTS AND DISCUSSIONS Boiling point Using CurveExpert® software, a "shifted power" correlation between pressure (measured in Pa) and boiling point, at constant dry matter content has been established: The A, B and C values are presented in Table 4. The regression coefficients are > 0.99, thus indicating a good correlation of variables. Table 4. Coefficients for equation (5) \| Dry matter [%] \| A \| B \| C \| R2 \| \|---\|---\|---\|---\|---\| \| 20 \| 162 \| -2.331 \| 0.072677 \| 0.9999 \| \| 40 \| 168 \| -1.708 \| 0.070148 \| 0.9999 \| \| 60 \| 167 \| -1.688 \| 0.070776 \| 0.9999 \| In order to correlate A, B and C coefficients with dry matter content, more models were used in CurveExpert® software (1 st , 2 nd and 3 rd degree polynomial equations, "vapor pressure" model, "heat capacity" model etc.). The best mathematical model final form is represented by a logarithmic equation (Table 5): Table 5. Coefficients for equation (6) \| Coefficient \| a \| b \| \|---\|---\|---\| \| A \| 5.3746 \| 146.38 \| \| B \| 618.51 \| -4131.3 \| \| C \| -0.002 \| 0.0782 \| After combining the equations (5) and (6) and replacing the coefficients with numeric values, in order to correlate the boiling point of grapes juice with pressure and dry matter, the final form of proposed model is: This mathematical model is valid when pressure is measured in Pa. If measurement unit is changed in mm Hg, after following the same steps, the mathematical model becomes: For a better fit to experimental data, for both proposed equations, the coefficient C could be replaced by a linear equation: X C ⋅ ⋅ + = −5 10 5 0731 .0 , equations (7) and (8) become respectively: Using the equations (7), (8), (9) and (10) in grape juice boiling point calculus, the results were compared with experimental values (Table 6). Table 6. Comparison between measured and calculated values of grapes juice boiling point \| Pressure, [Pa, (mm Hg)] \| Dry matter, [%] \| Boiling point, t [°C] B \| \| \| \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Experimental [1] \| Calculated with equation: \| \| \| \| \| \| \| \| \| \| \| \| 7 \| \| 8 \| \| 9 \| \| 10 \| \| \| \| \| \| t B \| ε, [%] \| t B \| ε, [%] \| t B \| ε, [%] \| t B \| ε, [%] \| \| 7460 (76) \| 20 \| 315.8 \| 315.5 \| -0.08 \| 315.3 \| -0.14 \| 315.4 \| -0.13 \| 315.0 \| -0.24 \| \| \| 40 \| 317.9 \| 317.7 \| -0.05 \| 317.4 \| -0.13 \| 318.1 \| 0.07 \| 318.3 \| 0.13 \| \| \| 60 \| 319.4 \| 319.0 \| -0.13 \| 318.6 \| -0.23 \| 319.1 \| -0.09 \| 318.9 \| -0.15 \| \| 20800 (156) \| 20 \| 336.1 \| 335.8 \| -0.09 \| 335.6 \| -0.14 \| 335.6 \| -0.14 \| 335.2 \| -0.25 \| \| \| 40 \| 338.9 \| 338.3 \| -0.15 \| 338.1 \| -0.23 \| 338.8 \| -0.01 \| 339.0 \| 0.05 \| \| \| 60 \| 340.2 \| 339.8 \| -0.10 \| 339.5 \| -0.20 \| 340.0 \| -0.06 \| 339.8 \| -0.11 \| \| 34100 (256) \| 20 \| 347.6 \| 347.0 \| -0.16 \| 346.8 \| -0.22 \| 346.8 \| -0.22 \| 346.4 \| -0.33 \| \| \| 40 \| 349.9 \| 349.6 \| -0.07 \| 349.3 \| -0.15 \| 350.2 \| 0.09 \| 350.3 \| 0.14 \| \| \| 60 \| 352.0 \| 351.1 \| -0.24 \| 350.7 \| -0.35 \| 351.3 \| -0.19 \| 351.1 \| -0.25 \| \| 47500 (356) \| 20 \| 355.4 \| 354.9 \| -0.12 \| 354.7 \| -0.17 \| 354.7 \| -0.19 \| 354.3 \| -0.29 \| \| \| 40 \| 357.4 \| 357.5 \| 0.04 \| 357.3 \| -0.03 \| 358.1 \| 0.21 \| 358.3 \| 0.27 \| \| \| 60 \| 359.5 \| 359.0 \| -0.13 \| 358.7 \| -0.22 \| 359.2 \| -0.08 \| 359.0 \| -0.13 \| \| 60700 (456) \| 20 \| 361.4 \| 361.1 \| -0.08 \| 360.8 \| -0.15 \| 360.8 \| -0.15 \| 360.4 \| -0.27 \| \| \| 40 \| 363.7 \| 363.6 \| -0.01 \| 363.3 \| -0.10 \| 364.2 \| 0.16 \| 364.4 \| 0.21 \| \| \| 60 \| 366.1 \| 365.1 \| -0.27 \| 364.7 \| -0.38 \| 365.3 \| -0.21 \| 365.0 \| -0.28 \| \| 74100 (556) \| 20 \| 366.8 \| 366.1 \| -0.18 \| 365.9 \| -0.24 \| 365.8 \| -0.25 \| 365.4 \| -0.36 \| \| \| 40 \| 368.7 \| 368.6 \| -0.01 \| 368.3 \| -0.09 \| 369.3 \| 0.17 \| 369.5 \| 0.23 \| \| \| 60 \| 371.1 \| 370.1 \| -0.27 \| 369.7 \| -0.37 \| 370.3 \| -0.21 \| 370.1 \| -0.27 \| \| 87500 (656) \| 20 \| 370.9 \| 370.4 \| -0.13 \| 370.2 \| -0.18 \| 370.1 \| -0.20 \| 369.7 \| -0.31 \| \| \| 40 \| 372.9 \| 372.9 \| 0.00 \| 372.6 \| -0.07 \| 373.5 \| 0.18 \| 373.8 \| 0.25 \| \| \| 60 \| 374.8 \| 374.3 \| -0.12 \| 373.9 \| -0.22 \| 374.5 \| -0.07 \| 374.3 \| -0.12 \| \| 100800 (756) \| 20 \| 374.8 \| 374.1 \| -0.18 \| 373.9 \| -0.23 \| 373.8 \| -0.25 \| 373.4 \| -0.36 \| \| \| 40 \| 376.9 \| 376.6 \| -0.08 \| 376.3 \| -0.15 \| 377.3 \| 0.10 \| 377.5 \| 0.17 \| \| \| 60 \| 379.1 \| 378.0 \| -0.29 \| 377.6 \| -0.39 \| 378.2 \| -0.23 \| 378.0 \| -0.28 \| To quantify the deviation from experimental data, between measured and calculated boiling point, the relative error was used: By analyzing the obtained values it can be observed that the induced relative error for proposed equation model is only -0.12% in average for equation (7), -0.19% for equation (8), -0.07% for equation (9) and -0.10% in average for equation (10). Density Using Microsoft Excel™ 2007 spreadsheets and CurveExpert® software, a logarithmic correlation between temperature and density, at constant dry matter content has been established: The V and W values are presented in Table 7. The regression coefficients are > 0.98, thus indicating a good correlation of variables. Table 7. Coefficients for equation (12) \| 24.77 \| 2084.1 \| -173.4 \| 0.98 \| \|---\|---\|---\|---\| \| 26.94 \| 2075.9 \| -170.2 \| 0.99 \| \| 31.19 \| 2137.9 \| -177 \| 0.96 \| \| 36.05 \| 2127.5 \| -171.9 \| 0.99 \| \| 44.06 \| 2230.7 \| -182.9 \| 0.99 \| \| 47.84 \| 2266.2 \| -186 \| 0.99 \| \| 53.98 \| 2324.5 \| -190.8 \| 0.99 \| \| 58.14 \| 2307.3 \| -185.4 \| 0.99 \| \| 64.72 \| 2372.9 \| -189.4 \| 0.99 \| \| 68.49 \| 2588.7 \| -220.4 \| 0.99 \| \| 76.57 \| 2473.8 \| -196.4 \| 0.99 \| In order to correlate V and W coefficients with dry matter content, more models were used in CurveExpert® software (1 st , 2 nd and 3 rd degree polynomial equations, "vapor pressure" model, "heat capacity" model etc.). The best mathematical model final form is represented by a linear equation (Table 8): Table 8. Coefficients for equation (13) \| Coefficient \| v \| w \| \|---\|---\|---\| \| V \| 1842.7 \| 8.8595 \| \| W \| -153.69 \| -0.6631 \| The equation (14) presents the final form of mathematical model obtained after combining the equations (12) and (13) and replacing the coefficients with numeric values in order to correlate the density of grapes juice with temperature and dry matter. Using the above equation in grape juice density calculus, the results were compared with experimental values (Table 9). The analysis of the induced relative error values for proposed equation model shows an average of -0.005% for equation (14), 0.98% for equation (1), approximately -0.01% for equations (2), (3), (4) and 1.95% for equation (5). The calculated values graphic representations were presented in Figures 1 – 11. Table 9. Comparison between measured and calculated density of grapes juice \| Temperature [°C] \| Dry matter [%] \| Density, ρ [kg/m3] \| \| \| Temperature [°C] \| Dry matter [%] \| \| \| \|---\|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| Experimental [2] \| Calculated with equation (14) \| \| \| \| Experimental [2] \| \| \| \| \| \| ρ \| ε [%] \| \| \| \| ρ \| \| 20 \| 24.77 \| 1097.3 \| 1095.8 \| -0.13 \| 50 \| 47.84 \| 1192.5 \| 1195.3 \| \| \| 26.94 \| 1108.3 \| 1106.9 \| -0.12 \| \| 53.98 \| 1222.8 \| 1226.2 \| \| \| 31.19 \| 1130.0 \| 1128.5 \| -0.13 \| \| 58.14 \| 1236.6 \| 1247.1 \| \| \| 36.05 \| 1150.3 \| 1153.3 \| 0.26 \| \| 64.72 \| 1278.8 \| 1280.2 \| \| \| 44.06 \| 1190.6 \| 1194.1 \| 0.29 \| \| 68.49 \| 1315.7 \| 1299.1 \| \| \| 47.84 \| 1208.4 \| 1213.3 \| 0.41 \| \| 76.57 \| 1339.2 \| 1339.8 \| \| \| 53.98 \| 1240.0 \| 1244.6 \| 0.37 \| 60 \| 24.77 \| 1078.5 \| 1074.1 \| \| \| 58.14 \| 1253.8 \| 1265.8 \| 0.95 \| \| 26.94 \| 1088.0 \| 1085.0 \| \| \| 64.72 \| 1297.2 \| 1299.3 \| 0.16 \| \| 31.19 \| 1111.2 \| 1106.2 \| \| \| 68.49 \| 1337.3 \| 1318.5 \| -1.42 \| \| 36.05 \| 1130.3 \| 1130.6 \| \| \| 76.57 \| 1358.4 \| 1359.6 \| 0.09 \| \| 44.06 \| 1169.8 \| 1170.7 \| \| 30 \| 24.77 \| 1097.3 \| 1090.2 \| -0.28 \| \| 47.84 \| 1185.9 \| 1189.6 \| \| \| 26.94 \| 1108.3 \| 1101.2 \| -0.16 \| \| 53.98 \| 1216.8 \| 1220.4 \| \| \| 31.19 \| 1130.0 \| 1122.7 \| -0.31 \| \| 58.14 \| 1230.1 \| 1241.2 \| \| \| 36.05 \| 1150.3 \| 1147.4 \| 0.26 \| \| 64.72 \| 1271.8 \| 1274.2 \| \| \| 44.06 \| 1190.6 \| 1188.0 \| 0.22 \| \| 68.49 \| 1309.0 \| 1293.1 \| \| \| 47.84 \| 1208.4 \| 1207.1 \| 0.31 \| \| 76.57 \| 1332.5 \| 1333.5 \| \| \| 53.98 \| 1240.0 \| 1238.3 \| 0.30 \| 70 \| 24.77 \| 1071.4 \| 1069.1 \| \| \| 58.14 \| 1253.8 \| 1259.4 \| 0.89 \| \| 26.94 \| 1082.7 \| 1079.9 \| \| \| 64.72 \| 1297.2 \| 1292.7 \| 0.14 \| \| 31.19 \| 1105.7 \| 1101.1 \| \| \| 68.49 \| 1337.3 \| 1311.9 \| -1.29 \| \| 36.05 \| 1123.9 \| 1125.3 \| \| \| 76.57 \| 1358.4 \| 1352.8 \| 0.08 \| \| 44.06 \| 1163.3 \| 1165.3 \| \| 40 \| 24.77 \| 1089.2 \| 1084.6 \| -0.42 \| \| 47.84 \| 1180.2 \| 1184.1 \| \| \| 26.94 \| 1098.9 \| 1095.6 \| -0.30 \| \| 53.98 \| 1211.7 \| 1214.8 \| \| \| 31.19 \| 1121.8 \| 1117.1 \| -0.43 \| \| 58.14 \| 1226.2 \| 1235.5 \| \| \| 36.05 \| 1140.6 \| 1141.6 \| 0.09 \| \| 64.72 \| 1268.2 \| 1268.4 \| \| \| 44.06 \| 1180.5 \| 1182.0 \| 0.13 \| \| 68.49 \| 1302.7 \| 1287.2 \| \| \| 47.84 \| 1197.6 \| 1201.1 \| 0.29 \| \| 76.57 \| 1328.3 \| 1327.5 \| \| \| 53.98 \| 1228.3 \| 1232.1 \| 0.31 \| 80 \| 24.77 \| 1065.0 \| 1064.2 \| \| \| 58.14 \| 1242.2 \| 1253.1 \| 0.87 \| \| 26.94 \| 1076.0 \| 1075.0 \| \| \| 64.72 \| 1284.7 \| 1286.3 \| 0.13 \| \| 31.19 \| 1095.7 \| 1096.1 \| \| \| 68.49 \| 1322.6 \| 1305.4 \| -1.32 \| \| 36.05 \| 1117.5 \| 1120.2 \| \| \| 76.57 \| 1346.3 \| 1346.2 \| -0.01 \| \| 44.06 \| 1155.8 \| 1160.0 \| \| 50 \| 24.77 \| 1084.5 \| 1079.3 \| -0.48 \| \| 47.84 \| 1173.8 \| 1178.8 \| \| \| 26.94 \| 1094.0 \| 1090.2 \| -0.35 \| \| 53.98 \| 1203.7 \| 1209.3 \| \| \| 31.19 \| 1116.6 \| 1111.6 \| -0.45 \| \| 58.14 \| 1218.7 \| 1230.0 \| \| \| 36.05 \| 1135.5 \| 1136.0 \| 0.04 \| \| 64.72 \| 1261.8 \| 1262.7 \| \| \| 44.06 \| 1174.9 \| 1176.3 \| 0.12 \| \| 68.49 \| 1295.4 \| 1281.4 \| Figure 1. Density of grapes juice with 24.77% dry matter content Figure 3. Density of grapes juice with 31.19% dry matter content Figure 4. Density of grapes juice with 36.05% dry matter content Figure 10. Density of grapes juice with 68.49% dry matter content CONCLUSIONS Since computer based programs or spreadsheets require correlation equations of the thermal properties of materials with state parameters (pressure, temperature and concentration) some regression equations that correlate grapes juice boiling points and density with pressure or temperature and dry matter content were established. The models presented have a high degree of accuracy for a wide range of parameters: dry matter between 20 and 70%, pressure for boiling point calculus between 7.4 and 100 kPa, and temperatures for density calculus between 20 and 80 °C, which recommend them for use in industrial processing of fruit juices and sizing calculation of different technological equipments. The proposed equations present a higher precision that other equations existing in the literature. REFERENCES 1. Dani, C., Oliboni, L.S., Vanderlinde, R., Bonatto, D., Salvador, M., Henriques, J.A.P.: Phenolic content and antioxidant activities of white and purple juices manufactured with organically – or conventionally – produced grapes, Food and Chemical Toxicology, 2007, 45, 2574–2580; 2. Garde-Cerdan, T., Arias-Gil, M., Marselles-Fontanet, R., Ancin-Azpilicueta, C., Martin-Belloso, O.: Effects of thermal and non-thermal processing treatments on fatty acids and free aminoacids of grape juice, Food Control, 2007, 18, 473–479; 3. Muramatsu, Y., Sakaguchi, E., Orikasa, T., Tagawa, A.: Simultaneous estimation of the thermophysical properties of three kinds of fruit juices based on the measured result by a transient heat flow probe method, Journal of Food Engineering, 2010, 96, 607-613; 4. Gavrilă, L., Simion, A.I., Apetrei, I.: Modeling of the thermophysical properties of milk. I. Density and viscosity, Annals of DAAAM for 2002 & Proceedings of the 13 th International DAAAM Symposium "Intelligent Manufacturing & Automatisation: Learning From Nature", 23-26th October 2002, Vienna, Austria, Published by DAAAM International, Vienna, 2002, 179-180; 5. Apetrei, I., Ciocan, M.E., Simion, A.I., Gavrilă, L.: Modeling of the thermophysical properties of milk. II. Thermal capacity and thermal conductivity, Annals of DAAAM for 2002 & Proceedings of the 13 th International DAAAM Symposium "Intelligent Manufacturing & Automatisation: Learning From Nature", 23-26th October 2002, Vienna, Austria, Published by DAAAM International, Vienna, 2002, 15-16; 6. Gavrilă, L., Fînaru, A.L., Simion, A.I., Apetrii, I.: Modeling of the thermophysical properties of apple juice. I. Density and viscosity, Proceedings of the 14 th DAAAM International Symposium „Intelligent Manufacture & Automation: Focus on Reconstruction and Development", 22 – 25th October 2003, Sarajevo, BosniaHerzegovina, Published by DAAAM International, Vienna, 2003, 115-116; 7. Gavrilă, L., Fînaru, A.L., Istrati, L., Apetrii, I.: Modeling of the physical properties of apple juice. II Thermal conductivity, Proceedings of the International Conference „Integrated Systems for Agri-Food Production SIPA '03" (Editors: Ţucu, D., Mnerie, D.), 20-22 nov. 2003, Editura Orizonturi Universitare Timişoara, 57-62; 8. Gavrilă, L., Fînaru, A.L., Apetrii, I., Simion, A.I.: Simulation des propriétés thermophysiques du jus des fruits, Actes du séminaire d'animation régionale (Region Europe Centrale et Occidentale) SAR 2004, 12-14 mai 2004, Editura Tehnica-Info, Chişinău, 72-77; 9. Gavrilă, L., Fînaru, A., Istrati, L., Simion, A.I., Ciocan, M.E.: Influence of temperature, fat and water content on the thermal conductivity of some dairy products, Scientifical Researches. Agroalimentary Processes and Technologies, 2005, XI (1), 205-210; 10. Iliescu, G., Vasile, C.: Caracteristici termofizice ale produselor alimentare (in Romanian), Editura Tehnică, Bucureşti, 1982; 11. Zuritz, C.A., Puntes, E.M., Mathey, H.H., Perez, E.H., Gascon, A., Rubio, L.A., Carullo, C.A., Chernikoff, R.E., Cabeza, M.S.: Density, viscosity and coefficient of thermal expansion of clear grape juice at different soluble concentrations and temperatures, Journal of Food Engineering, 2005, 71 (2), 143-149; 12. Bayindirili, L.: Density and viscosity of grape juice as function of concentration and temperature, Journal of Food Processing & Preservation, 1993, 17, 147-151.
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(please visit your respective department on 4 – 8 September 2020) * After the deadline of second merit list, admissions will be open to S. No. 101 and beyond based on merit until all seats on open category are filled. (Please visit your respective department 09-11 September 2020) * In case the open seats are filled, then the remaining applicants will be given opportunity to get admission on self-finance basis provided the department is running self-finance program. (Please visit your respective department 09-11 September 2020) Merit List for BS Environmental Science – AWKUM Garden Campus \| 20 \| 201539687 \| Sabir Ullah khan \| Ghulam Murtaza Khan \| \|---\|---\|---\|---\| \| 21 \| 201535728 \| muneeb ur rehman \| Ikhwan khan mohamnd \| \| 22 \| 201532469 \| Aizaz Ahmad \| Khalil Ur Rahman \| \| 23 \| 201529212 \| awais qarni \| ashfaq ali \| \| 24 \| 201538066 \| ubaid khan \| Akbar Ali Khan \| \| 25 \| 201531383 \| Haseena Inam \| Inam ul haq \| \| 26 \| 201527995 \| Maria Zafar \| Zafar Ali \| \| 27 \| 201528393 \| Malaika Irshad \| Muhammad Irshad \| \| 28 \| 201534126 \| hourain Ahmad \| IQBAL AHMAD \| \| 29 \| 201529858 \| Suhana Imran \| Syed imran bacha \| \| 30 \| 201529885 \| Syed hasan ali shah \| Fayaz Ali \| \| 31 \| 201539734 \| Saqib Khan \| PERVAIZ KHAN \| \| 32 \| 201530805 \| Muhammad Haroon Umar \| Muhammad Ibrahim \| \| 33 \| 201528333 \| Abdul Haseeb \| Abdul Saeed \| \| 34 \| 201540433 \| Shama ali Raza \| ALI MUHAMMAD \| \| 35 \| 201529505 \| Usama Alishah \| Zarwali shah \| \| 36 \| 201531274 \| Suliman \| nijat Ali Khan \| \| 37 \| 201533391 \| Saad Ali \| Gohar Ali \| \| 38 \| 201542738 \| Kashif Khan \| Zad Bakht \| \| 39 \| 201529228 \| shireen batool \| naqi hussain \| Page2of4 Errors and omissions are accepted. * Serial No. 1-80 are in first merit list (please visit your respective department on 2-3 September 2020) * Serial No. 81 to 100 are in second merit list. (please visit your respective department on 4 – 8 September 2020) * After the deadline of second merit list, admissions will be open to S. No. 101 and beyond based on merit until all seats on open category are filled. (Please visit your respective department 09-11 September 2020) * In case the open seats are filled, then the remaining applicants will be given opportunity to get admission on self-finance basis provided the department is running self-finance program. (Please visit your respective department 09-11 September 2020) Merit List for BS Environmental Science – AWKUM Garden Campus \| 40 \| 201542285 \| Masood Ali Shah \| Said Ali Shah \| \|---\|---\|---\|---\| \| 41 \| 201532963 \| Sohail Khan \| Bahadar Khan \| \| 42 \| 201535446 \| Muhammad Ghasim \| Said Qamash \| \| 43 \| 201539959 \| MUHAMMAD KASHIF \| HAMID KHAN \| \| 44 \| 201532992 \| SAYYAD SANAN BACHA \| SAYYED MUHAMMAD ARIF \| \| 45 \| 201529801 \| Sami Ullah \| Abdur Rahim \| \| 46 \| 201539152 \| Annas Jamal \| Nasir Jamal Paracha \| \| 47 \| 201528026 \| amir zaman \| kishwar zaman \| \| 48 \| 201528398 \| amir zaman \| kishwar zaman \| \| 49 \| 201528524 \| amir zaman \| kishwar zaman \| \| 50 \| 201538640 \| Zeeshan Naseer \| Naseerullah \| \| 51 \| 201538900 \| Shah Fahad \| muhammad ikhtiar \| \| 52 \| 201536196 \| Abdul Sammad \| saeed muhammad \| \| 53 \| 201535012 \| Hazrat ullah \| imtiaz Ali \| \| 54 \| 201538043 \| Faiqa \| Akbar Hussain \| \| 55 \| 201529029 \| Ibrar Sardar \| Sardar Ali \| \| 56 \| 201529843 \| muhammad qasim \| falak sher khan \| \| 57 \| 201539809 \| Muhammad Anees Rauf \| Fazal E Rauf \| \| 58 \| 201539648 \| Nazish Ahmed \| Jamil ahmed khan \| \| 59 \| 201538536 \| Hilal Khan \| Ismail \| Errors and omissions are accepted. * Serial No. 1-80 are in first merit list (please visit your respective department on 2-3 September 2020) * Serial No. 81 to 100 are in second merit list. (please visit your respective department on 4 – 8 September 2020) * After the deadline of second merit list, admissions will be open to S. No. 101 and beyond based on merit until all seats on open category are filled. (Please visit your respective department 09-11 September 2020) * In case the open seats are filled, then the remaining applicants will be given opportunity to get admission on self-finance basis provided the department is running self-finance program. (Please visit your respective department 09-11 September 2020) Merit List for BS Environmental Science – AWKUM Garden Campus Page 4 of 4 Errors and omissions are accepted. \| 60 \| 201539469 \| abbasahmad kasana \| aurangzeb \| \|---\|---\|---\|---\| \| 61 \| 201530638 \| adil israr \| MUHAMMAD ISRAR KHAN \| \| 62 \| 201538724 \| Haider ali \| Roz muhammad khan \| \| 63 \| 201528433 \| Musawer Khan \| Saeed Khan \| \| 64 \| 201531597 \| Maviz Khan \| Shah Nawaz Khan \| \| 65 \| 201533973 \| Arsalan Ahmad \| Jamil Ahmad \| \| 66 \| 201528412 \| Muhammad Hussamul Haq \| Muhammad Inam \| \| 67 \| 201537039 \| Shehzad Khan \| Masoom Khan \| \| 68 \| 201530132 \| Anees Ur Rahman \| MUHAMMAD DIN KHAN \| \| 69 \| 201534154 \| Abdur Rahman \| Khalid Khan \| \| 70 \| 201529931 \| Mueed Abbas \| Saleem Abbas \| \| 71 \| 201538883 \| Asma Bibi \| Falak Naz \| \| 72 \| 201529358 \| Muhammad Hamza \| Riaz Ahmad \| \| 73 \| 201532523 \| Tauqeer Jan \| Naik Mohammad \| \| 74 \| 201533901 \| UMAIR UR REHMAN \| NASEER UR REHMAN \| \| 75 \| 201533016 \| Aziz Khan \| Nasar Khan \| \| 76 \| 201542273 \| sangeen khan \| Bacha said \| \| 77 \| 201536093 \| hamza khan \| abdul jalil \| \| 78 \| 201540417 \| waseem ul HAQ \| muhammad islam \|
CITY COUNCIL CITY OF NEW YORK ------------------------ X TRANSCRIPT OF THE MINUTES Of the COMMITTEE ON TECHNOLOGY ------------------------ X February 12, 2109 Start: 1:25 p.m. Recess: 4:00 p.m. HELD AT: Council Chambers – City Hall B E F O R E: PETER A. KOO Chairperson COREY JOHNSON Speaker COUNCIL MEMBERS: Robert F. Holden Brad S. Lander Eric A. Ulrich Kalman Yeger COPIC MEMBERS: Clayton Banks Steven Lewis Pauline Toole Dawn Barber Samir Saini Joanna Choi Ben Kallos Jeff Thomas Isidro Medina www.WorldWideDictation.com APPEARANCES (CONTINUED) Jeff Thamkittikasem, Director, Mayor's Office of Operations, MOO Julia Stoyanovich, Assistant Professor of Computer Science and Engineering at New York University's Tandon School of Engineering Julia Lane, Professor, CUSP & NYU's Wagner Graduate School of Public Service Stefaan Verhulst, Co-Founder and Chief Research and Development Officer, Governance Laboratory, NYU Gale Brewer, Manhattan Borough President David Siffert, Research Coordinator, Center on Civil Justice at NYC School of Law Angel Diaz, Counsel to Liberty and National Security Program, Brennan Center for Justice, NYU School of Law Albert Fox Cahn, Executive Director of Surveillance Technology Oversight Project or STOP Sumana Harihareswara, Owner of Changeset Consulting Noel Hidalgo, Executive Director, New York City Civic Technology, Data and Design Andrew Rasiej 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 requests often result in agencies and the Council having no means to access interagency data in an efficient manner. Together, we need to assess how we can develop data sharing policies, cyber security protocols, and proper infrastructure that would allow public access to the data while protecting the identity and privacy of New York City residents. More importantly COPIC look forward to hearing testimony from the public so we can ensure that our government is doing everything possible to use recent advancements in communication technology to further enhance the idea of open government. Today, we hope that the testimony provided by the public will provide the next Public Advocate—it can't happen soon enough—with a road map for the future of COPIC as an independent body that exists to review the city's data policies from the perspective of New Yorkers, the people. I would like to officially the public meeting of the Commission of Public Information and Communication, and at this time, I would ask for a roll call to be taken. It was already taken. We will start. Next, we are going to go to the Chair of the Committee on Technology my friend Peter Koo. I 1 1 1 1 COMMITTEE ON TECHNOLOGY 25 1 1 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 commissioners. My name is Clayton Banks and I'm the CEO of Silicon Harlem. I've been appointed by the five borough presidents to represent the citizens of our city, and for me COPIC provides not only the governmental transparency, but also our mission is to really provide public access to the information that this city generates. I’ve been hearing the word data a lot, and I'm—I'm probably conferring on them saying that data is not our core mission. Our core mission is to make sure that our data that we are collecting is transparent to the public. One statistic everyone in this room should know is that like Ben Kallos knows 50% of people in East Harlem do not have access to broadband and in a lot of ways don't have a computer in their home. So, communication to that public is really important and COPIC has a great role to play. A great example is—of transparency is when the great President Brewer came here and—and talked about casting and webcasting and all of this is also people with different abilities whether they're blind or deaf or anything else, and so there’s a—a great responsibility that COPIC has beyond data. It's the human beings that we really concerned—are concerned about and their ability to understand what's happen 2 3 4 5 6 7 8 in the city on a day-to-day basis. Finally, I'll just simply say I'm proud to be a part of this Commission. I'm proud that I'm representing all of the boroughs, and I think it's probably the most vital thing we can as a city is to make sure that everyone has access and exposure to what's happening here. Thank you. 9 10 11 SPEAKER JOHNSON: Thank you very much for that—this is very wonderful. Anyone else want to make remarks before we go to the panel? Yes sir. 12 13 14 15 16 17 18 19 20 21 22 23 24 25 ISIDRO MEDINA: Good afternoon. My name is Isidro Medina. I'm Executive Director of the Washington Heights BID, and also Executive Vice President of Community Board 12. I am very confident that corporate can overcome a lot of the problems and challenges we face ahead. I do hope, however, that all information and—and all technology be accessible to communities that have been only neglected and are ignored. So, I'm looking forward to work with this Commission. SPEAKER JOHNSON: Thank you, Mr. Medina. Thank you very much. Anyone else who would like to make any remarks? We've—we've also been joined by a member of the Technology Committee Council Member 25 1 COMMITTEE ON TECHNOLOGY 2 light is on and you speak closely and directly and 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 Identify yourself. PROFESSOR JULIA STOYANOVICH: Alright. So this is our collective pleasure to be here. Dear Speaker Johnson, Chair Koo and members of the Committee and Commission. The data revolution is transforming every sector of science and industry, but has been slow to reach local and municipal governments that deliver vital human services in health, housing and mobility. The opportunities of data drive algorithms this is making in urban context have long been recognized. Evidenced by the remarkable progress around open data, the digital— digitalization of government records and process and Smart city efforts that emphasize using censors to optimize city processes. Despite this progress, the public sector is slow to adopt data driven technology for two related reasons both highly relevant to the topic of today's hearing. The first reason concerns the legal and technical difficulties inherent in the sharing of sensitive data both among government agencies and with externa entities. The second reason is the government's mandate for responsibility meaning that any decision made by algorithms will 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 informed to some extent by my work on the ADS Task Force are my own, and do not represent the view of the Task Force. My testimony will be complemented by statements from my distinguished colleagues, Julia Lane, Professor at the Wagner Graduate School of Public Service at NYU; Stefaan Verhulst, Co-founder and Chief of Research and Development at Gov Lab, an action research center at NYU. I would like to make three points. The first is that establishing a robust and flexible data sharing infrastructure should benefit multiple stakeholders. The second is that there is a continuum of data sharing modalities that range between open data and the secure data clean room environment and this continuum needs to explore as part of infrastructure design. Third is the developing the data sharing infrastructure will require technological innovation buy-in from city stakeholders and public engagement. To my first point government agencies, one of the stakeholders needs to share data to make decisions more effectively and to enact policy and coordination. Regulators, of course, need access to agency data for purposes of oversight. In both cases much of the data is sensitive, and so is legally encumbered. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 This data if it contains personally identifiable information or is anonymized, but will not guarantee privacy when linked with other data. Equally as importantly the public needs access to data in support of algorithm transparency. Recent reports on data driven decision making under score that fairness and equitable treatment of individuals in groups is difficult to achieve, and the transparency and accountability of these processes in government is indispensable but rarely enacted. As a society, we cannot afford the status quo. Algorithmic bias in administrative processes limits access to resources for those who need those resources most, and amplifies the effects of systemic historical discrimination. Lack of transparency and accountability threatens the democratic process itself. New York City's ADS Transparency Law initiates and meaningful responses to these threats, and other U.S. municipalities are watching and are likely to follow with similar laws and recommendations. Of utmost importance as this happens is recognizing the central role of data transparency in any algorithmic transparency framework. Meaningful transparency of algorithmic 1 1 COMMITTEE ON TECHNOLOGY 25 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 SPEAKER JOHNSON: Thank you Professor. Professor Lane. PROFESSOR JULIA LANE: Hello, Chair Koo, Acting Public Advocate Johnson and members of the Committee and Commission. So, I'm delighted to be here. Thank you for having us speak. I think like my colleagues, I would like to make three key points and I'll make them as during this discussion. The key points are essentially that the way in which government does business has lagged behind that of the private sector. In the private sector the—the largest businesses are now businesses that produce data not things, and yet in the public sector unfortunately our ability to use and produce data has been not kept pace, and think there are there three reasons for that. One is that the technology to—to share confidential data across agency and jurisdictional lines does not—has not been fully exploited. The second reason is that the workforce capacity within government agencies has not kept pace with the needs of using the data, and the third has been that our ability to produce measures that are valued by the community that the governments serve has similarly lagged—lagged behind. So, in each one 1 COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 areas as I said: Technology, workforce, community engagement. On the technology side the federal government has actually invested substantial amount and indeed worked with us to develop an Administrative Data Research facility, the Fed Ram procedures that enable the secure sharing of government data being accepted, and are being used by government agencies across the country and indeed New York. The—so many of those technologies, as my colleague pointed out [bell] have been used. The second piece is building the workforce capacity to join data across agency lines. It—90% of the work is not just getting the data, but it is people understanding how to link the data where the errors can be made to algorithmic decision making that they're an issue, but also making a million decisions about how to handle what turns out to be very dirty data, and that needs to be done by the agencies themselves, the staff in the agencies themselves because they're cold face. They're the ones who have to deliver products that have value to their constituencies. They understand the pluses and minuses of different sets, and they're the ones who have to at the end of the day work across agency 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 already been address, but what I will try to focus on are four questions. The first question is: Why should New York City care about data? The second question that Ill try to answer and focus on is: If you build a data sharing infrastructure, will they come. The third question that I will try to focus on is: What about private data instead of an—an addition to public data? And then the last question, which is there's a question that might have already been answered is: Is technology the solution? As mentioned, my name is Stefaan Verhulst. I'm the cofounder of Gov Lab, which is an action research center based at New York University, and I'm also a resident of New York City for the last 20 years in Park Slope. The first question is: Why should data be imported for New York City, and has already been answered by the mandates because of government transparency, but what I would like to argue, which also has been mentioned before is that data matters more than just government transparency. If used responsibly, data can transform the way we operate as a—as a city government, and can also transform the way the city is managed specifically because of four reasons. One, data provides for a better 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 situationally analysis. Two, data allows us to understand cause and effects such as for instance we would understand why certain vulnerable populations are more like to—to get harmed. Three, data allows us to also make predictions so that we can be more targeted. So, it's actually investing and preventing certain kinds of events of happening; a fourthly, data also allows us to assess the impact of interventions in a far more superior manner Now, those four value propositions are common to many of the members of those commissions, but they are not well understood by many city officials and people working within government. And toward that end, what we would recommend is to really provide for an urban evidence-based within the city on how the city has used data and can use data moving forward so that this becomes a movement around calling for more data in order to ultimately change the way we govern. And secondly, we also would recommend not just to have a directory of datasets, which is essential, and it's very important that this committee has advocated and implemented a transparency in regard to the data that is being held, but we also advocate a directory of expertise within the city that ultimately would 1 COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 understand who can help? If there is a clear value proposition, what is the expertise that is distributed across the city with regards to data science and with regards to the understanding the value of the data. The second question that I would like to—first is if you build a data sharing framework or an architecture, will they come? And obvious I guess many of you can guess the answer to that: Not necessarily because to a large extent, and this is lessons that we've learned from open data as well and at Gov Lab we've done a little assessment of the value of open data infrastructures is that ultimately you need to establish a demand side for the infrastructure that you're building, and too often we are building an infrastructure without really understanding what is the demand, what are the use cases. And quite often at Gov Lab we made the joke: It's great to have a 100 datasets. What I really would like to have are 100 questions that matter that if answered through the data we would make progress. So my recommendation would be to—for every agency to at least list 10 questions that they are trying to answer, and then then subsequently the data can be released or made available in a secure 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 manner to start answering those questions so that you—next when you have a committee meeting you can actually see these are the 100 questions that if answered, New York City would be better off. The third question is what about the private sector? And clearly, much of the data that is being collected and generated these days does not reside within the public sector, and so for the last three years we've been trying to understand how can you also unlock private sector data for public good? And this is the work that we've done within the concept of data collaboratives because clearly this is a different proposition than open government data, and to which that end, you really have to start looking at new kinds of public/private partnerships, which we call data collaboratives. So, my recommendation to the committee is to really understand how can you establish city data collaboratives? Many cities around the world are looking to that question, and really trying to understand how can you engage the private sector whether these are telephone operators, whether these are banks or whether these are transportation companies, how can you engage them around the data to understand the city better and 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 actually improve the city? This also requires a new 1 1 COMMITTEE ON TECHNOLOGY 25 are a lot of folks that have questions. So, we're 1 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 ago in my district a driver killed two young children, and what quickly happened, it was quite remarkable. It happened on Twitter that—I mean we were all heartbroken and thought of this as some sort of just awful, you know, accident. What quickly transpired on Twitter is that data researcher kind of in is spare time name Brian Howald tapped into the city's databases for the right light and speed camera violations, and found that the driver or, you know, he had the license plate of the car--because in this case that's what we have is from the red light and speed camera—that she and the preceding year had had five tickets from these red light and speed cameras. So, in fact, there was some potentially predictive data on her reckless driving that we might have done something with. Actually, she had also be in hit and run in Queens. That actually was a paper report sitting in a file drawer in a Queens Police Precinct. You know, that data doesn't happen to be online at all. It turns out that her doctor had told her not to drive, something which was not available—private data that was not available, but became, you know, available subsequently. We never saw insurance records, of course. Brian then asked or a ``` 1 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 STEFAAN VERHULST: Yes. Well, I think it's a very interesting case study. Thanks for sharing and I think as it would—I think it would be very useful to—to use it as a case study on how data could be on the one hand potentially beneficial to prevent accidents of happening, but also those will raise a huge amount of ethical questions because the moment you enter personal profiling, then you automatically enter, of course, a domain that might generate harm in addition to positive benefits. So, one way to think about it is to (a) be transparent about what the current state of the project is. Also be transparent in regard to future intentions, and then engage with, which was already mentioned, citizens around what is the views with regard to what is appropriate. It doesn't mean it's legal, but it's appropriate, and-and I think we do have to start understanding this kind of thin line between what would be beneficial. Now, clearly there is a potential to work with the private sector. Whether that means that it leads to personal profiling that would be a red flag to me, but it could also mean we actually have aggregated data sets that provide for a better understanding on what for instance 2 3 4 5 6 intersections are more likely to generate certain kinds of reckless behavior. When this reckless behavior happened, is it after the Super Bowl and—and if so, should you have a—a public campaign to actually limit that kind of behavior. 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 COUNCIL MEMBER LANDER: And I want to push you a little here because we've actually done a lot to figure out what intersections are unsafe, and we have not yes done anything to figure out which drivers are—are unsafe, an the data, you know, it turns out that 80% of people if they get one of these tickets never get a second, but a small percentage of people get so many that they're driving like sociopaths, and we better have a public policy intervention. So, I agree with you. Look, I'm a big advocate of data privacy, but this is just a really interesting example for of like on the one hand, yes to data privacy, and on the other hand, if you blow all of our, you know, like that's public data because we had to give you a ticket and send it to you. So, so I think you're right that we need to involve the public in setting the ground rules, and I don't know that we yet have a good way of doing that, but I also, you know, it's an interest challenge to balance 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 COMMITTEE ON TECHNOLOGY appropriate data privacy with the public's interest in, you know, saving lives in this case. STEFAAN VERHULST: Yeah. Thank you. PROFESSOR JULIA LANE: So, this may come as a shock to you, but I’m not originally from New York. [laughter] I'm acquiring the accent, but it's been slow I have to say. I’m originally from New Zealand, and in the New Zealand we built and integrated data infrastructure, which actually combined a lot data from—from different government agencies. So, a similar problem. When you take a look at crimes that are committed, you--there are a lot of events that you can seen in a child’s history. So, you can pretty much predict by the time the kid is 18 a type of what he’s—of committing a crime, too. So, now it goes to your—to your driving example. So, obviously, prediction is not destiny, and that’s where the ethical issue comes up. So, there—there are several points of discussion that we have baffled with or-or the policymakers in New Zealand have grappled, with which policymakers in New Zealand have grappled. One is a simple resource allocation decision. So, the kids who are at a high risk of offense and, you know, they make—New Zealand is a 1 2 3 4 5 6 transparency, for example, where we can, you know, look at sensitive data and release a medium summary that is spatial still to the dataset yet is privacy preserving and where the public can have access, that's another set of methods yet. 7 8 9 10 11 PROFESSOR JULIA LANE: And the since Spyro, which is where I have my closest affiliation has poured tens of millions of dollars a year, and interests has pulled tens of millions of dollars a year. 12 DAWN BARBER: Sure, year. 13 14 15 16 17 18 19 20 21 22 23 24 25 PROFESSOR JULIA LANE: But those investments can be built on. [cellphone chime] DAWN BARBER: Yep. SPEAKER JOHNSON: Do you have anything? Is that--? Okay. DAWN BARBER: Thank you. SPEAKER JOHNSON: Great. Thank you very PROFESSOR JULIA STOYANOVICH: So, I can DAWN BARBER: It's good for us to have SPEAKER JOHNSON: Mr. Banks. much. give you it. 1 1 COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 extent. And so having a data life cycle approach would be my first recommendation that you don't focus on one element because ultimately the risk is across the life cycle. Too, oversight is always so very important with regard to acquiring and—and instigating certain behavior, but ultimately coming back to my last point of my testimony, this is a cultural issue. And so, you want to instigate a culture, a data culture that is responsible across agencies and across city government because if you only rely on oversight, you might actually miss the opportunity to really have certain kind of data responsibility culture from day one, and that would be an additional kind of focus that I would recommend. 17 18 19 20 21 22 23 24 25 PROFESSOR JULIA LANE: So, you can gather, we're for once all free of this and completely on the same page, but—but the fundamental notion, which I think you highlighted is that at the core any use of data, there's a tradeoff between the risk and the utility. You know, any time—any time you work with data there is a risk of it being misused. There is a risk of re-identification. There is great utility associated with data, and I 2 3 4 5 and the Commission that, or any oversight mechanism should not only be about the risk of using, it should also be about the risk of not using, and that will provide for a more sophisticated assessment. 6 7 PROFESSOR JULIA LANE: In the form of dead children. 8 9 10 11 12 SPEAKER JOHNSON: Thank—thank you all. We're going to have one final question for this panel, and then our great Manhattan Borough President is here. So, we're going to go to Commissioner Saini for the final question for this panel. 13 14 15 16 17 18 19 20 21 22 23 24 25 SAMIR SAINI: Great. It's actually two questions. Then I'll be—I'll be quick. So, first off I—I just want to thank you for your testimony. I have a deep respect for—for the work you do, and as well just hear in your testimony appreciation for and—and for what your seeking, what—where you believe we need to be, right as a city to improve how we share, right and utilize data. So, that's the first point. A couple questions. So, first is in terms of NYU, right and yourselves and your students utilizing this modern data platform, how do you see that working? You know, when I—when I look at your recommendations a lot of this is around the need for 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 accomplish all the things that you had described and— and more. A lot of this is laid out in a 10 point plan for my agency that's online and—and more information around that is going to be published. So, I just wanted to make that aware to the—to the—to the panel, and—and to the public. The question is or the request I'll say is that we're seeking—back to the point around people and the need. This isn't just about technology, right? It's about having the right people within city government that can support the plumbing of these—I'm simplifying this—but the plumbing required right to support this highly complex data—data infrastructure, data platform, data sharing infrastructure, and the analytics, right, as well to produce insights that can improve quality of life. The request is can we seek to partner with NYU and not just NYU, but quite frankly several other universities, to do joint research projects to bring in interns in the data science space both on the heavy technology side, which is mine, and then I would imagine the same with—with Jeff and MODA and Kelly who is fantastic, right, the Chief Analytics Officer. 25 MALE SPEAKER: I'll take them, too. 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 SAMIR SAINI: And there is another request. So, you know, this—this is a team sport here, right, and the intellectual property knowledge right within—within NYU and other universities is something I think we can benefit from if we structure formal—formal projects, formal relationships and—and I'd love to help to advance that. PROFESSOR JULIA LANE: So, two quick things. One is yes I'm very aware and obviously MODA and the work that it has done is terrific. The—there are limited to having just city data sharing because people are mobile. So, if for example, I want to look to the return to investment in education, I can't do it with all due respect with New York City data. I need to be able to look at New Jersey data and Connecticut data in turn because—so you've got to have a platform that will go across state lines, and that was one of the reasons why we built the ADRS, and the ability for example for Illinois to be able to look at Indiana and Missouri data and see what's happening, the flows of—of welfare recipients across state lines is critical. And so, you need to be able to look much more broadly than a city agency. The second thing is with—clearly there are lots of 1 25 COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 about: Government transparency. COPIC could be restructured and resourced to develop strategies to safeguard open data platforms and the philosophy of open access. The restrictions of public information and its distortion and misuse for political purposes at the federal level should alert us of the dangers that could occur locally if we're not careful. The current degree of open data and access to government information was inconceivable in '89, but in the future we can reimagine the structure and the role of COPIC. It should be funded for a functioning website to ensure the public remains informed on data issues and try to get some of the back material. It should have a full-time staff that can inform and at the vision of the members, and I want to thank the Speaker as the acting Public Advocate for bringing us together to do exactly that, and hopefully COPIC will meet quarterly if not more often. When Mayor de Blasio was the Public Advocate, COPIC met rarely. I was the one who bugged the dickens out of him to get to meet—meet at all. As Public Advocate, de Blasio felt that any meaningful activity and the agenda items that COPIC initiated would not be able to be successful if staff was not in place and it needed 1 1 1 25 25 2 3 4 5 6 7 8 GALE BREWER: Well, I mean I think obviously you and will probably share that the mayor doesn't have to control everything. So, I would suggest that there would be fines that have the mayoral outnumbered, but what I'm also stating is you need to have people who have a specific expertise if you're going to do that. 9 COUNCIL MEMBER KALLOS: Thank you. 10 11 CHAIRPERSON KOO: We have Ms. Barber GALE BREWER: I love Dawn Barger just so 12 you know. 13 14 15 16 17 18 19 20 21 22 23 24 DAWN BARBER: [off mic] Yeah, me, too, President Brewer. [on mic] I just wanted to say, Gale that I just fully—I—I fully support you in this. Thank you for saying that, and—and as I recall from my last COPIC meeting, it's the staff issue. I could not be more supportive because as much as we h hear from these wonderful professors, all this infrastructure stuff is supper important, but even if we get to the point where we can afford to adapt and adopt new technologies, people are the ones who have to run it, babysit it, take care of it, make it's responsible for the people of our city, and doing 25 2 3 4 5 COMMITTEE ON TECHNOLOGY what it's supposed to do. So, that's all. I'm just fully supportive of President Brewer as usual. GALE BREWER: Thank you Dawn Barber. CHAIRPERSON KOO: We have Jeff 6 Thamkittikasem. 7 8 JEFF THAMKITTIKASEM: [off mic] Thank you Madam President. 9 GALE BREWER: Nice to see you. 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 JEFF THAMKITTIKASEM: It's great to see you, too. Thank you. I actually am really just interested in this comment about how can we really figure out a way to kind of reconfigure COPIC, but also keep it, you know, as you've said abreast of the times because I think as Professor Verholst said, there's a lot also about culture, and what people are willing to receive and participate in, and as we kind of go through, there are technology changes, but also to at least, you know, voice the opinion of the mayoral side of this, and a lot of operational agencies are trying to figure out what they can do while not disrupting what they are doing. And I just wonder from a process standpoint do you have any recommendations on how we can stay abreast of the times in that way? COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 GALE BREWER: Well, I meant, you know, having been to the—many meetings of the ACCOs or people who are the tech folks in the different agencies, and, you know, going with Allan Lightner everywhere he traveled. For those who knew him, he's been around for a long time. I think the issue is because technology changes so fast, having an outside voice it's not confrontational, but has the best of the city in mind and the city agencies in particular to have some outside ways to bounce off ideas would be helpful. I have to say, you know, within your agencies there's a lot of expertise. We know that, but sometimes they feel a little crushed. I'll be honest with you having spoken with them on a regular basis, and I think that for them, too, to have a place to bounce off ideas would be helpful. So, it's-it's intra-agency is greatest. As much as DOITT is doing and as much as MODA is doing, those agency folks because things change so much. Nothing changes in housing. There's not one damn thing that I have learned in 30 years in housing. I can promise you, but in technology it changes every minute. So, it's a different type of—if coming together than would—you might with supportive housing or some other housing 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 group that's going to just try to build. But in your case, there will be 100 different things in five years, as you know, and it's hard for the agency. So, as big as they are to keep up, you know, just the small thing that we've been talking about for a long time on procurement. You’re trying to fix that. JEFF THAMKITTIKASEM: Yes. GALE BREWER: But if you had some other outside entity that was supportive, but more innovative, then maybe that could help in terms of the innovation for procurement for instance. That’s just one example. I know you have many others, but that’s the one that I’m—I’m familiar with. The private sector obviously DOITT talks of them, MODA talks of them. You go to a million different conferences, but to have a group of people, you know, selected by the mayor, selected because of their expertise to be able to, you know, carry your message so to speak or to come up with some innovative ideas, I—I think it would be very helpful. This is a—I mean I was eight years I think Chair of Technology from 2002 to 2000—towards the end. It changed so much, you wouldn’t even know you were in the same hemisphere, literally. And when we started out, we had no 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 ensure that data biases are minimized. Many of the speakers here can better explain the excellent uses for data in government and out legal system or about the dangers to our privacy or about the risks of algorithm bias. Some may have answers and policy prescriptions for how to use the data or how not to use the data, and how to regulate the use of the data. I have one very simple proposal, and I would just like to highlight one thing to help navigate DASILA and CARIB as they're discussed and its education. The Center is currently working on educational programs for lawyers and judges to teach them about data, algorithms and automated decision making especially as it currently exists in the civil justice system. We hope to teach about what data is available, what is not available, what is appropriate to use in what context and how to use it responsibly. But the use of data in New York City extends far beyond the legal profession. The city needs to make substantial efforts to increase statistical literacy across the board. Of course, those in city government who already handle data need to understand concerns about privacy and bias and those in government who don't already work with data still 1 1 1 COMMITTEE ON TECHNOLOGY ``` 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 with the NYPD to obtain information about Predictive Policing Program. These systems rely on algorithms to analyze large datasets and generate statistical estimates about crime, which are used as direct police resources. Predictive Policing tools have been roundly criticized by civil liberties and civil rights advocates as they often rely on historical crime data that both reflects and recreates decades of biased enforcement against communities of color. In addition, there is little consensus that Predictive Policing is actually effective in predicting and reducing crime. There's a common refrain that Predictive Policing predicts policing. It doesn't predict crime. Despite these efforts, Police Commissioner—former Police Commissioner Bratton and Mayor de Blasio announced in 2016 that the NYPD client will spend $45 million Predictive Policing Technologies over the next five years. We believe it's critical for the public to know more about the department's existing systems or any future versions of them, and we, therefor, filed a public request in July of 2016 for a range of documents that would shed light on the NYPD's Predictive Policing efforts including the information about what type of ``` 1 COMMITTEE ON TECHNOLOGY ``` 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 during a protest in 2014. In short, there is a serious need for mandatory transparency and oversight when it comes to the NYPD to ensure that the department is disclosing records and other data that the public should be entitled to access. This is why the Brennan Center is calling on this Committee and COPIC to support the Post Act, a bill that was reintroduced by Council Member Gibson, and is cosponsored by Council Member Lander of this committee. [bell] The Post Act would require the NYPD to publicly report on the surveillance tools that it uses and describe the rules it has for using them. Although the NYPD may not wish to discuss the surveillance tools they use, a strong local democracy like New York City requires at least a basic level of information about what its local police is doing and how their doing it. The Post Act is carefully balance to achieve transparency and accountability while avoiding the disclosure of operational details that might compromise police investigations of harm public safety. In an increasingly data driven society it is important that our elected officials do not let transparency fall by the wayside. We commend this committee for addressing this important issue ``` 1 COMMITTEE ON TECHNOLOGY 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 and urge you to support measures that empower the public to hold the NYPD accountable. Thank you again for the opportunity to testify today. I'm happy to answer any questions. CHAIRPERSON KOO: [coughs] Thank you, yeah. Mr. Banks has a question. CLAYTON BANKS: Thank you and thank you for your testimony. It really resonate with me. [laughs] So—but I'm going to bite on Andrew Rose who's sitting in here. He may be making a testimony. I hope I don't get ahead of you, but one of the things he talks a lot about are terms and conditions when it comes to anything you sign up for, and he makes the point that many of us just hit the agree. I'm curious if within your work, have you analyzed that? Because what I'm hearing from a lot of those— for a lot of us who do data, you know, at the end of it we say oh, here's your terms and conditions, which we don't read. So, it ends up they can use our data any way they want. I'm curious if any of you have done any research around that? DAVID SIFFERT: So, I—the Center on Civil Justice hasn't actually done any work on that. So, I can't speak for the Center on the issue. I will say 1 COMMITTEE ON TECHNOLOGY 25 25 1 COMMITTEE ON TECHNOLOGY 25 1 1 1 1 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 COMMITTEE ON TECHNOLOGY resident to even find out anything about COPIC that it exists. It seems a bit of phantom kind of like the G Train used to be, and it would be nice, you know, once we get an non-interim public advocate right to have the names of the Commission members listed in a somewhat easier way because all of you seem like excellent people, and we ought to be able to know that you're defending our city. Second, the ADS Task Force there an extremely bare bones website, and I'm appreciative of every pixel that's on it, but it would be wonderful if there were a little bit more information about whether there's any kind of interim timeline between and when they're actually going to deliver thee recommendations, and now less than a year. I understand there's a feedback for where I as a resident can, you know, punch them in, go right in there and that's great, but are there going to be any public hearings? It would be nice to know, and I figure the folks in this combined session might be among those who could—who could ask that more effectively than I could. And third, the Open Data Portal. New York City's Open Data—Open Data Portal. I have a question I'd like to answer, and that is what are the A, E, D deserts in New York City? Let 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 1 1 1 1 2 3 4 5 6 7 8 9 10 11 12 13 happened. The Council in the last few years has expanded AED legislation. So, we've gotten it in the hand of Little Leagues across the city. There was a staff member here whose son nearly died three years ago because he was hit in the chest with a baseball in Central Park, and if there was not an AED on site the doctor said that he would have died. He as 16 years old at that time. So, I'm proud of the work we're doing, but as you said, we need to ensure that public knows where the AEDs are and that it's easily findable, searchable and relatable for people who need it most. 14 15 16 17 18 19 20 21 SUMA HARIHARESWARA: Absolutely. There was a—in follow up to that law in 2005, creating this AED registry there were actually five follow-up reports each subsequent year for five years, and I got those DOHMH since they weren't on NYC.gov and those would be right for analysis to see if there's any refreshes that need to happen in general for a policy lever for PAD. 22 23 24 25 SPEAKER JOHNSON: I mean this points to I think a much bigger question that we have been looking at over the last year and probably before I was Speaker, which is we pass all sorts of reporting 2 3 4 5 6 COPIC is one question and the other is you refer to, which every one is going to need governmental resources. Do you have any idea of what you're thinking about and how this should be resourced properly? 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 NOEL HIDALGO: Thank you and it's been an honor to work with Silicon Harlem. So we've—Beta NYC has stepped into a void where COPIC should have been in regards to educating the general public around public information and giving technology guidance and also research. This is what we've been able to do as a small group of dedicated full-time staff members. In no way, shape or form is Beta NYC replacing COPIC. We're only kind of articulating and standing in that place. We actually think that MODA is one representative of COPIC functions. The series of pieces of legislation that we've gotten past really speaks to the Public Data Directory, Charter Amendments or the—the parts in the Charter for COPIC, the Open Data Directory. MODA has successfully been able to accomplish that in the seven pieces of legislation that we've gotten past that are interlocking fulfills that. There's another part of COPIC that's really missing and that's around the 1 COMMITTEE ON TECHNOLOGY 25 1 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 private sector and not just by government. Our subways sometimes even tell us when they're arriving and Easy Pass is essentially eliminated lines to pay tolls in bridges—at our bridges and tunnels. Our schools are now wired with Broadband, and thanks to funding by the Manhattan DA, the police officers that—of our city now carry Smart Phones, too. But procedures to provide standardized—but—I'm sorry. But unfortunately such innovations are few and far between. City agencies do not have procedures to standardize data. There are few resources to train city workers in digital skills to help them do their jobs much less learn critical cyber security procedures to keep our city safe. The city still maintains much of its data in siloed physical data center wasting millions of dollars on physical infrastructure that is also costly to maintain and power. While the rest of the world is designing and driving Teslas, New York City Government is still driving a 1985 Pontiac. It doesn't have to be this way. New technologies offer the New York City opportunities to transform our city into a more efficient and effective and responsive place. I'm sure everyone in this room and everyone who isn't ``` 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 the Office of the Mayor, Comptroller, the Public Advocate along with advisors from the private sector and potentially former government officials to research what the city can do to upgrade its proficiency and the use of information technology. If the goal of this hearing is to discuss ways the city could increase government transparency, the public access to government information, protect the privacy of New Yorkers and facilitate the data sharing by government agencies, the prerequisite is for the city to develop just such a plan. As well meaning and thoughtful as the other recommendations being offered here today may be, they will be not likely to succeed if a strategic plan develop—they will be more likely to succeed if a strategic plan is developed particularly with a non-political perspective with the support of the private sector and other advisors. I'm almost finished. Today, if I was the Public Advocate—-by the way I'm not running again just to be clear--[laughter] the idea of building a network for all the city's public advocates connected by WiFi and Broadband would not only be believable, but it would also be possible. What our cities needs now more than anything else to ``` 2 3 4 5 6 face the challenges and the opportunities of the inevitable technological future is having leaders who have a vision and a will to change the way the city works. If not now, when? And if not you, who? Thank you very much. 7 SPEAKER JOHNSON: Thank you Andrew for 8 9 10 11 12 13 14 15 16 17 18 being here and for all the advocacy that you've done for a very long time being so far ahead of the curve on so much of the conversation that we have to have. Is there any—Mr. Banks. Clayton has a question? Anyone else? The Commissioner yes. CLAYTON BANKS: Andrew, you talk about a strategic plan. How inclusive do you think that could be really? I mean is it—is it—were you looking at the communities? You're looking at five boroughs. You're looking at people feuding with the land use? Like what—how big can this be? 19 20 21 22 23 24 25 ANDREW RASIEJ: Well, I mean the—the make up obviously has to make sure that it reflects the diversity of our city. Diversity not only of where people—people themselves, but also of industry. But to be honest, I've been advocating for a strategic plan for the city of New York's technologic— technology for a really long time. I tried to 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 2 3 4 5 6 7 8 map so that we don't have to have hearings like this. Because this kind of hearing has been happening for 20 years, and it's time for us to step back and finally structurally change the way the city approaches technology. Not as a slice of the pie, but actually as the pan that supports the entire city of New York. 9 SPEAKER JOHNSON: Thank you. 10 Commissioner okay. 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 SAMIR SAINI: Great. Thank you for your testimony. I just wanted to sort of answer that last question that you made, which is if not now, right, when? Well, the time is now, right and then who is me and my agency in close collaboration with City Hall the Mayor's Office on Data Analytics with the CTOs Office, with the CYBER Team, with the agency's CIOs and Commissioners. This happening right now. So, very soon I think I mentioned earlier we had released—DOITT had released a 10-point plan. One of those points—all of those points really driven around long-term strategic goals that we want to attack to leverage technology to improve quality of life. Part of it is about tools to enable agencies to do that— to—to play that role and part of it is DOITT itself 1 1 COMMITTEE ON TECHNOLOGY 25 CERTIFICATE World Wide Dictation certifies that the foregoing transcript is a true and accurate record of the proceedings. We further certify that there is no relation to any of the parties to this action by blood or marriage, and that there is interest in the outcome of this matter. Date____March 15, 2019_______________
Paper ID: 3061901 International Journal of Science and Research (IJSR) ISSN: 2319-7064 ResearchGate Impact Factor (2018): 0.28 \| SJIF (2018): 7.426 Burden and its Associated Factors among the Caregivers of the Older Adults Bharathy .R 1 , Dr. Shirley David 2 , Meenakshi Sekar 3 , Sophia Vijayananthan 4 1M.Sc.N., RN. RM. 2Ph.D., M.Sc., RN. RM. 3M.Sc. N., RN. RM. 4M.Sc. N., RN.RM Abstract: The elderly population in South Asia is growing. In India trained caregivers are scarce and culturally not accepted and also cannot be afforded by the majority of the population. The burden faced by caregivers undertaking caregiving responsibilities may affect their health. This study aims to determine the burden and its associated factors among primary caregivers of older adults based on caregiver's socio demography, experience and older adults dependence level. A cross-sectional study involving 100 caregivers of older adults was conducted at a tertiary care teaching hospital in south India. The Barthel's Index (BI) of Activity of Daily Living (ADL) scale was used to assess the degree of physical care required by the elderly. Caregiver Burden Inventory (CBI) Scale was to assess the level of burden of caregivers and the associated factors of burden were assessed by a questionnaire developed by investigator. Descriptive statistics was used to determine the socio demographic characteristics of caregiver and the level of elderly dependency. Of the elderly, 45% suffered medium to high range of functional disabilities, 23.0% were partially dependent and 28% were independent. Among caregivers 89% experienced low level of burden and most were in the domain of time-dependence followed by physical and emotional burden. Caring for elderly with greater functionally dependencecare was significant for care givers burden. It showed that caregivers had physical strain especially in relation to lifting, ambulating and meeting toilet needs of older adults. There was a significant relationship between the age of older adults with Physical, emotional, financial and social domains (p=0.042, 0.030, 0 .015 & 0.005 respectively). Most of them faced financial crisis to meet the health needs of the older adults. They were disturbed emotionally in relation to poor prognosis and fear of losing the loved one. It also lead to sleep disturbances among the caregivers and was significant with high burden (p=0.038). Results highlighted that the health care provider should consider these factors when planning interventions to alleviate the burden of caregivers of older adults. 1. Introduction - To determine relationship between patient's functional ability, clinical profile and caregiver burden The older adult's population of South Asia is seeing an unprecedented rise. According to WHO, 2013 data 6.5% of the population is elderly and the total population was expected to be 7.2 billion in mid-2013.It is expected to increase by almost 1 billion in next 12 years and will reach 8.1 billion in 2025, 9.6 in 2050 and 10.9 by 2100. The number of older adults in the developing countries has been growing at a phenomenal rate. By 2050, 80% of world's older adult's population will live in developing countries with China and India contributing to over a third of that number. Caregiving of the older adults has long been identified as a source of stress and burnout. The emotional and physical strain, besides perceived negative impacts due to caregiving can take many forms such as frustration, anger, guilt, loneliness and exhaustion. It can predispose caregivers to deteriorating health, helplessness and social isolation. It also states that caregiving becomes a burden when the elders have multiple chronic illnesses with functional disability leading to total or partial dependence on the caregivers. The researcher with hers experience in the Geriatric ward has observed many caregivers of the older adults and witnessed the problems they face. Caregivers are hidden patients who need support from the health personnel for their physical, social and emotional needs and problems. This has triggered the need to study the burden of caregivers in detail so as to help them and sensitize health care personnel towards their unique needs. Therefore this study was done with the following objectives: - To find association between selected demographic variables, associated factors and caregiver burden 2. Methods Design and Sampling A cross sectional descriptive study was adopted for the study. The study was conducted among the primary caregivers who were the relatives of older adults and had been providing care continuously for minimum period of 2 months.Simple random sampling technique was used to include the100 primary caregivers from medical wards and geriatric outpatient department. Data collection instrument Part A- Socio demographic data of caregivers Part B- a) Sociodemographic and clinical profile of the older adult b) Barthel index scale. Reliability with Cronbach alpha of 0.92 (Mahoney F. Barthel D (1965). Part C-Caregiver burden inventory A multi-dimensional questionnaire consists of 5 subscales with 24 items. Internal consistency & reliability of each domain is .85, .85, .86, .73 and .77 respectively (Novak M, Guest C, 1989). - To assess the burden of primary care givers of older adults Part D: Investigator developed questionnaire on associated factors. It has 4 domains with 42 items. Volume 8 Issue 6, June 2019 www.ijsr.net Licensed Under Creative Commons Attribution CC BY 10.21275/3061901 529 Paper ID: 3061901 International Journal of Science and Research (IJSR) ISSN: 2319-7064 ResearchGate Impact Factor (2018): 0.28 \| SJIF (2018): 7.426 Data was collected over a period of two monthsafter obtaining written informed consent from the caregivers in the medical wards and geriatric outpatient department. (20%), Respiratory illnesses (16%), Diabetes mellitus (13%) & Hypertension (13%). They also had comorbidities such as diabetes, hypertension while 34% of them had both, 33% had single and 27% had more than three co-morbidities. 3. Results and Discussion A p value of <0.05 was considered statistically significant. The study included 100 caregivers aged 18-78 years with mean age of 47 years while68% were female caregivers. Sisters (32%), daughters (21%), sons (21%) and spouses (21%) were the primary caregivers.Three fourth of them were from Hindu background. Majority (67%) of them was married and 44% had completed secondary school level of education. About 51% of the care givers were employed and 32% were reported having family income of Rs.1000 or less per month. About half (52%) of them had others to help in their caregiving. Half of the caregivers had spent 3-5 hours per day of caregiving along with caring for their own children. Twenty eight percent perceived their general health to be excellent and majority (65%) of them perceived it to be good. The functional dependence using Barthel index showed that 40% were below score of 10 which indicated that they were functionally dependent on caregiversfor most of their day to day activities viz. climbing stairs (83%), walking (60%) and also transferring (65%). Table 1: Severity of Caregiver Burden \| 1 \| Low Burden \| 0-24 \| 89 \| 89 \| \|---\|---\|---\|---\|---\| \| 2 \| High Burden \| >24-36 \| 9 \| 9 \| \| 3 \| Severe Burden \| >36 \| 2 \| 2 \| It was found that 89% of them had low burden, while 11% had high to severe burden. It also showed that the burden was high in relation to timedependence and physical demands. In relation to patients, the mean age group was 71 years and 58% of them were males.The current admission was for medical conditions viz. Heat related illness (27%), Stroke There was no correlation between burden of the caregiver and functional ability and clinical profile of the older adult. Table 2: Association between Selected Socio Demographic Variables andCaregiver Burden No association was found between socio demographic variables and the care giver burden. \| Variables \| \| \| \| \| \|---\|---\|---\|---\|---\| \| \| Low Burden n=89 \| High Burden n=9 \| Severe Burden n=2 \| Chi- Square Value \| \| Age (yrs.) 60-70 71-80 >81 \| 47 35 7 \| 6 2 1 \| 1 1 0 \| 6.675 \| \| Hrs of Care Received /Day 3-5 hrs./day 6-10hrs/day >11 hours \| 47 24 18 \| 2 4 3 \| 1 1 0 \| 3.798 \| \| Barthel Index 0-10 11-15 16-20 \| 40 11 38 \| 4 3 2 \| 1 0 1 \| 3.742 \| Table 3: Association between Caregiver Burden and Associated Factors \| Associated Factors \| Sum of square \| df \| Mean square \| f \| \|---\|---\|---\|---\|---\| \| Physical \| 2750.04 \| 2 \| 589.414 \| 36.388 \| \| Emotional \| 549.96 \| 2 \| 46.889 \| 9.97 \| \| Financial \| 24.99 \| 2 \| 0.639 \| 2.614 \| \| Social \| 110.16 \| 2 \| 5.642 \| 5.535 \| \| Overall \| 4615.79 \| 2 \| 880.47 \| 29.916 \| There was significant association between care giver burden and associated factors viz. physical (p=.000), emotional (p=.000) & social (p=.000) factors. 4. Discussion The study showed revealed that 40% of the older adults were dependent for their functional activities. These findings were supported by Ziauddin et al., (2001) who reported 69% of older adults had problems in one or more ADL. The overall burden in this current study was found to be low burden 89%, 9% high burden and 2% has severe burdenamong the older adults lower than finding is supported by S. Luckhmana et al., (2015) in their study on family caregiver burden in North India showed caregiver burden was 57% minimal burden and 38% had mild to moderate burden. One reason that can account for the low levels of burden in the www.ijsr.net Licensed Under Creative Commons Attribution CC BY 10.21275/3061901 530 Paper ID: 3061901 International Journal of Science and Research (IJSR) ISSN: 2319-7064 ResearchGate Impact Factor (2018): 0.28 \| SJIF (2018): 7.426 current study was that 28% had excellent 65% enjoyed good health which made them fit to take care of older adults. Japan. International Journal of Rehabilitation Research 2001; 24 (3):221-6.16. 5. Conclusion In India it is still common to find family members who accompany and stay with their patient who is admitted in the hospital. They have their own family commitments, and multiple other responsibilities which are an added source of high stress and burden.The study findings draw the attention of health care providers to the caregivers who experience burden in caring for older adults at home and in the hospital setting. Interventions that could be considered to assist them include effective coping strategies, adjustment in caregivers daily tasks, specific training and educational support, counseling, referral to local support networks, delegating caregiving responsibilities among family members and respite care to alleviate their burden. References [1] Shahar S, Earland J, Abd Rahman S.Social and health profiles of rural elderly Malays. Singapore Med J 2001; 42 (5):208-213. [2] Priya Keshari, HariShankar, Prevalence and spectrum of functional disability of urban elderly subjects: A community-based study from Central India., Journal of Family Community Medicine 2017, May-Aug : 24 (2) 86-90. [3] Morimoto T, Schreiner, AS, Asano Perceptions of burden among family caregivers of post-stroke elderly in Japan. International Journal of Rehabilitation Research 2001; 24 (3): 221-6.16. [4] Novak M, Guest C, Application of a multidimensional caregiver burden inventory. The Gerontological Society of America 1989; 29 (6): 798-803. [5] Suriawati binti Ghazali, Khatijah Lim Abdullah, Aniza binti Abd Aziz etal, "Burden of caregivers of the elderly with chronic illnesses and their associated factors in an urban setting in Malaysia, Malaysian Journal of Public Health medicine 2015, Vol.15 (1), 1-9 [6] Zainuddin J. To describe the factors affecting the outcome of caregiver burden in the carers of the elderly person (Unpublished master's thesis) 2001, University of Malaya, Kuala Lumpur. [7] Limpawattana P, Theeranut JC, Sawanyawisuth K, Pimporm J. Caregivers Burden of older adults with chronic illnesses in the community: a cross sectional study Malaysian Journal of Public Health Medicine 2015, Vol. 15 (1): 1-9. [8] Lee M, Yoon E, Kropf NP. Factors affecting burden of South Koreans providing care to disabled older family members. International Journal Aginand Human Development 2007; 64 (3):245-262. [9] Cifu DX, Carne W, Brown R, Pegg P, OngJ, Qutubuddin A, Baron M. Caregiver distress in parkinsonism. Journal of Rehabilitation Research & Development2006; 42 (4): 499-507. [10] Faison KJ, Faria SH, Frank D. Caregiversof chronically ill elderly: perceived burden. Journal of Community Health Nursing 1999; 16 (4): 243-253. [11] Morimoto T, Schreiner, AS, Asano Perceptions of burden among familycaregivers of post-stroke elderly in Volume 8 Issue 6, June 2019 www.ijsr.net Licensed Under Creative Commons Attribution CC BY 10.21275/3061901 [12] Gupta R. The perceived caregiver burdenscale for caregivers of elderly people in India. Journal of Applied Gerontology2007; 26 (2): 120-138. [13] Chou K-R, Chu H, Tseng C-L, Lu R-B. The measurement of caregiver burden. Journal of Medical Science 2003; 23 (2): 73-82. [14] Sherina MS, Lekhraj R, Mustaqim A. Functional status of the elderly in a rural community in Malaysia. Malaysian Journal of Public Health Medicine 2004b; 4 (1): 55-58. [15] Mahoney F. Barthel D (1965). "Functional evaluation: the Barthel Index". Med J. 14: 61–65. S.Lukhmana., SK.Bhasin, P.Chabra, MS.Bhatia, "Family caregiver burden –A hospital based study in 2010 among cancer patients." Indian Journal of Cancer, 2015, Volume 52, Issue -1, 146-151. 531
Tecogen Reports 2020 Results WALTHAM, Mass., March 11, 2021 (GLOBE NEWSWIRE) -- via NewMediaWire -- Tecogen Inc. (OTCQX:TGEN, the "Company"), a leading manufacturer of clean energy products, reported revenues of $28.3 million for the year ended December 31, 2020 compared to $33.4 million for 2019, a 15.5% decrease. All segments were adversely impacted by business interruptions resulting from the COVID-19 pandemic. Product revenues decreased to $10.5 million in 2020 from $13.0 million in 2019, and service revenues were $15.9 million in 2020 compared to $17.3 million for the same period in 2019 due to a decline in installation activity. Energy Production revenue decreased to $1.8 million in 2020 from $3.1 million in 2019. Key Takeaways: Gross profit was $10.8 million for the year ended December 31, 2020 compared to $12.5 million for the prior year. Gross margin for 2020 improved to 38.3% compared to 37.3% for 2019. Operating expenses for the 4th quarter, excluding one-time adjustments for bad debt, goodwill impairment, and patent write-downs, decreased 23% as compared to Q4 2019. Net loss was $6.2 million versus a loss of $4.7 million in 2019 primarily due to one-time goodwill impairments in both years and increased reserves for bad debt. Net loss, exclusive of goodwill and long-lived assets impairment and other one-time adjustments for the year ended December 31, 2020 was $2.4 million compared to a loss of $1.0 million for the same period in 2019. Cash flows provided by operations for 2020 were $1.4 million compared to cash flows used in operations of $4.5 million in 2019, representing a $5.9 million improvement in operating cash flows. Cash and cash equivalents were $1.5 million at December 31, 2020 compared to $0.9 million at December 31, 2019, an increase of $0.6 million. Executed a license agreement with Origin Engines relating to the use of our Ultera emissions reduction technology with engines supplied by Origin to a range of customers. Added U.S. Patents 10,774,720 and 10,774,724 to our intellectual property portfolio. Adjusted EBITDA (1) was a loss of $0.9 million and $2.2 million for the quarter and year ended December 31, 2020, respectively, compared to a loss of $0.3 million and $0.2 million for the quarter and year ended December 31, 2019, respectively. This reduction in Adjusted EBITDA was due to reduced margin on lower revenues and increased provisions for bad debt. (Adjusted EBITDA is defined as net income or loss attributable to Tecogen, adjusted for interest, income taxes, depreciation and amortization, stock-based compensation expense, unrealized gain or loss on equity securities, goodwill impairment charges. See table following the statements of operations for a reconciliation from net loss to Adjusted EBITDA as well as important disclosures about the company's use of Adjusted EBITDA.) On January 19, 2021, we received a letter dated January 12, 2021 from Webster Bank, NA confirming that the Paycheck Protection Program Loan granted to us on April 17, 2020 pursuant to the CARES Act in the original principal amount of $1,874,200 together with all accrued interest thereon was forgiven in full as of January 11, 2021. The loan forgiveness amount which aggregates to $1,886,933, including $12,733 of accrued interest, will be recognized in the first quarter of 2021 and will be accounted for as debt extinguishment in our consolidated statements of operations. On February 5, 2021, we obtained a Paycheck Protection Program Second Draw unsecured loan through Webster Bank in the amount of $1,874,269 pursuant to the CARES Act. We intend to use the loan proceeds for payroll, rent, utilities and other operating expenses, and expect to apply for forgiveness of the loan balance as permitted under the CARES Act. "2020 was a challenging year for many businesses," commented Benjamin Locke, Tecogen CEO. "The COVID-19 pandemic had many negative impacts on our business with regard to facility closures and construction slowdowns. We took the opportunity of a slower 2020 to reduce operational costs and strengthen our balance sheet. We reduced our receivable and unbilled revenue balances resulting in positive cash flows from operations. We are beginning to see the return of normal business activities and are encouraged that our service maintenance agreement revenues continue to grow sequentially quarter over quarter despite the slowdown. I am optimistic that our reduced operating costs combined with a strengthened balance sheet positions Tecogen for a rebound as the COVID-19 vaccine distribution progresses and normal business activities resume." Sales and Operations Highlights Sales backlog of product and installation projects was $8.3 million on December 31, 2020. Product and installation backlog was $9.3 million as of March 9, 2021. Commissioned 26 InVerde units for operation in Toronto, Canada. Established Teaming Agreement with Ainsworth, a Toronto based company providing high quality technical trade services establishing Tecogen as its preferred CHP partner. Sold five Tecochill chillers to cannabis cultivation facilities in Massachusetts and New Jersey, bringing the total number of cannabis cultivation facilities using our equipment to twenty. Research and Development Highlights In 2020, Company R&D expense amounted to $767 thousand for product development and improvement, product certifications, and patents. Key activities are summarized below. Issued policy paper entitled "Building Electrification Policy and Combined Heat and Power Relevance." The paper gives an in-depth analysis of why electrification policy is generally counterproductive to its carbon reduction goals when compared to combined heat and power (CHP) systems. Extended the program with our research subcontractor, Southwest Research Institute (SwRI), to produce full size catalyst elements for evaluation in our engine test laboratory. The advanced formulation, which we believe is patentable, developed by SwRI has shown superior performance in their test simulations of the Ultera process for a range of pollutants, including nitrogen oxides but with a potential for significantly reduced cost. Executed a license agreement with Origin Engines relating to the use of Tecogen's Ultera emissions reduction technology with engines they supply to a range of customers including forklift trucks. The Propane Education and Research Council (PERC) displayed a forklift truck retrofitted with an Ultera emissions control system at MODEX 2020, the leading trade show showcasing material handling technology. Awarded runner-up for best presentation of forklift technology at the World LP Gas Association's Global Technology Conference, an annual international forum to highlight new innovations in propane technologies. Received order from a Southern California water district for the design (Phase 1) and manufacture (Phase 2) of an Ultera after-treatment system for two new 800horsepower Caterpillar natural gas engines to drive municipal water pumps. Both systems are expected to ship in Q1 2021. Validated core patent for Ultera emissions reduction technology in 19 EU countries, including the United Kingdom, Germany and France, all key markets for potential commercialization. Two additional patents issued for our Ultera emissions reduction technology entitled "NOx Reduction Using a Dual-Stage Catalyst System with Intercooling in Vehicle Gasoline Engines under Real Driving Conditions" (US patent No. 10,774,720) and "Dual Stage Internal Combustion Engine Aftertreatment System Using Exhaust Gas Intercooling and Charger Driven Air Ejector" (US Patent No. 10,774,724) Conference Call Scheduled for Today at 11:00 am ET Tecogen will host a conference call today to discuss the fourth quarter and year end results beginning at 11:00 a.m. ET. To listen to the call dial (877) 407-7186 within the US and Canada or (201) 689-8052 from other international locations. Participants should ask to be joined to the Tecogen year-end 2020 earnings call. We suggest call participants begin dialing at least 10 minutes before the scheduled starting time. The earnings press release will be available on the Company website at www.Tecogen.com in the "News and Events" section under "About Us." The earnings conference call will be webcast live. To view the associated slides, register for and listen to the webcast, go to http://ir.tecogen.com/ircalendar. Following the call, the webcast will be archived for 14 days. The earnings conference call will be recorded and available for playback one hour after the end of the call. To listen to the playback, dial (877) 660-6853 within the U.S. and Canada , or (201) 612-7415 from other international locations and use Conference Call ID#: 13672659. About Tecogen Tecogen Inc. designs, manufactures, sells, installs, and maintains high efficiency, ultraclean, cogeneration products including natural gas engine-driven combined heat and power, air conditioning systems, and high-efficiency water heaters for residential, commercial, recreational and industrial use. The company provides cost effective, environmentally friendly and reliable products for energy production that, through patented technology, nearly eliminate criteria pollutants and significantly reduce a customer's carbon footprint. In business for over 35 years, Tecogen has shipped more than 3,000 units, supported by an established network of engineering, sales, and service personnel across the United States. For more information, please visit www.tecogen.com or contact us for a free Site Assessment. Tecogen, InVerde e+, Ilios, Tecochill, Tecopower, Tecofrost and Ultera are registered trademarks of Tecogen Inc. Forward Looking Statements This press release and any accompanying documents, contain "forward-looking statements" which may describe strategies, goals, outlooks or other non-historical matters, or projected revenues, income, returns or other financial measures, that may include words such as "believe," "expect," "anticipate," "intend," "plan," "estimate," "project," "target," "potential," "will," "should," "could," "likely," or "may" and similar expressions intended to identify forward-looking statements. These statements are only predictions and involve known and unknown risks, uncertainties, and other factors that may cause our actual results to differ materially from those expressed or implied by such forward-looking statements. Given these uncertainties, you should not place undue reliance on these forward-looking statements. Forward-looking statements speak only as of the date on which they are made, and we undertake no obligation to update or revise any forward-looking statements. In addition to those factors described in our Annual Report on Form 10-K and our Quarterly Reports on Form 10-Q under "Risk Factors", among the factors that could cause actual results to differ materially from past and projected future results are the following: fluctuations in demand for our products and services, competing technological developments, issues relating to research and development, the availability of incentives, rebates, and tax benefits relating to our products and services, changes in the regulatory environment relating to our products and services, integration of acquired business operations, and the ability to obtain financing on favorable terms to fund existing operations and anticipated growth. In addition to GAAP financial measures, this press release includes certain non-GAAP financial measures, including adjusted EBITDA which excludes certain expenses. We use Adjusted EBITDA as an internal measure of business operating performance and believe that the presentation of non-GAAP financial measures provides a meaningful perspective of the underlying operating performance of our current business and enables investors to better understand and evaluate our historical and prospective operating performance by eliminating items that vary from period to period without correlation to our core operating performance and highlights trends in our business that may not otherwise be apparent when relying solely on GAAP financial measures. Tecogen Media & Investor Relations Contact Information: Benjamin Locke P: 781-466-6402 E: firstname.lastname@example.org TECOGEN INC CONSOLIDATED BALANCE SHEETS As of December 31, 2020 and 2019 (unaudited) 2020 2019 TECOGEN INC CONSOLIDATED STATEMENTS OF OPERATIONS For the Three Months Ended December 31, 2020 and 2019 (unaudited) (1) TECOGEN INC CONSOLIDATED STATEMENTS OF OPERATIONS For the Years Ended December 31, 2020 and 2019 (unaudited) TECOGEN INC CONSOLIDATED STATEMENTS OF CASH FLOWS For the Years Ended December 31, 2020 and 2019 (unaudited) TECOGEN INC (1) Non-GAAP Financial Measures In addition to reporting net income, a U.S. generally accepted accounting principle ("GAAP") measure, this news release contains information about EBITDA (net income (loss) attributable to Tecogen Inc adjusted for interest, depreciation and amortization, stock based compensation expense, goodwill impairment, one-time inventory adjustment and merger related expenses), which is a non-GAAP measure. The Company believes EBITDA allows investors to view its performance in a manner similar to the methods used by management and provides additional insight into its operating results. EBITDA is not calculated through the application of GAAP. Accordingly, it should not be considered as a substitute for the GAAP measure of net income and, therefore, should not be used in isolation of, but in conjunction with, the GAAP measure. The use of any non-GAAP measure may produce results that vary from the GAAP measure and may not be comparable to a similarly defined non-GAAP measure used by other companies. Source: Tecogen, Inc.
Discussion on the Applicability of Using Random Decrement Technique to Identify the Aerodynamic Damping under Vortex-Induced Resonance Yong Quan, Fangchao Hou and Ming Gu State Key Laboratory of Disaster Reduction in Civil Engineering, Tongji University, Shanghai 200092, China Abstract The random decrement technique is an efficient method to extract the modal parameters based on the white-noise input assumption. However, for the crosswind aerodynamic force of high rise building, its non-white noise character can't be ignored (especially for the vortex-induced resonance) because its power spectral has obvious peak. Based on four categories of crosswind aerodynamic force inputs, the application of random decrement technique on the aerodynamic damping identification was investigated by the Matlab numerical simulation. Some suggestions are given for the crosswind aerodynamic damping identification with random decrement technique. 1. Introduction The random decrement technique is a system identification method which can obtain the free vibration signal from the response of the structure based on the white-noise input assumption [1,2]. Because of its speed and accuracy, the random decrement method is widely used in the system identification for wind tunnel tests and full-scale measurements. However, the exciting force in many cases (such as the crosswind aerodynamic force of high-rise building) does not meet the white-noise input assumption. Then, what is the result if we still use the random decrement method for non-white noise input cases? Spanos and Zeldin [5] pointed that the Random Decrement signature is not the system free vibration curve unless the corresponding input excitation is white. The crosswind aerodynamic force of high-rise building is a typical non-white noise. In this study, the suitable of random decrement method on aerodynamic damping identification for a single degree linear system under the crosswind aerodynamic excitation is investigated by Matlab numerical simulation. 2. Numerical Simulation The numerical simulation of aerodynamic damping identification for a single degree linear system is mainly divided into the following 3 steps. 2.1 Aerodynamic Force Simulation The crosswind aerodynamic force spectrum were obtained from the generalized force spectral formula proposed by Chinese load code for the design of building structures (GB50009-2012) [3]. Firstly, different aerodynamic force spectrum Fi S under four different terrain categories (A, B, C and D) and different reduced wind speeds ( 4.6 13.1 r U ) were calculated according to the code. Then the aerodynamic force spectrum were transformed into time series by inverse Fourier transform. In order to get accurate random decrement signatures, the sampling frequency of aerodynamic force is 312.5Hz and the simulation length of each time series is 14 minutes. Figure 1 shows the simulation aerodynamic force spectrum and their time series in the terrain category A and reduced wind speed 4.6 r U . 2.2 Simulation of Random Vibration Response Base on the dynamic characteristics of an aeroelastic model ( 0.225 m kg ， 0 13 f Hz ， 0.02 s ) and the aerodynamic force F t obtained from last step, the wind induced responses were calculated with Newmark- β method. The calculated responses were checked by comparing them with the results calculated with the Duhamel integral. The results calculated with the two methods are almost the same as shown in Figure 2. In order to facilitate analysis, the aerodynamic damping ratio were set to vary in gradient: 0.015, 0.01,...,0.02 a . After ignoring the aerodynamic stiffness force and the aerodynamic inertia force, the random vibration equation can be simplified as: 2 2( ) ( ) s a mx wx mw x F t . Figure 2. The acceleration response time series and their power spectrum 2.3 Aerodynamic Damping Identification Usually the measured response data will contain noise and system deviation, so researchers need to pretreat the response data for eliminating the trend item and filtering the noise before system identification. There was no trend and noise item since this study was based on the numerical simulation. Therefore, we needn't pretreat the data under this ideal condition. After testing some cases, we chose suitable initial acceleration and signature length to apply the improved random decrement technique to get the random decrement signature D t by both positive and negative level crossing triggering condition [1]. The ensemble average times of each random decrement signature is more than 27000 in this simulation. Finally, the damping was obtained by the nonlinear least square fitting of the random decrement signature by Tamura's four parameters method [6], i.e. are the parameters been fitted. The damping ratio obtained from the nonlinear least square fitting is the total damping ratio and the total damping minus the structural damping is the aerodynamic damping. Figure 3. Fitting of the random decrement signature Acceleration 3. Result Figure 4 shows the variation of identified aerodynamic damping ratio with the change of reduced wind speeds under terrain categories A, B, C and D, respectively. 0 Figure 4. The results of aerodynamic damping identification For terrain category A, the aerodynamic damping ratio identification results are accurate under low reduced wind speeds ( 4 6 r U ). With the increase of the reduced wind speed, the identification deviations of high damping ratios increase gradually and reach a small peak at 7.7 r U . When the reduced wind speed continues to increase, it will come to the vortex-induced resonance region. The identification results in this region （ 8 12 r U ） will show a clear 'V' shape which has a bottom at the critical reduced wind speed 10 r U . This means that the identified damping ratio values are smaller than the real values in the region, especially for the positive aerodynamic damping ratio. The maximum identification deviation is about -0.15 in the critical reduced wind speed 10 r U . With the real aerodynamic damping ratio decreases, the deviations gradually fall down. For the negative aerodynamic damping, the identification deviation is less than 0.002. When the aerodynamic damping ratio is -0.015, the identification deviation is the minimum (only about 0.001). When terrain category changes from A to D, the identification deviation mainly shows a descent trend, especially for the vortexinduced resonance region. For terrain category D and critical reduced wind speed, the maximum identification deviation is about 0.005 which appear in the case a 0.02 which is decreased 97% than the correspondence case in terrain category A. In order to explain this phenomenon, Table 1 describes the deviations of identification aerodynamic damping ratio under the critical wind speed. The index in the table is the bandwidth parameter of input aerodynamic force, which is calculated as following: where 1 2 and f f are the half-power points (two frequency points at the 1/ 2 height of the power spectral peak of crosswind aerodynamic force), 0 f is the frequency of aerodynamic power spectra's peak. This index reflects the bandwidth and peak value of aerodynamic spectrum. The smaller value of indicates that the aerodynamic spectral energy is more concentrate and the nonwhite noise character is more obvious. The larger value of indicates that the aerodynamic spectral is closer to the white noise. As the table shows, the values of for A, B, C, D four terrain categories are 0.0865, 0.0903, 0.1130 and 0.1988. Therefore, the value of become large gradually when the terrain category change from A to D. Meanwhile, the effect of non-white noise is more and more weak which result in the reduced identification deviation. Table 1. The deviations of identification aerodynamic damping under the critical wind speed (vortex induced resonance) \| \| \| 0.086 \| 0.09 \| 0.113 \| 0.199 \| \|---\|---\|---\|---\|---\|---\| \| a \| -0.015 \| -0.0013 \| -0.0015 \| -0.0008 \| -0.0007 \| \| \| -0.01 \| -0.0024 \| -0.0031 \| -0.0017 \| -0.0011 \| \| \| -0.005 \| -0.0037 \| -0.0047 \| -0.0026 \| -0.0016 \| \| \| 0 \| -0.0051 \| -0.0062 \| -0.0039 \| -0.002 \| \| \| 0.005 \| -0.0065 \| -0.008 \| -0.0055 \| -0.0025 \| \| \| 0.01 \| -0.0084 \| -0.0101 \| -0.0071 \| -0.0027 \| \| \| 0.015 \| -0.0101 \| -0.0123 \| -0.0083 \| -0.0035 \| \| \| 0.02 \| -0.0117 \| -0.0142 \| -0.0098 \| -0.0048 \| In general, for the vortex-induced resonance region, the identification of positive aerodynamic damping have severe deviation. But for the negative aerodynamic damping the deviation is less than 0.002 which is an acceptable deviation for projects. In fact, in addition to cases in the high turbulence or corner modified buildings, it won't appear the positive aerodynamic damping in the vortex-induced resonance region [4]. In most cases, the aerodynamic damping ratio usually is negative value in this region. So, the random decrement method is still applicable to identify the aerodynamic damping in the vortex-induced resonance region for the conventional rectangle-section building. 4. Conclusions The applicability of the random decrement technique to identify the crosswind aerodynamic damping was studied in detail based on the numerical simulation. The results show that: in the low reduced wind speed region, the identification results are accurate. In vortex-induced resonance region, the identification of positive aerodynamic damping ratio has severe deviation but that for the negative aerodynamic damping ratio has acceptable deviation. The parameter of aerodynamic power spectrum bandwidth affects the identification results. The larger the value of is (closer to white noise), the more accurate the identification results by random decrement technique will be. However, we must know that the simulation had ignored the nonlinearity behaviour during the vortex shedding and this should be studied further. Acknowledgments The authors are very grateful for the support provided by the National Natural Science Foundation of China (Grant Nos. 51278367). References [1] Asmussen, J.C., Modal analysis based on the random decrement technique: application to civil engineering structures, 1997. [2] COLE, H.A., On-the-line analysis of random vibrations. AIAA. 1968, 68-288. [3] GB50009, M., Load code for the design of building structures. Ministry of Housing and Urban-Rural Construction of the People's Republic of China, Haidian District, Beijing, China, 2012. [4] Gu, M., H. Cao, and Y. Quan, Experimental study of across‐ wind aerodynamic damping of super high‐rise buildings with aerodynamically modified square cross‐sections. The Structural Design of Tall and Special Buildings,23(16), 2014, 1225-1245. [5] Spanos, P.D. and B. Zeldin, Generalized random decrement method for analysis of vibration data. Journal of vibration and acoustics,120(3), 1998, 806-813. [6] Tamura, Y. and S.-y. Suganuma, Evaluation of amplitudedependent damping and natural frequency of buildings during strong winds. Journal of wind engineering and industrial aerodynamics,59(2), 1996, 115-130. .
EUROPEAN COMMISSION Brussels, 5.12.2012 SWD(2012) 408 final COMMISSION STAFF WORKING DOCUMENT EXECUTIVE SUMMARY OF THE ANALYTICAL DOCUMENT Accompanying the document COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Towards a Quality Framework on Traineeships Second-stage consultation of the social partners at European level under Article 154 TFEU {COM(2012) 728 final} {SWD(2012) 407 final} COMMISSION STAFF WORKING DOCUMENT EXECUTIVE SUMMARY OF THE ANALYTICAL DOCUMENT Accompanying the document COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS Towards a Quality Framework on Traineeships Second-stage consultation of the social partners at European level under Article 154 TFEU This staff working document summarizes the analysis supporting the second stage consultation of the European social partners on a possible EU initiative on a Quality Framework for Traineeships. The consultation will gather the opinions of the European social partners, pursuant to Articles 154-155 of the Treaty on the Functioning of the European Union (TFEU), on the content of a potential EU initiative on this issue. It follows a public consultation carried out between 19 April and 11 July 2012 and a first stage Social Partner consultation on the possible direction of an EU initiative, which took place between 11 September and 23 October 2012. 1. PROBLEM DEFINITION Currently over five million young people in the EU under the age of 25 cannot find a job: in some Member States unemployment among young people exceeds 50%. In this context, increasing the access of young people to the labour market and enhancing transitions from education to work is a top priority for the EU. Traineeships – defined as a limited period of work practice spent at business, public bodies or non-profit institutions by students or by young people having recently completed their education, in order to gain some valuable hands-on experience in a work environment, ahead of taking up regular employment – can have a crucial role in this context. Traineeships can provide a possible stepping stone to more productive employment careers, they can help foster sustainable job creation, reduce youth unemployment and eventually contribute to raise the employment rate – one of the headline targets of the Europe 2020 Strategy. It has to be noted however that traineeships – unlike apprenticeships – are not covered by employment contracts in most Member States, also meaning that they are in general less regulated. Despite the fact that traineeships have a number of benefits not only for trainees, but also for employers and the society as a whole, concerns about the effectiveness and quality of traineeships have been recognized by European Institutions. Open-market traineeships in particular (where apart from the trainee and the host organization no other institution is involved in the definition, organisation and monitoring of the traineeship and its learning content and other conditions; this is typically – but not exclusively – the case of post-graduate traineeships), being the least regulated type in most countries, are the object of particular attention. In 2010 the European Parliament adopted a Resolution calling specifically for better and secured internships and for a European Quality Charter setting out minimum standards for internships to ensure their educational value and avoid exploitation. In 2011, the European Commission foresaw in its Youth Opportunity Initiative the launch of a Quality Framework on Traineeships by the end of 2012. Furthermore, the June 2012 European Council concluded that "It is crucial to address youth unemployment, in particular through the Commission's initiatives on youth guarantees and the quality framework for traineeships". Finally, the European cross-sectoral social partners (BusinessEurope, UEAPME, CEEP, ETUC) agreed to "promote more and better apprenticeship and traineeship contracts" and "ensure the right working conditions to welcome and support new entrants in the enterprise" as key actions under their 2010 Framework Agreement on Inclusive Labour Markets. Quality problems Studies and surveys show that quality problems related to traineeships are mostly linked to the lack of learning content, the lack of or insufficient compensation/remuneration, and unsatisfactory working conditions. A further problem – to a large extent related to the previous ones – is the low level of intra-EU trainee mobility. Key quality elements identified in the Traineeship study 1 A good quality traineeship should enable the trainee to acquire practical skills geared to the labour market needs and complementary to the trainee's theoretical studies in order to enhance the trainee's employability. A good quality traineeship should be based on an agreement between the trainee and the host organisation. The traineeship agreement should cover the following elements: * Objectives, content and monitoring: Traineeships should enable the trainee to acquire practical skills complementary to his or her theoretical studies. The guidelines require that educational content is ensured by assigning a personal supervisor or mentor at the host organisation to each trainee. * Duration: Open-market traineeships should typically not be longer than 6 months. Mandatory postgraduation professional training of doctors, lawyers, teachers and the like are exempted as these traineeships tend to be highly regulated. * Remuneration/cost compensation: If there is a mutual benefit for both the host organisation and the trainee in terms of knowledge transfer and learning, unpaid traineeships may be appropriate. Hence the quality guideline should only stipulate that the written traineeship agreement clearly specifies what, if any, compensation and remuneration is offered. * Social security provisions: The social insurance provisions need to be clarified between the trainee and the employer. This includes health insurance and insurance against accidents at the workplace. Insufficient learning content may mean that the host organization is not providing (enough) learning sessions for the trainees to explain its work/operations etc., or does not ensure a mentor. This is quite frequent in the case of traineeships where trainees have to execute mundane work. A second group of concerns relate the lack of or the low level of compensation. The EYF survey indicates that only 25% of trainees were remunerated enough to cover living expenses. Lack of compensation explains concerns about equity of access, and raises issues about employers using traineeships as a form of unpaid employment with 'cheaper' trainees being used for entry level jobs and/or other job vacancies instead of regular staff. Nevertheless, it is important to note that remuneration/compensation issues have to be dealt at Member State level or by social partners because the EU Treaties do not provide a legal basis for EU action in this respect (see also in section 4 – Legal basis and subsidiarity). A third group of problems relate to working conditions other than compensation, such as long working hours, substandard working conditions, lack of coverage for health or occupational risks, lack of clarity on the applicable legal regimes, fairness aspects and so on. Finally, a fourth group of problems of concern in terms of the integration of the EU labour market is the low level of intra-EU mobility for trainees. This has important negative consequences for the integration of the EU labour markets, and prevents young people living 1 Study on a comprehensive overview of traineeship arrangements in the EU Member States, European Commission (2012), henceforth "the Traineeship study". EN in countries with a bad traineeship offer to profit from better opportunities in the EU single market. 2. CONSULTATION OF STAKEHOLDERS Public consultation and consultation of the European social partners The public consultation received over 250 responses. Trade unions, as well as NGOs, youth organisations, educational institutions, agencies involved in transnational traineeships and most individual respondents largely agreed to the Commission's analysis, definition of key elements of quality traineeships, problem definition and objectives and generally supported a Commission initiative in this area (some asking for a binding legal instrument, others preferring non-binding recommendations); employers' organisations, chambers of commerce and industry – while acknowledging the positive role of traineeships in school-to-work transitions and in acquiring skills –adopted a more sceptical stance, raising concerns as to whether remuneration and social protection issues could be covered in this context and some further questioning the need for an EU initiative. Both employer organisations and Member States referred to the need to keep the framework sufficiently flexible so that diversity of national systems and practices can be taken into account. Opponents of EU action argued that minimum requirements for traineeships should not be set at the European level, due to a lack of EU competence particularly on the issue of remuneration. Concerns were also raised about traineeship schemes becoming overburdened with legal or administrative procedures that could discourage companies from taking on trainees, thus depriving young people of valuable work experience opportunities. Opinions about the scope of a possible initiative were varied, too, notably with regard to the possibility of limiting the scope to 'open market' traineeships only. The responses to the 1 st stage consultation of the European social partners have confirmed the above positions without contributing any new elements. 3. OBJECTIVES OF THE INITIATIVE The general objectives of an initiative in this domain are (1) to facilitate education-to-work transitions High quality traineeships contribute to increasing the employability of young people. Traineeships as a form of labour market entry for graduates should be stepping stones in the progression to a regular employment, ensure a rapid increase in workers' productivity and help reduce precarious employment. The objective should therefore be increasing the number of good quality traineeships and reducing the extent of low-quality instances and abuse. (2) to promote mobility in order to reduce mismatches in the European labour market To reduce structural unemployment, the promotion of learners' and of workers' geographic mobility within the EU should be stepped up, given the existence of marked skill and demand/supply mismatches in the labour market. Developing transnational traineeships is a key tool for this. Prospective trainees who consider undertaking their training in another EU Member State should have a clear reference to check quality criteria and not be discouraged by uncertainty about administrative formalities; legal concerns, or contractual obligations. In order to meet these general objectives, the following specific objective has been identified: To improve the quality of traineeships in the EU. The operational objectives would be (1) To encourage host organisations to offer traineeships providing good quality learning content, decent working conditions and which are a good stepping stone for entering the labour market. (2) To increase the transparency and quality of information on traineeship positions. 4. LEGAL BASIS AND SUBSIDIARITY According to Article 153 TFEU, the Union shall support and complement Member States activities in the field of, inter alia, working conditions, social security and social protection of workers, and also the integration of persons excluded from the labour market and the combating of social exclusion. Pursuant to Article 153 para. 2. b) TFEU, the European Parliament and the Council may adopt Directives in the field of employment and social policy. Alternatively, according to Article 292 TFEU, the Council can adopt recommendations on the basis of a Commission proposal. Occupational Safety and Health legislation considers trainees and apprentices as covered by the scope of the Directives based on framework Directive of 1989, whose basis is Art 153 TFEU. However, it should be noted that the provisions of Article 153 TFEU do not apply to pay (Article 153 para. 5 TFEU). Hence, the problems relating to low trainee compensation have to be dealt with at another level, notably by Member States and social partners. Mobility in education and training forms a central objective in the EU's educational policy and is an integral part in of the freedom of movement of persons under Article 45 TFEU – a fundamental freedom protected by the Treaty. Subsidiarity Generally, great diversity of situations among Member States, or very different societal preferences are arguments in favour of decentralised solutions, as they can be tailored to national or even local needs and preferences. However, in the case of traineeships, the difference of labour market institutions does not seem to play a major role, as the nature of the complaints and concerns put forward is very similar everywhere, and quality problems in traineeships are frequent even in the Member States where the labour market situation of young people is more favourable. In addition, an EU-wide solution would present several operational advantages. (1) The quality guidelines adopted or proposed so far generally look very similar, irrespective of the organisation drafting them. This suggests that there is no great need of adaptation of quality standards to local conditions. (2) An EU wide-solution would have clear benefits in terms of intra-EU mobility of trainees. Young people would find it easier to accept a traineeship in another country if standard or harmonised rules gave them a clear knowledge of what they can expect in another country. Greater trainee mobility would contribute to achieving a more integrated EU labour market through better matching and sustainable job creation. (3) Experience shows that, owing to coordination problems, the definition of internationally accepted quality standards can be faster if supranational institutions coordinate and support. The EU is best placed for this, as there seems to be little or no movement towards spontaneous development of international quality standards. Through an initiative in this sense, the EU could concretely support Member States to meet the EU 2020 employment guideline nr 8. Providing guidance to the Member States that is operational and can be readily implemented at national level appears all the more useful, given the acuteness of the crisis and past delays in tackling traineeships problems. It is also fully in line with the spirit of the European Semester. Despite frequent calls to promote high-quality traineeships action from Member States has been patchy and the regulatory framework generally remains fragmented and unsatisfactory. The traditional European employment strategy approach could be used to induce Member States to reform traineeship regimes, but would lead to greater differentiation in the resulting framework than instruments such as recommendations or legislation determining the content of traineeship regimes. This would be suboptimal particularly in terms of the need to address existing barriers to trainee mobility. Finally, an EU solution seems to be a pre-condition for extending EURES to apprenticeships and traineeships, as requested by the European Council. This is needed to prevent the risk that support supplied through EURES is provided to low-quality traineeships that do not help smooth education-to-work transitions. EN 5. POSSIBLE AVENUES FOR EU ACTION In respect of the autonomy of the social partners, no possible actions/options have been discarded at this stage, nor has the reflection been limited to particular types of traineeships. Actions could be taken, depending on the types of traineeships, at different levels, involving different actors and different tools. For example the EU could: * improve the transparency of traineeship regulation through more accessible information, * encourage voluntary action by stakeholders (host organisations, social partners etc.) to enhance the quality of traineeships, for instance through the establishment of quality labels, * launch actions under the European employment strategy to encourage Member States to improve the quality of traineeships, * introduce non-binding instruments (recommendations or guidelines) or * introduce binding legislation. Scope and measures Market failure in delivering quality can generally be tackled in two ways, either by enhancing the quality and availability of information on the market, or by imposing quality standards. Either approach could enhance the effectiveness of traineeships in ensuring good transitions from education to work. In the following, a number of measures based on the first or the second approach are explored. Open-market traineeships seem to represent an obvious candidate for initiatives, but alternatives exist: the scope of the measures could be restricted to apply to cross-border traineeships only, or to traineeships with a duration above three months. The social partners may wish to consider one or more of the below measures, requiring different levels of engagement of EU institutions. Several of these measures could be combined together. The analysis of impacts is only indicative at this stage and will be further elaborated in a future impact assessment. i) No initiative at EU level (baseline scenario) Description: The Commission will continue to pursue the objective of improving mobility and labour market transitions of young people without any specific instrument/tool focusing on traineeships. The Traineeships study provides a first overview of the traineeship arrangements in the Member States and lays a basis for more transparency of arrangements. Discussion: While it is possible that there are further national initiatives in order to enhance the quality of traineeships, the overall share of low quality traineeships could easily increase: the crisis may lead businesses to scale back new hirings, which are one of the main reasons for offering high-quality traineeships, and new labour market entrants may revise downwards their expectations accordingly. ii) Creation of an information website Description: Setting up a website with a traineeship panorama (containing regularly updated information on traineeship conditions and the legal framework in each Member State) would constitute a non-regulatory approach to increase the availability of general information about traineeships. As a bolder option, the website could also allow trainees to give feedback on their individual traineeship experience with a host organisation, transforming the nature of the information from purely general to specific. Discussion: A properly designed, user-friendly website would allow easier access to information on national legislation of traineeships, on the availability of different types of traineeships in Member States. This would reduce search costs for trainees, could improve matching and could also have a positive effect on increasing the availability of candidates for transnational traineeships. While there is no compliance cost for Member States or host organisations, there would be some budgetary implications for the organisation running the website. This tool addresses part of the lack of information problem, i.e. the lack of general information on standards, but does not provide information on the quality of specific traineeship positions on offer. Hence, though positive, the impact of this option on traineeship quality is modest. The option of allowing trainees to assess or rate their traineeship experience would instead create a fairly strong incentive for hosts to improve the quality of their traineeships, as their reputation would benefit from being shown to offer high quality traineeship conditions. iii) Quality label for traineeships Description: A set of quality principles for traineeships could be elaborated in cooperation with social partners, specifying minimum quality guidelines for the format and learning content of the traineeship (see the quality elements identified in the Traineeship study). Companies, educational institutions, employment services and/or other relevant actors could voluntarily commit to respect the guidelines for trainees, and in exchange for that, publicise themselves as 'fair to trainees' or similar. The quality label for traineeships could also include a commitment by the host organisation on providing remuneration and social security treatment. Furthermore, it is possible to launch a quality label specifically in certain sectors. To achieve minimal compliance costs, the quality label could be attributed to all organisations that would commit to it without advance inspection or screening. A certain number of duly justified complaints could lead to the withdrawal of the label. Such a light organisation would allow the label to be managed by the companies concerned, or by a small external office. EN Discussion: This solution can encourage and guide host organisations by providing a reference for quality, while its voluntary nature ensures that it is bearable for host organisations. It goes some way into providing a positive incentive for adoption, given that one of the motives for organisations to offer traineeships is improving their reputation, which could be enhanced by a quality label. This option might also stimulate cross-border traineeships. The voluntary nature of the commitment seems to make sure that the compliance burden for businesses would be acceptable. However, there is a risk that only few organisations apply for the label, particularly as at present demand for traineeships outstrips supply. Furthermore, many of those that apply probably will be those that offer high quality traineeships already. iv) European Quality Framework for Traineeships Description: This measure would consist in a social partner agreement or a Commission proposal on quality elements, to be transposed by Member States in national practice and/or the national legal system. The quality framework could include the elements listed in the Traineeship study, providing clear indications to trainees on objectives, content and monitoring; duration; compensation; and social security coverage. Discussion: The strength of this approach is that the quality framework would be the same framework in all (adopting) Member States. This would therefore address the negative impact of the diversity of regulations on the development of international mobility. The elements identified in the study could be complemented with a limitation of successive traineeships, and/or with a requirement to register traineeships. Similar measures have been adopted in certain Member States. Limiting the repetition of traineeships by the same person in the same organisation, or, more boldly, prescribing that host organisations need, over the medium term, to hire a certain (limited) percentage of the trainees it engages would address the problem of young people having to do several traineeships before finding regular employment. Instruments similar to a quality framework already exist within the EU (e.g. UK Code of Best Practice for Quality Internships). Overall, a reasonable improvement on the quality and transparency of traineeships could be expected in the medium term from a quality framework endorsed at European and national level. A limitation of successive traineeships could be effective in limiting replacement risk. Furthermore, a compulsory registration of traineeships would allow having better statistics about traineeships and support effective enforcement of rights. Regarding the impact on the availability of traineeship places, this option would include a certain risk that some employers will refrain in the future from providing traineeship places, most likely because they realise that the traineeship places they offered so far were not of good quality. While most of the costs of this option would have to be borne by host organisations, compliance costs would mainly be related to ensuring a proper learning content. Host EN organisations that already provide learning content would merely need to give it the appropriate level of formality by listing learning objectives and some other key characteristics of the traineeship on paper. Hence the reduction of traineeships offered can be considerably limited if the additional workload for compliant businesses is communicated as manageable. An important question however remains the effectiveness of the impact on bad quality traineeships as regulatory solutions may work least in Member State with weaker enforcement mechanisms. As regards proportionality, the quality framework for traineeships can contribute to achieving the intended objectives while EU level action is not disproportionate. 6. FINAL OVERVIEW The options and sub options presented above could be variously combined together. The following table summarises the avenues for action presented above in terms of possible impacts and compliance costs. \| Option \| Voluntary (V)/Soft law (SL)/Regulat ory solution ® \| Potential Impact on quality of traineeship \| Impact on demand for traineeships positions (D – domestic – CB – cross-border) \| Impact on compliance costs for businesses = impact on supply of traineeship positions \| Impact on compliance costs for SMEs \| \|---\|---\|---\|---\|---\|---\| \| Information website for trainees \| na \| 0 \| D: 0 CB: + \| 0 \| 0 \| \| Quality label \| V/SL \| 0/+ \| D: + CB: ++ \| 0 \| 0 \| \| Quality label + remuneration \| V/SL \| 0/+ \| D: + CB: ++/+++ \| 0/(-) \| 0(-) \| \| Quality framework for traineeships (QFT), \| ® \| ++ \| D: ++ CB: ++/+++ \| 0/(-) \| -/-- \| \| QFT for long, crossborder traineeships \| ® \| +/++ \| D: ++ CB: ++/+++ \| 0/(-) \| -/-- \| Key: 0 : zero or negligible impact (+) / (-) :slight positive (negative) but uncertain impact + / -: possible positive/ negative impact ++ / -- : likely positive/ negative impact +++/--- : very likely positive/ negative impact
SAFETY DATA SHEET SSEL TE Kit, ILM Hyb Module, Box 1 (Post PCR) 16 Rxns, Part Number 5190-9685 Section 1. Identification 1.1 Product identifier SSEL TE Kit, ILM Hyb Module, Box 1 (Post PCR) 16 Rxns, Part Number 5190-9685 Product name : Part no. (chemical kit): 5190-9685 SureSelect Binding Buffer 5190-4399 SureSelect Wash Buffer 1 5190-4400 SureSelect Wash Buffer 2 5190-4401: Part no. Validation date : 12/17/2019 1.2 Relevant identified uses of the substance or mixture and uses advised against Material uses : Analytical reagent. For Research Use Only. Not for use in diagnostic procedures. SureSelect Binding Buffer 13.2 ml SureSelect Wash Buffer 1 8 ml SureSelect Wash Buffer 2 24 ml 1.3 Details of the supplier of the safety data sheet Supplier/Manufacturer : Agilent Technologies, Inc. 5301 Stevens Creek Blvd Santa Clara, CA 95051, USA 800-227-9770 1.4 Emergency telephone number CHEMTREC®: 1-800-424-9300 In case of emergency : Section 2. Hazards identification 2.1 Classification of the substance or mixture OSHA/HCS status: SureSelect Binding Buffer While this material is not considered hazardous by the OSHA Hazard Communication Standard (29 CFR 1910.1200), this SDS contains valuable information critical to the safe handling and proper use of the product. This SDS should be retained and available for employees and other users of this product. SureSelect Wash Buffer 1 While this material is not considered hazardous by the OSHA Hazard Communication Standard (29 CFR 1910.1200), this SDS contains valuable information critical to the safe handling and proper use of the product. This SDS should be retained and available for employees and other users of this product. SureSelect Wash Buffer 2 While this material is not considered hazardous by the OSHA Hazard Communication Standard (29 CFR 1910.1200), this SDS contains valuable information critical to the safe handling and proper use of the product. This SDS should be retained and available for employees and other users of this product. Classification of the substance or mixture Not classified. SureSelect Binding Buffer Ingredients of unknown toxicity: 12/17/2019 Percentage of the mixture consisting of ingredient (s) of unknown acute inhalation toxicity: 1 - 10% Section 2. Hazards identification 2.2 GHS label elements Section 3. Composition/information on ingredients \| Ingredient name \| % \| \|---\|---\| \| SureSelect Binding Buffer Sodium chloride SureSelect Wash Buffer 1 Sodium dodecyl sulphate SureSelect Wash Buffer 2 Sodium dodecyl sulphate \| <10 ≤0.3 ≤0.3 \| Any concentration shown as a range is to protect confidentiality or is due to batch variation. There are no additional ingredients present which, within the current knowledge of the supplier and in the concentrations applicable, are classified as hazardous to health or the environment and hence require reporting in this section. Occupational exposure limits, if available, are listed in Section 8. Section 4. First aid measures 4.1 Description of necessary first aid measures SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 SureSelect Binding Buffer : SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 Eye contact Skin contact Inhalation Ingestion: : : 4.2 Most important symptoms/effects, acute and delayed Potential acute health effects Immediately flush eyes with plenty of water, occasionally lifting the upper and lower eyelids. Check for and remove any contact lenses. Get medical attention if irritation occurs. Immediately flush eyes with plenty of water, occasionally lifting the upper and lower eyelids. Check for and remove any contact lenses. Get medical attention if irritation occurs. Immediately flush eyes with plenty of water, occasionally lifting the upper and lower eyelids. Check for and remove any contact lenses. Get medical attention if irritation occurs. Remove victim to fresh air and keep at rest in a position comfortable for breathing. Get medical attention if symptoms occur. Remove victim to fresh air and keep at rest in a position comfortable for breathing. Get medical attention if symptoms occur. Remove victim to fresh air and keep at rest in a position comfortable for breathing. Get medical attention if symptoms occur. Flush contaminated skin with plenty of water. Remove contaminated clothing and shoes. Get medical attention if symptoms occur. Flush contaminated skin with plenty of water. Remove contaminated clothing and shoes. Get medical attention if symptoms occur. Flush contaminated skin with plenty of water. Remove contaminated clothing and shoes. Get medical attention if symptoms occur. Wash out mouth with water. Remove victim to fresh air and keep at rest in a position comfortable for breathing. If material has been swallowed and the exposed person is conscious, give small quantities of water to drink. Do not induce vomiting unless directed to do so by medical personnel. Get medical attention if symptoms occur. Wash out mouth with water. Remove victim to fresh air and keep at rest in a position comfortable for breathing. If material has been swallowed and the exposed person is conscious, give small quantities of water to drink. Do not induce vomiting unless directed to do so by medical personnel. Get medical attention if symptoms occur. Wash out mouth with water. Remove victim to fresh air and keep at rest in a position comfortable for breathing. If material has been swallowed and the exposed person is conscious, give small quantities of water to drink. Do not induce vomiting unless directed to do so by medical personnel. Get medical attention if symptoms occur. Section 4. First aid measures 4.3 Indication of immediate medical attention and special treatment needed, if necessary See toxicological information (Section 11) Section 5. Fire-fighting measures 5.1 Extinguishing media Suitable extinguishing media: : SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 Unsuitable extinguishing media SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 5.2 Special hazards arising from the substance or mixture Use an extinguishing agent suitable for the surrounding fire. Use an extinguishing agent suitable for the surrounding fire. Use an extinguishing agent suitable for the surrounding fire. None known. None known. None known. In a fire or if heated, a pressure increase will occur and the container may burst. In a fire or if heated, a pressure increase will occur and the container may burst. In a fire or if heated, a pressure increase will occur and the container may burst. Decomposition products may include the following materials: halogenated compounds metal oxide/oxides No specific data. No specific data. Promptly isolate the scene by removing all persons from the vicinity of the incident if there is a fire. No action shall be taken involving any personal risk or without suitable training. Promptly isolate the scene by removing all persons from the vicinity of the incident if there is a fire. No action shall be taken involving any personal risk or without suitable training. Promptly isolate the scene by removing all persons from the vicinity of the incident if there is a fire. No action shall be taken involving any personal risk or without suitable training. Fire-fighters should wear appropriate protective equipment and self-contained breathing apparatus (SCBA) with a full face-piece operated in positive pressure mode. Fire-fighters should wear appropriate protective equipment and self-contained breathing apparatus (SCBA) with a full face-piece operated in positive pressure mode. Fire-fighters should wear appropriate protective equipment and self-contained breathing apparatus (SCBA) with a full face-piece operated in positive pressure mode. Section 6. Accidental release measures 6.1 Personal precautions, protective equipment and emergency procedures For non-emergency personnel : SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 No action shall be taken involving any personal risk or without suitable training. Evacuate surrounding areas. Keep unnecessary and unprotected personnel from entering. Do not touch or walk through spilled material. Put on appropriate personal protective equipment. No action shall be taken involving any personal risk or without suitable training. Evacuate surrounding areas. Keep unnecessary and unprotected personnel from entering. Do not touch or walk through spilled material. Put on appropriate personal protective equipment. No action shall be taken involving any personal risk or without suitable training. Evacuate surrounding areas. Keep unnecessary and unprotected personnel from entering. Do not touch or walk through spilled material. Put on appropriate personal protective equipment. 6.2 Environmental precautions : SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 For emergency responders: SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 6.3 Methods and materials for containment and cleaning up Methods for cleaning up SureSelect Binding Buffer : SureSelect Wash Buffer 1 12/17/2019 If specialized clothing is required to deal with the spillage, take note of any information in Section 8 on suitable and unsuitable materials. See also the information in "For non-emergency personnel". If specialized clothing is required to deal with the spillage, take note of any information in Section 8 on suitable and unsuitable materials. See also the information in "For non-emergency personnel". If specialized clothing is required to deal with the spillage, take note of any information in Section 8 on suitable and unsuitable materials. See also the information in "For non-emergency personnel". Avoid dispersal of spilled material and runoff and contact with soil, waterways, drains and sewers. Inform the relevant authorities if the product has caused environmental pollution (sewers, waterways, soil or air). Avoid dispersal of spilled material and runoff and contact with soil, waterways, drains and sewers. Inform the relevant authorities if the product has caused environmental pollution (sewers, waterways, soil or air). Avoid dispersal of spilled material and runoff and contact with soil, waterways, drains and sewers. Inform the relevant authorities if the product has caused environmental pollution (sewers, waterways, soil or air). Stop leak if without risk. Move containers from spill area. Dilute with water and mop up if water-soluble. Alternatively, or if water-insoluble, absorb with an inert dry material and place in an appropriate waste disposal container. Dispose of via a licensed waste disposal contractor. Stop leak if without risk. Move containers from spill Section 6. Accidental release measures SureSelect Wash Buffer 2 Section 7. Handling and storage 7.1 Precautions for safe handling Advice on general occupational hygiene SureSelect Binding Buffer: Protective measures SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2: SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 SureSelect Binding Buffer SureSelect Wash Buffer 1 7.2 Conditions for safe storage, including any incompatibilities: area. Dilute with water and mop up if water-soluble. Alternatively, or if water-insoluble, absorb with an inert dry material and place in an appropriate waste disposal container. Dispose of via a licensed waste disposal contractor. Stop leak if without risk. Move containers from spill area. Dilute with water and mop up if water-soluble. Alternatively, or if water-insoluble, absorb with an inert dry material and place in an appropriate waste disposal container. Dispose of via a licensed waste disposal contractor. Put on appropriate personal protective equipment (see Section 8). Put on appropriate personal protective equipment (see Section 8). Put on appropriate personal protective equipment (see Section 8). Eating, drinking and smoking should be prohibited in areas where this material is handled, stored and processed. Workers should wash hands and face before eating, drinking and smoking. Remove contaminated clothing and protective equipment before entering eating areas. See also Section 8 for additional information on hygiene measures. Eating, drinking and smoking should be prohibited in areas where this material is handled, stored and processed. Workers should wash hands and face before eating, drinking and smoking. Remove contaminated clothing and protective equipment before entering eating areas. See also Section 8 for additional information on hygiene measures. Eating, drinking and smoking should be prohibited in areas where this material is handled, stored and processed. Workers should wash hands and face before eating, drinking and smoking. Remove contaminated clothing and protective equipment before entering eating areas. See also Section 8 for additional information on hygiene measures. Store in accordance with local regulations. Store in original container protected from direct sunlight in a dry, cool and well-ventilated area, away from incompatible materials (see Section 10) and food and drink. Keep container tightly closed and sealed until ready for use. Containers that have been opened must be carefully resealed and kept upright to prevent leakage. Do not store in unlabeled containers. Use appropriate containment to avoid environmental contamination. See Section 10 for incompatible materials before handling or use. Store in accordance with local regulations. Store in original container protected from direct sunlight in a dry, cool and well-ventilated area, away from incompatible materials (see Section 10) and food Section 7. Handling and storage SureSelect Wash Buffer 2 Recommendations 7.3 Specific end use(s) Industrial sector specific solutions and drink. Keep container tightly closed and sealed until ready for use. Containers that have been opened must be carefully resealed and kept upright to prevent leakage. Do not store in unlabeled containers. Use appropriate containment to avoid environmental contamination. See Section 10 for incompatible materials before handling or use. Store in accordance with local regulations. Store in original container protected from direct sunlight in a dry, cool and well-ventilated area, away from incompatible materials (see Section 10) and food and drink. Keep container tightly closed and sealed until ready for use. Containers that have been opened must be carefully resealed and kept upright to prevent leakage. Do not store in unlabeled containers. Use appropriate containment to avoid environmental contamination. See Section 10 for incompatible materials before handling or use. Industrial applications, Professional applications. Industrial applications, Professional applications. Industrial applications, Professional applications. : SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 : SureSelect Binding Buffer SureSelect Wash Buffer 1 SureSelect Wash Buffer 2 Not applicable. Not applicable. Not applicable. Section 8. Exposure controls/personal protection 8.1 Control parameters Occupational exposure limits SureSelect Binding Buffer Sodium chloride None. SureSelect Wash Buffer 1 Sodium dodecyl sulphate None. SureSelect Wash Buffer 2 Sodium dodecyl sulphate None. Ingredient name Exposure limits 8.2 Exposure controls Appropriate engineering controls : Good general ventilation should be sufficient to control worker exposure to airborne contaminants. Environmental exposure controls : Emissions from ventilation or work process equipment should be checked to ensure they comply with the requirements of environmental protection legislation. In some cases, fume scrubbers, filters or engineering modifications to the process equipment will be necessary to reduce emissions to acceptable levels. Individual protection measures Hygiene measures Wash hands, forearms and face thoroughly after handling chemical products, before eating, smoking and using the lavatory and at the end of the working period. Appropriate techniques should be used to remove potentially contaminated clothing. Wash contaminated clothing before reusing. Ensure that eyewash stations and safety showers are close to the workstation location. : Date of issue : Section 8. Exposure controls/personal protection Eye/face protection Safety eyewear complying with an approved standard should be used when a risk assessment indicates this is necessary to avoid exposure to liquid splashes, mists, gases or dusts. If contact is possible, the following protection should be worn, unless the assessment indicates a higher degree of protection: safety glasses with sideshields. : Hand protection Skin protection Body protection Other skin protection Chemical-resistant, impervious gloves complying with an approved standard should be worn at all times when handling chemical products if a risk assessment indicates this is necessary. : Personal protective equipment for the body should be selected based on the task being performed and the risks involved and should be approved by a specialist before handling this product. : : Appropriate footwear and any additional skin protection measures should be selected based on the task being performed and the risks involved and should be approved by a specialist before handling this product. Respiratory protection Based on the hazard and potential for exposure, select a respirator that meets the appropriate standard or certification. Respirators must be used according to a respiratory protection program to ensure proper fitting, training, and other important aspects of use. : Section 9. Physical and chemical properties 9.1 Information on basic physical and chemical properties Physical state Appearance Section 9. Physical and chemical properties Section 10. Stability and reactivity Section 10. Stability and reactivity Section 11. Toxicological information 11.1 Information on toxicological effects Acute toxicity \| Product/ingredient name \| Result \| Species \| Dose \| \|---\|---\|---\|---\| \| SureSelect Binding Buffer Sodium chloride SureSelect Wash Buffer 1 Sodium dodecyl sulphate SureSelect Wash Buffer 2 Sodium dodecyl sulphate \| LD50 Oral LD50 Oral LD50 Oral \| Rat Rat Rat \| 3000 mg/kg 1288 mg/kg 1288 mg/kg \| Irritation/Corrosion \| Product/ingredient name \| Result \| Species \| Score \| Exposure \| \|---\|---\|---\|---\|---\| \| SureSelect Binding Buffer Sodium chloride SureSelect Wash Buffer 1 Sodium dodecyl sulphate SureSelect Wash Buffer 2 Sodium dodecyl sulphate \| Eyes - Moderate irritant Eyes - Moderate irritant Skin - Mild irritant Eyes - Mild irritant Eyes - Moderate irritant Eyes - Moderate irritant Skin - Mild irritant Skin - Moderate irritant Skin - Mild irritant Skin - Moderate irritant Eyes - Mild irritant Eyes - Moderate irritant \| Rabbit Rabbit Rabbit Rabbit Rabbit Rabbit Guinea pig Mouse Rabbit Rabbit Rabbit Rabbit \| - - - - - - - - - - - - \| 24 hours 100 mg 10 mg 24 hours 500 mg 250 ug 24 hours 100 mg 10 mg 24 hours 25 mg 24 hours 25 mg 24 hours 50 mg 24 hours 25 mg 250 ug 24 hours 100 \| Section 11. Toxicological information Sensitization Not available. Carcinogenicity Conclusion/Summary : Not available. Mutagenicity Conclusion/Summary : Not available. Teratogenicity Conclusion/Summary: Not available. Reproductive toxicity Conclusion/Summary : Not available. Specific target organ toxicity (single exposure) Specific target organ toxicity (repeated exposure) Not available. Aspiration hazard Not available. Section 11. Toxicological information Symptoms related to the physical, chemical and toxicological characteristics Delayed and immediate effects and also chronic effects from short and long term exposure Short term exposure Potential immediate effects : Not available. Potential delayed effects: Not available. Potential immediate effects : Not available. Long term exposure Potential delayed effects: Not available. Potential chronic health effects Numerical measures of toxicity Acute toxicity estimates Section 11. Toxicological information \| Product/ingredient name \| Oral (mg/ kg) \| Dermal (mg/kg) \| Inhalation (gases) (ppm) \| Inhalation (vapors) (mg/l) \| Inhalation (dusts and mists) (mg/ l) \| \|---\|---\|---\|---\|---\|---\| \| SureSelect Binding Buffer SureSelect Binding Buffer Sodium chloride SureSelect Wash Buffer 1 Sodium dodecyl sulphate SureSelect Wash Buffer 2 Sodium dodecyl sulphate \| 51369.9 3000 1288 1288 \| N/A N/A N/A N/A \| N/A N/A N/A N/A \| N/A N/A N/A N/A \| N/A N/A 1.5 1.5 \| Section 12. Ecological information 12.1 Toxicity \| Product/ingredient name \| Result \| Species \| \|---\|---\|---\| \| SureSelect Binding Buffer Sodium chloride SureSelect Wash Buffer 1 Sodium dodecyl sulphate SureSelect Wash Buffer 2 Sodium dodecyl sulphate \| Acute EC50 4.74 g/L Fresh water Acute EC50 519.6 mg/l Fresh water Acute IC50 6.87 g/L Fresh water Acute LC50 1000000 µg/l Fresh water Chronic LC10 781 mg/l Fresh water Chronic NOEC 6 g/L Fresh water Chronic NOEC 0.314 g/L Fresh water Chronic NOEC 100 mg/l Fresh water Acute EC50 1200 µg/l Marine water Acute LC50 900 µg/l Marine water Acute LC50 1400 µg/l Fresh water Acute LC50 590 µg/l Fresh water Chronic NOEC 1.25 mg/l Marine water Chronic NOEC 1 mg/l Fresh water Chronic NOEC 3.2 mg/l Fresh water Chronic NOEC >1357 µg/l Fresh water Acute EC50 1200 µg/l Marine water Acute LC50 900 µg/l Marine water Acute LC50 1400 µg/l Fresh water Acute LC50 590 µg/l Fresh water Chronic NOEC 1.25 mg/l Marine water Chronic NOEC 1 mg/l Fresh water \| Algae - Chlamydomonas reinhardtii Crustaceans - Cypris subglobosa Aquatic plants - Lemna minor Fish - Morone saxatilis - Larvae Crustaceans - Hyalella azteca - Juvenile (Fledgling, Hatchling, Weanling) Aquatic plants - Lemna minor Daphnia - Daphnia pulex Fish - Gambusia holbrooki - Adult Algae - Skeletonema costatum Crustaceans - Artemia salina - Adult Daphnia - Daphnia pulex - Neonate Fish - Cirrhinus mrigala - Larvae Algae - Ulva fasciata - Zoea Crustaceans - Pseudosida ramosa - Neonate Daphnia - Daphnia magna - Neonate Fish - Pimephales promelas Algae - Skeletonema costatum Crustaceans - Artemia salina - Adult Daphnia - Daphnia pulex - Neonate Fish - Cirrhinus mrigala - Larvae Algae - Ulva fasciata - Zoea Crustaceans - Pseudosida ramosa - Neonate \| Date of issue : Section 12. Ecological information 12.2 Persistence and degradability Not available. 12.3 Bioaccumulative potential 12.5 Other adverse effects: No known significant effects or critical hazards. Soil/water partition coefficient (KOC) : Not available. 12.4 Mobility in soil Section 13. Disposal considerations 13.1 Waste treatment methods Disposal methods The generation of waste should be avoided or minimized wherever possible. Disposal of this product, solutions and any by-products should at all times comply with the requirements of environmental protection and waste disposal legislation and any regional local authority requirements. Dispose of surplus and non-recyclable products via a licensed waste disposal contractor. Waste should not be disposed of untreated to the sewer unless fully compliant with the requirements of all authorities with jurisdiction. Waste packaging should be recycled. Incineration or landfill should only be considered when recycling is not feasible. This material and its container must be disposed of in a safe way. Empty containers or liners may retain some product residues. Avoid dispersal of spilled material and runoff and contact with soil, waterways, drains and sewers. : Disposal should be in accordance with applicable regional, national and local laws and regulations. Local regulations may be more stringent than regional or national requirements. The information presented below only applies to the material as supplied. The identification based on characteristic(s) or listing may not apply if the material has been used or otherwise contaminated. It is the responsibility of the waste generator to determine the toxicity and physical properties of the material generated to determine the proper waste identification and disposal methods in compliance with applicable regulations. Refer to Section 7: HANDLING AND STORAGE and Section 8: EXPOSURE CONTROLS/PERSONAL PROTECTION for additional handling information and protection of employees. Section 14. Transport information DOT / TDG / Mexico / IMDG / : IATA Not regulated. Special precautions for user Transport in bulk according to Annex II of MARPOL and the IBC Code Transport within user’s premises: always transport in closed containers that are upright and secure. Ensure that persons transporting the product know what to do in the event of an accident or spillage. : : Not available. Section 15. Regulatory information 15.1 Safety, health and environmental regulations/legislation specific for the substance or mixture U.S. Federal regulations : Clean Water Act (CWA) 311: Edetic acid TSCA 8(a) CDR Exempt/Partial exemption: Not determined Clean Air Act Section 112 (b) Hazardous Air Pollutants (HAPs) : Not listed Clean Air Act Section 602 Class I Substances : Not listed Clean Air Act Section 602 : Class II Substances Not listed DEA List I Chemicals : (Precursor Chemicals) Not listed DEA List II Chemicals : (Essential Chemicals) Not listed SARA 302/304 Composition/information on ingredients No products were found. SARA 304 RQ : Not applicable. SARA 311/312 Classification : SureSelect Binding Buffer Not applicable. SureSelect Wash Buffer 1 Not applicable. SureSelect Wash Buffer 2 Not applicable. Composition/information on ingredients \| Name \| % \| Classification \| \|---\|---\|---\| \| SureSelect Binding Buffer Sodium chloride \| <10 \| EYE IRRITATION - Category 2A \| State regulations None of the components are listed. : Massachusetts California Prop. 65 New York : None of the components are listed. New Jersey : None of the components are listed. Pennsylvania: None of the components are listed. This product does not require a Safe Harbor warning under California Prop. 65. Date of issue : Section 15. Regulatory information International regulations Chemical Weapon Convention List Schedules I, II & III Chemicals Not listed. Montreal Protocol Not listed. Stockholm Convention on Persistent Organic Pollutants Not listed. Rotterdam Convention on Prior Informed Consent (PIC) Not listed. UNECE Aarhus Protocol on POPs and Heavy Metals Not listed. Inventory list Australia : All components are listed or exempted. Canada : All components are listed or exempted. China : All components are listed or exempted. Europe : All components are listed or exempted. Japan : Japan inventory (ENCS): All components are listed or exempted. Japan inventory (ISHL): All components are listed or exempted. Republic of Korea : All components are listed or exempted. New Zealand : All components are listed or exempted. Philippines : All components are listed or exempted. Taiwan : All components are listed or exempted. Turkey : Not determined. United States : All components are listed or exempted. Thailand : Not determined. Viet Nam : All components are listed or exempted. Section 16. Other information History Date of issue : Version : Date of previous issue : Key to abbreviations : 12/17/2019 No previous validation 1 ATE = Acute Toxicity Estimate BCF = Bioconcentration Factor GHS = Globally Harmonized System of Classification and Labelling of Chemicals IATA = International Air Transport Association IBC = Intermediate Bulk Container IMDG = International Maritime Dangerous Goods LogPow = logarithm of the octanol/water partition coefficient MARPOL = International Convention for the Prevention of Pollution From Ships, 1973 as modified by the Protocol of 1978. ("Marpol" = marine pollution) N/A = Not available UN = United Nations Procedure used to derive the classification Section 16. Other information Indicates information that has changed from previously issued version. Notice to reader Disclaimer: The information contained in this document is based on Agilent's state of knowledge at the time of preparation. No warranty as to its accurateness, completeness or suitability for a particular purpose is expressed or implied.
Sustainable Development Law & Policy Volume 10 Issue 2 Winter 2010: Climate Law Reporter 2010 Article 10 Climate Change And The Regional Human Rights Systems Megan Chapman Follow this and additional works at: http://digitalcommons.wcl.american.edu/sdlp Part of the Environmental Law Commons, Human Rights Law Commons, and the Law Commons Recommended Citation Chapman, Megan. "Climate Change And The Regional Human Rights Systems." Sustainable Development Law & Policy, Spring 2010, 37-38, 60-61. This Feature is brought to you for free and open access by the Washington College of Law Journals & Law Reviews at Digital Commons @ American University Washington College of Law. It has been accepted for inclusion in Sustainable Development Law & Policy by an authorized administrator of Digital Commons @ American University Washington College of Law. For more information, please contact firstname.lastname@example.org. International Climate Change and the Regional Human Rights Systems by Megan S. Chapman* In last year's Climate Law Reporter, Staff Writer Anne Parsons laid out the fundamental case for using a human rights framework to shift the burden for protecting individuals from the negative impacts of climate change to the state. 1 The impetus for that piece was the UN Human Rights Commission's adoption of Resolution 7/23. 2 In the last year, with the flurry of preparation for the December 2009 round of UN Framework Convention on Climate Change negotiations in Copenhagen ("UNFCCC COP15"), a number of institutions have joined the call for developing the nexus between human rights and climate change. 3 The nexus is meaningful because demonstrating climate change's numerous negative impacts on human rights, particularly for already vulnerable populations, is a way of measuring the harm. 4 It is also meaningful because it connects this harm to obligations which the state has already undertaken. 5 Thus, it reveals the potential for using developing supranational human rights legal systems to impose a duty on states to prevent further climate change and protect individuals from its negative impacts. 6 This piece aims to briefly explore this latter angle on the human rights-climate change nexus: the likelihood that international human rights bodies, particularly the regional human rights systems, will in the foreseeable future hold states accountable for climate change. International environmental law and climate change negotiations tend to be based on notions of state-to-state consensus and cooperation. 7 However, there is nothing like the build-up of hopes and ultimate disappointment of the most recent UNFCCC COP15 negotiations 8 to leave individuals wishing for some club to hold over the heads of states. Aside from democratic processes or domestic legal remedies, where they exist, regional human rights systems may offer the best forum for individuals to confront states that fail to come to consensus or otherwise take steps to combat climate change. This is not to say that regional human rights systems have been perfected. The European Court of Human Rights, the InterAmerican Court of and Commission on Human Rights, and the African Commission on and newly operational Court of Human and Peoples' Rights each face their own challenges: certain states that accept only limited jurisdiction or no jurisdiction at all; 9 absence of regional enforcement mechanisms other than diplomatic or political pressure; 10 and consequent reliance on states for compliance with recommendations and execution of binding judgments. Nevertheless, each regional system has developed a mechanism by which individuals may bring complaints against states for failing to respect, protect, or fulfill regionally guaranteed human rights. 11 In evaluating the potential fate of a petition based on human rights violations resulting from climate change, each of the three 37 established systems has its own strengths. Unlike the foundational documents of the other two systems, the African Charter on Human and Peoples' Rights actually recognizes a right to environment. 12 Moreover, the African Commission on Human and Peoples Rights ("ACHPR") has entertained petitions based on violations of this right and found states in violation of their associated obligations. 13 In a resolution on human rights and climate change issued just prior to COP-15, the ACHPR referenced this "right of all peoples to an environment favourable to their development" under the Banjul Charter, along with other international instruments binding of member states of the African Union ("AU"). 14 Using this right as a basis, it expressed concern that the COP-15 negotiations would unlikely incorporate human rights considerations and urged the heads of AU member states to ensure that human rights standards, particularly protections for vulnerable populations, be included in any climate change agreement resulting from the negotiations. 15 The only indication of the ACHPR's inclination to hold states accountable for climate change, however, was in noting that "climate change is principally the result of emissions of greenhouse gases, which remain relatively high in developed countries." 16 The Inter-American Commission on Human Rights ("IACHR") is the only of the regional bodies that has squarely faced a petition based on the human rights consequences of climate change. In 2005, Sheila Watt-Cloutier of the Inuit Circumpolar Conference filed a petition with the IACHR on behalf of "all Inuit of the arctic regions of the United States of America and Canada who have been affected by the impacts of climate change." 17 The petition alleged that the United States, the leading greenhouse gas ("GHG") emitter in the world, is the greatest contributor to climate change, which threatens the enjoyment of numerous human rights guaranteed by the American Declaration of the Rights and Duties of Man 18 to the Inuit living in the arctic regions. 19 The specific rights identified include their rights "to the benefits of culture, to property, to the preservation of health, life, physical integrity, security, and a means of subsistence, and to residence, movement, and inviolability of the home." 20 The petitioners argued that U.S. government should be held accountable for these violations to the extent that they result from both its acts—enabling or contributing disproportionately to GHG emissions—and its omissions—failing to take meaningful steps to reduce GHG emissions and otherwise counteract climate change. 21 * Megan S. Chapman is a J.D. candidate, May 2011, at American University Washington College of Law. S ustainable evelopment D L aw olicy & P This petition faced several notable challenges. First, because the United States has not accepted the jurisdiction of the InterAmerican Court of Human Rights, the petition could only be brought before the IACHR, which may issue recommendations but not binding judgments. 22 Secondly, as would be the case with any lawsuit relating to responsibility for climate change, it faced the tremendous burden of proving legally sufficient causation between the harm resulting from climate change and the acts and omissions of the U.S. government. The petition did an admirable job of laying out the scientific evidence for the connection between GHG emissions and climate change, the U.S. contribution to GHG emissions, the effects of climate change on the arctic environment, and the complete dependence of Inuit peoples on the arctic environment. 23 Despite these efforts, the IACHR dismissed the petition without prejudice on November 16, 2006. 24 Nevertheless, the IACHR did invite the petitioners, along with the Center for International Environmental Law ("CIEL") and Earthjustice to a thematic hearing on the issue of global warming and human rights in the Americas on March 1, 2007. 25 This hearing offers perhaps the best indication of the challenges that future litigation over human rights violations as consequence of climate change will face before a regional human rights body. The questions from three commissioners addressed (1) how to attribute or divide responsibility among states in the region or even states that are not members of the OAS; 26 (2) how the rights violations suffered by the Inuit could be tied more closely to concrete acts or omissions of specific states; 27 (3) whether the petitioners had exhausted domestic remedies, a requirement for admissibility in any of the regional human rights systems; 28 and (4) what examples of good practices undertaken by states could guide the Commission in making recommendations. 29 The second question, as articulated by Commissioner Victor Abromovich, seemed to remain most unresolved at the end of the hearing: Is there a precise form in which the impact you have described very well on fundamental rights can be tied to the actions or omissions of the particular states? . . . [I]n all cases . . . considered by the Inter-American system, there have existed direct actions . . . or the failure to act by the state in the face of a concrete situation, for example . . . forestry in an indigenous territory. Now, the problem you are laying out, without doubt, links to state and non-state actors, but the relationship is much . . . less direct. So, I would like clarification about how there can be a relationship—not just any relationship, a legal relationship, a relationship of responsibility—of the states for violations of the rights that you have very clearly described. 33 This causal connection question presents the greatest gap between precedent cases on environmental damage that have been accepted by the regional human rights bodies and the issue of climate change and resulting human rights violations. Like other current frontiers in regional human rights law, resolution of this question might require either meeting a nearly impossible quantum of proof or bringing a petition against several or all states in a region. Counsel for the three organizations responded to each of the questions deftly. To the first, they explained the principle of "common but differentiated responsibility," as a key component of state responsibility under international economic law. 30 To the third, the question of exhaustion of domestic remedies, they explained why there is no comparable legal remedy available in the United States or Canada that would require the government to pay compensation for human rights violations associated with climate change. 31 To the fourth question, counsel from CIEL pointed to good practices to counteract global warming in several states in the Americas, particularly Brazil. 32 One possible way forward may lie in the approach taken by the European Court on Human Rights ("ECtHR") in a series of precedents recently identified in a Council of Europe (CoE) report on climate change and human rights. Although the European (Rome) Convention on Human Rights does not affirmatively guarantee a right to the environment, 34 the ECtHR has held states accountable for human rights violations resulting from environmental damage in a number of cases. 35 Most often, these cases hold the state accountable for failure to protect individuals from actions of third parties, often corporations, and tie the environmental damage to violations of Article 8 (right to family and private life), Article 2 (right to life), and Article 1 (right to property), although other rights have also been implicated. 36 As the CoE report pointed out, these cases demonstrate a state's positive obligation where "inaction would exacerbate [a threat to human rights]" of which the state is aware. 37 This obligation could also attach in the climate change context, even though the causal connection between GHG emissions and human rights may be difficult to prove. 38 Endnotes: Climate Change and the Regional Human Rights Systems 1 Anne Parsons, Human Rights and Climate Change: Shifting the Burden to the State?, Sustainable Dev. L. & Pol'y. Winter 2009, at 22. 2 UN Human Rights Council Res. 7/23, Human Rights and Climate Change, Mar. 28, 2008, available at http://ap.ohchr.org/documents/E/HRC/ resolutions/A_HRC_RES_7_23.pdf. 3 See e.g. Council of Europe, T-PVS/Inf (2009) 4: Human Rights and Climate Change, Document Presented at the 4 th Meeting of the Group of Experts on Biodiversity and Climate Change, Apr. 8, 2009 [hereinafter Council of Europe]; UN Human Rights Council Res. 10/4, Human Rights and Climate Change, inter W 2010 Mar. 24, 2009 (basing its recommendations on a report by the Office of the UN High Commissioner for Human Rights on the relationship between climate change and human rights); African Commission of Human and Peoples' Rights, ACHPR/Res153(XLVI)09: Resolution on Climate Change and Human Rights and the Need to Study its Impact in Africa, Nov. 25, 2009 [hereinafter ACHPR Resolution]. Endnotes: Climate Change and the Regional Human Rights Systems continued on page 60 38 Endnotes: Climate Change and the Regional Human Rights Systems continued from page 38 4 In response to Human Rights Council Resolution 7/23, the Office of the UN High Commissioner for Human Rights conducted a detailed analytical study, inviting submissions from states, intergovernmental and nongovernmental organizations, national human rights organizations, and other experts, on the implications of climate change for the enjoyment of human rights. The results were submitted with its annual report to the Human Rights Council, with Part II using this means of measuring of consequences. See Report of the Office of the United Nations High Commissioner for Human Rights on the Relationship between Climate Change and Human Rights, A/HRC/10/61, Jan. 15, 2009, pt. II. 5 See, e.g. id. pt. III (detailing the relevant national and international human rights obligations of states). 6 Parallel Workshop on Climate Change and Human Rights, Presented at the 2009 Global Humanitarian Forum Geneva on Human Impact of Climate Change, June 23-24, 2009, available at http://www.ghf-ge.org/Portals/0/pdfs/ climate_change_and_human_rights_wk.pdf (identifying individual petitions before the regional human rights systems as one of four avenues for legal recourse using human rights law). 7 Council of Europe, supra note 3, at 4 (describing international environmental law as "a law of co-operation, in which States undertake commitments to support each other[] to address global concerns"). 8 Despite positive developments in laying the groundwork for future negotiations, UNFCCC COP-15 failed to result in a comprehensive agreement on climate change. Video: Press Briefing by UNFCCC Executive Secretary Yves de Boer on the Outcome of Copenhagen and the Way Forward in 2010, Jan. 20, 2010, available at http://www.youtube.com/watch?v=lgNkkBHlZqg&feature= player_embedded (describing Copenhagen as "not a complete success"). 9 For example, the United States has not ratified the American Convention on Human Rights and does not accept the jurisdiction of the Inter-American Court of Human Rights. 10 In each system, the enforcement of judgments relies on the political weight and moral authority of the Council of Europe, the Organization of American States ("OAS"), and the African Union. Whereas the European system formally charges the Council of Ministers to enforce judgments of the European Court of Human Rights, the role of the OAS in enforcement is not explicit, but rests on moral weight and political pressure rather than threat of sanctions. See Lea Shaver, The Inter-American Human Rights System: An Effective Institution for Regional Human Rights Protection?, 9:4 Washington U. Global L. Stud. Rev., available at http://ssrn.com/abstract=1437633. In the African system, "blatant disregard" for the recommendations of the African Commission is more widespread. Fekadeselassie F. Kidanemariam, Enforcement of Human Rights under Regional Mechanisms: a Comparative Analysis (2006) (unpublished LL.M. thesis, University of Georgia School of Law), available at http:// digitalcommons.law.uga.edu/cgi/viewcontent.cgi?article=1079&context=stu_ llm (last visited Mar. 3, 2010). 11 See, generally, Kidanemariam, supra note 10. 12 Cross-referencing Article 22, which articulates a people's collective right to economic, social, and cultural development, Article 24 of the Charter enshrines a people's "right to a general satisfactory environment favourable to their development." African (Banjul) Charter on Human and Peoples' Rights, adopted June 27, 1981, arts. 22, 24, available at http://www.africa-union.org/ official_documents/Treaties_%20Conventions_%20Protocols/Banjul%20Charter.pdf. 13 See, e.g., The Social and Economic Rights Action Center and the Center for Economic and Social Rights / Nigeria, Comm. No. 155/96, Decision ACHPR/ COMM/A044/1 ¶ 52 (2002) (stating that Article 24 of the Banjul Charter "imposes clear obligations upon a government . . . to take reasonable and other measures to prevent pollution and ecological degradation, to promote conservation, and to secure an ecologically sustainable development and use of natural resources"), available at http://www.cesr.org/downloads/AfricanCommissionDecision.pdf. 14 ACHPR Resolution, supra note 3. 15 Id. 16 Id. 17 Petition to the Inter-American Commission on Human Rights Seeking Relief from Violations Resulting from Global Warming Caused by Acts and Omissions of the United States, Dec. 7, 2005 [hereinafter Inuit Circumpolar Petition], available at http://www.inuitcircumpolar.com/files/uploads/icc-files/ FINALPetitionICC.pdf. 18 American Declaration of the Rights and Duties of Man, Adopted by the 9th International Conference of American States, Bogota, Colombia, 1948, available at http://www.cidh.org/Basicos/English/Basic2.American%20Declaration. htm. Although the American Declaration was originally adopted as a declaration rather than a binding instrument, both the Inter-American Commission on Human Rights and the Inter-American Court of Human Rights have interpreted it as a source of international obligations for members of the Organization of American States. Inter-American Commission on Human Rights, Introduction, http://www.cidh.org/Basicos/English/Basic1.%20Intro.htm#_ftnref5 (last visited Feb. 16, 2010). 19 Inuit Circumpolar Petition, supra note 9, at 1-9. 20 Id. at 5 (noting that the rights violated arise either from the American Declaration or other international human treaties binding on the United States). 21 Id. at 103-110. 22 Shaver, supra note 10. 23 Inuit Circumpolar Petition, supra note 9, at 13-69. 24 Center for International Environmental Law, The Inuit Case, http://www. ciel.org/Climate/Climate_Inuit.html (last visited Feb. 16, 2010). 25 Letter from the IACHR to representatives of the Inuit Circumpolar Conference, EarthJustice, and CIEL, Ref: Global Warming and Human Rights, Hearing – 127 th Ordinary Period of Sessions, Feb. 1, 2007, available at http://www. ciel.org/Publications/IACHR_Response_1Feb07.pdf. 26 Video: General Hearing on Global Warming and Human Rights, IACHR 127 th Ordinary Period of Sessions, Mar. 1, 2007 [hereinafter Hearing], available at http://www.oas.org/OASpage/videosasf/2007/03/CIDH_1.wmv (question of Commissioner Paulo Sergio Pinheiro). 27 Id. (question of Commissioner Victor Abromovich) (author's translation). 28 Id. (question of Commissioner Santiago Canton). 29 Id. (question of Commissioner Paulo Sergio Pinheiro). 30 Id. (response of Martin Wagner, Earthjustice Managing Attorney). 31 Attorney Martin Wagner discussed the then-pending case, Massachusetts v. Environmental Protection Agency (EPA), 49 U.S. 497 (2007), in which the U.S. Supreme Court determined that GHGs constitute air pollutants covered by the Clean Air Act and therefore subject to regulation by the EPA. But, as he pointed out, the Clean Air Act does not offer a mechanism for individuals to obtain compensation for violations resulting from government failure to regulate, because under U.S. tort law, a tort claim can only be brought if the government waives its sovereign immunity, which is highly unlikely. Moreover, Wagner pointed out that the rights at issue in this case, such as the right to culture, are not guaranteed in the U.S. constitution or U.S. law. Id. (response of Martin Wagner, Earthjustice Managing Attorney). Paul Crowley, the Canadian attorney for Sheila Watt-Cloutier, noted that similar barriers to legal recourse exist in Canada. Id. (response of Paul Crowley). 32 Hearing, supra note 26 (response of Donald Goldberg, CIEL Senior Attorney). 33 Id. (question of Commissioner Victor Abromovich) (author's translation). 34 Council of Europe, supra note 3, at 11. 35 Id. at 12. 36 Id. 37 Id. at 13. 38 Council of Europe, supra note 3.
6 Contents of the pack and other information What Verapamil tablets contain * The active substance is verapamil hydrochloride. Each tablet contains either 40mg, 80mg, 120mg or 160mg of verapamil hydrochloride. * The other ingredients are croscarmellose sodium, magnesium stearate, maize starch, propylene glycol, sunset yellow aluminium lake (E110), quinoline yellow aluminium lake (E104), titanium dioxide (E171), microcrystalline cellulose (E460), hydroxypropylcellulose (E463), methylhydroxypropylcellulose (E464), purified talc (E553). What Verapamil tablets look like and contents of the pack Verapamil 40mg tablets are yellow, circular, biconvex, film-coated tablets, impressed "C" on one face and the identifying letters "VR" on the reverse. Tablet diameter: 6.18-6.82mm. Verapamil 80mg tablets are yellow, circular, biconvex film-coated tablets, impressed "C" on one face and the identifying letters "VS" on the reverse. Tablet diameter: 7.6-8.4mm. Verapamil 120mg tablets are yellow, circular, biconvex film-coated tablets, impressed "C" on one face and the identifying letters "VT" on the reverse. Tablet diameter: 8.55-9.45mm. Verapamil 160mg tablets are yellow, circular, biconvex film-coated tablets, impressed "C" on one face and the identifying letters "VU" on the reverse. Tablet diameter: 9.98-11.02mm. Pack sizes are 28, 56 and 84. Marketing Authorisation Holder and Manufacturer Accord, Barnstaple, EX32 8NS, UK. This leaflet was last revised in December 2020 50995430 BBBA9696 Package leaflet: Information for the patient Verapamil 40mg, 80mg, 120mg and 160mg tablets Read all of this leaflet carefully before you start taking this medicine because it contains important information for you. * manage high blood pressure (hypertension), used alone or with other drugs for high blood pressure. * Keep this leaflet. You may need to read it again. * If you have any further questions, ask your doctor or pharmacist. * This medicine has been prescribed for you only. Do not pass it on to others. It may harm them, even if their signs of illness are the same as yours. * If you get any side effects, talk to your doctor or pharmacist. This includes any possible side effects not listed in this leaflet. See section 4. What is in this leaflet 2 What you need to know before you take Verapamil tablets 1 What Verapamil tablets are and what they are used for 3 How to take Verapamil tablets 5 How to store Verapamil tablets 4 Possible side effects 6 Contents of the pack and other information 1 What Verapamil tablets are and what they are used for Verapamil belongs to a group of medicines called calcium-channel blockers which interfere with the electrical signals in the heart muscle and blood vessels. It is used to: Continued top of next column * manage and prevent angina. * treat and prevent certain types of abnormal heartbeats. 2 What you need to know before you take Verapamil tablets Do not take Verapamil tablets if you: * are allergic to verapamil hydrochloride or any of the other ingredients of this medicine (listed in section 6) * have heart failure or severe problems with the impulses and rhythms of the heart (second or third degree atrioventricular block or sick sinus syndrome) unless you have a pacemaker * have heart failure and are taking beta blockers * have recently suffered a heart attack * suffer from a slow heart rate (bradycardia) * have low blood pressure (hypotension) * have Wolff-Parkinson-White syndrome (rapid heart rate sometimes associated with dizziness or faintness) * are already taking a medicine containing ivabradine for the treatment of certain heart diseases. Warnings and precautions Talk to your doctor or pharmacist before taking Verapamil tablets if you have: * had a heart attack or have problems with the impulses of the heart (first degree atrioventricular block) * liver disease * kidney failure. Continued over page Surgery You should tell your doctor you are taking Verapamil tablets if you are having an operation or anaesthetic. Other medicines and Verapamil tablets Tell your doctor or pharmacist if you are taking, have recently taken or might take any other medicines, especially: * ivabradine (for heart disease) * alpha or beta blockers (particularly important if having a beta blocker by injection) and other drugs to treat high blood pressure e.g. prazosin * cimetidine (to treat stomach ulcers) * phenobarbital, carbamazepine or phenytoin (to treat epilepsy) * rifampicin, erythromycin, clarithromycin or telithromycin (to treat infections) * ritonavir (to treat HIV) * lithium (to treat depression) * theophylline (to treat asthma) * digoxin (to treat certain heart conditions) * midazolam (used as sedative or anaesthetic) * statins e.g. simvastatin, atorvastatin (to lower cholesterol levels) * imipramine (to treat depression, anxiety and panic disorder) * aspirin (for pain, fever or to prevent blood clots) * almotriptan (to treat migraine) * dabigatran (medicine to prevent the formation of blood clots) * quinidine or flecainide (to treat arrhythmias) * colchicine or sulfinpyrazone (for gout) * glibenclamide (to treat certain types of diabetes) * doxorubicin (used in chemotherapy to treat some cancers) * immunosupressants such as ciclosporin, sirolimus, everolimus and tacrolimus (to prevent organ transplant rejection) * St. John's Wort (for mild anxiety) * metformin (to treat diabetes) as verapamil may decrease the glucose-lowering effect of metformin * if you are about to receive surgery where an anaesthetic will be used (including dentistry). Continued top of next column Verapamil tablets and alcohol Verapamil may increase the amount of alcohol in the body and the time it takes for alcohol to leave the body. You should avoid excessive amounts of alcohol whilst taking Verapamil tablets. Verapamil tablets and Grapefruit juice Do not eat or drink products containing grapefruit juice whilst taking verapamil, as grapefruit juice increases the effects of verapamil. Pregnancy and breast-feeding If you are pregnant or breast-feeding, think you may be pregnant or are planning to have a baby, ask your doctor or pharmacist for advice before taking this medicine. Driving and using machines Verapamil tablets may make you feel drowsy, particularly when you first start the treatment and when changing over from another medicine. Make sure you are not affected before you drive or operate machinery, especially if taken with alcohol. Verapamil tablets contain sunset yellow aluminium lake (E110) Sunset yellow aluminium lake (E110) may cause allergic reactions. 3 How to take Verapamil tablets Always take this medicine exactly as your doctor has told you. Check with your doctor or pharmacist if you are not sure. The recommended dose is: Adults * High blood pressure: Initially 120mg twice a day increasing to 160mg twice a day. In some cases up to a maximum of 480mg a day can be taken in divided doses. * Angina: Usually 120mg three times a day. For some patients 80mg three times a day may be sufficient. * Abnormal heartbeats: 40-120mg three times a day. Continued over page Elderly with heart or liver problems: you may be given a different dose. Use in children and adolescents * Up to 2 years: 20mg two or three times a day. * 2 years and over: 40-120mg two or three times a day. Swallow the tablets whole with water, without chewing or crushing them. If you take more Verapamil tablets than you should If you (or someone else) swallow a lot of tablets at the same time, or you think a child may have swallowed any, contact your nearest hospital casualty department or tell your doctor immediately. Overdose can lead to low blood pressure and in rare cases heart failure. If you forget to take Verapamil tablets Do not take a double dose to make up for a forgotten dose. If you forget to take a dose, take it as soon as you remember. If it is nearly time for the next dose, skip the missed dose and take the next dose at the right time. If you stop taking Verapamil tablets Talk to your doctor before you stop taking the tablets and follow their advice. If you stop taking your tablets your condition may get worse. It is important that you keep taking these tablets until your doctor tells you to stop, do not stop because you feel better. If you have any further questions on the use of this medicine, ask your doctor or pharmacist. 4 Possible side effects Like all medicines, this medicine can cause side effects, although not everybody gets them. Contact your doctor at once if any of the following symptoms occur: * allergic reaction: itching, rashes, difficulty breathing and swelling of the face, lips or tongue * Steven-Johnson syndrome: symptoms include fever and flu-like symptoms, rash, skin blisters, peeling skin * palpitations, chest pains for the first time or chest pains becoming more frequent. Continued top of next column Tell your doctor if you notice any of the following side effects, they get worse or you notice any other effects not listed: Nervous system – headaches, dizziness, 'pins and needles', involuntary shaking or spasm Ears– spinning sensation, 'ringing in the ears' Heart /blood vessels – fast, slow or irregular heartbeat, low blood pressure, flushing/reddening of the skin, swelling of the ankles, hands or feet Stomach – constipation, feeling or being sick, pain or discomfort in the stomach, swelling of the gums Skin – hair loss, skin rash or itching, discolouring, burning pain associated with increased skin temperature Muscles – muscle weakness, tremor, aches and pains in the joints and/or muscles Reproductive system – erectile dysfunction, enlarged breasts in men (reversible when treatment is stopped), milky secretion from the breasts Other – tiredness, liver problems which can be indicated by yellowing of the skin or eyes and detected by blood tests done by your doctor. Reporting of side effects If you get any side effects, talk to your doctor, pharmacist or nurse. This includes any possible side effects not listed in this leaflet. You can also report side effects directly via the Yellow Card Scheme at: www.mhra.gov.uk/yellowcard or search for MHRA Yellow Card in Google Play or Apple App Store. By reporting side effects you can help provide more information on the safety of this medicine. 5 How to store Verapamil tablets Keep out of the sight and reach of children. Store below 25°C in a dry place. Do not take this medicine after the expiry date stated on the carton. The expiry date refers to the last day of that month. Do not throw away any medicines via wastewater or household waste. Ask your pharmacist how to throw away medicines you no longer use. These measures will help protect the environment. Continued over page
BOARD OF ADJUSTMENT, PANEL C PUBLIC HEARING MINUTES DALLAS CITY HALL, COUNCIL CHAMBERS MONDAY, APRIL 16, 2018 MEMBERS PRESENT AT BRIEFING: Bruce Richardson, Chair, Cheri Gambow, regular member, Robert Agnich, regular member, and Ryan Behring, regular member MEMBERS ABSENT FROM BRIEFING: None MEMBERS PRESENT AT HEARING: Bruce Richardson, Chair, Cheri Gambow, regular member, Robert Agnich, regular member, and Ryan Behring, regular member MEMBERS ABSENT FROM HEARING: None STAFF PRESENT AT BRIEFING: Neva Dean, Asst. Director, Steve Long, Chief Planner/Board Administrator, Oscar Aguilera, Senior Planner, Kanesia Williams, Asst. City Atty., David Navarez, Project Engineer, Charles Trammell, Development Code Specialist, Shombray Irby, Acting Board Secretary and Elaine Hill, Board Secretary STAFF PRESENT AT HEARING: Neva Dean, Asst. Director, Steve Long, Chief Planner/Board Administrator, Oscar Aguilera, Senior Planner, Kanesia Williams, Asst. City Atty., David Navarez, Project Engineer, Charles Trammell, Development Code Specialist, Shombray Irby, Acting Board Secretary, Elaine Hill, Board Secretary, Neva Dean Assistant Director ************************************************************************************************** 11:15 A.M. The Board of Adjustment staff conducted a briefing on the Board of Adjustment's April 16, 2018 docket. ************************************************************************************************ 1:03 P.M. 1 The Chairperson stated that no action of the Board of Adjustment shall set a precedent. Each case must be decided upon its own merits and circumstances, unless otherwise indicated, each use is presumed to be a legal use. Each appeal must necessarily stand upon the facts and testimony presented before the Board of Adjustment at this public hearing, as well as the Board's inspection of the property. ************************************************************************************************ MISCELLANEOUS ITEM NO. 1 Approval of the Board of Adjustment Panel C, March 19, 2018 public hearing minutes. BOARD OF ADJUSTMENT ACTION: APRIL 16, 2018 MOTION: None The minutes were approved without a formal vote. ************************************************************************************************** FILE NUMBER: BDA178-044(OA) BUILDING OFFICIAL'S REPORT: Application of Steve Chambers for special exceptions to the visual obstruction regulations at 5947 Morningside Avenue. This property is more fully described as Lot 12, Block D/2865, and is zoned CD 11, which requires a 20 foot visibility triangle at alleys and at driveway approaches. The applicant proposes to maintain items in required visibility triangles, which will require special exceptions to the visual obstruction regulations. LOCATION: 5947 Morningside Avenue APPLICANT: Steve Chambers REQUESTS: Requests for special exceptions to the visual obstruction regulations are made to maintain a 6' 2" high solid wood fence with a 6' high swing wood gate in the two 20' visibility triangles on both sides of the driveway into the site from Concho Street, and in the 20' visibility triangle at where the alley meets Concho Street on a site developed with a single family home. STANDARD FOR A SPECIAL EXCEPTION TO THE VISUAL OBSTRUCTION REGULATIONS: Section 51A-4.602(d)(3) of the Dallas Development Code states that the Board shall grant a special exception to the requirements of the visual obstruction regulations when, in the opinion of the Board, the item will not constitute a traffic hazard. STAFF RECOMMENDATION: Approval, subject to the following condition: * Compliance with the submitted site plan and elevation is required. Rationale: * Staff concluded that requests for special exceptions to the visual obstruction regulations should be granted (with the suggested conditions imposed) because the items to be located in the visibility triangles do not constitute a traffic hazard. * The Sustainable Development Department Senior Engineer has no objections to the requests. BACKGROUND INFORMATION: Zoning: Site: CD 11 (Conservation District) North: CD 11 (Conservation District) South: CD 11 (Conservation District) East: CD 11 (Conservation District) West: CD 11 (Conservation District) Land Use: The subject site is developed with a single family home. The areas to the north, east, south, and west appear to be developed with single family uses and duplexes. : Zoning/BDA History There has not been any recent related board or zoning cases recorded either on or in the immediate vicinity of the subject site. GENERAL FACTS/STAFF ANALYSIS: * These requests for special exceptions to the visual obstruction regulations focus on maintaining a 6' 2" high solid wood fence with a 6' high swing wood gate in the two 20' visibility triangles on both sides of the driveway into the site from Concho Street, and in the 20' visibility triangle at where the alley meets Concho Street on a site developed with a single family home. - in a visibility triangle as defined in the Code (45-foot visibility triangles at street intersections, and 20 foot visibility triangles at drive approaches and at alleys on properties zoned single family); and * Section 51A-4.602(d) of the Dallas Development Code states the following: a person shall not erect, place, or maintain a structure, berm, plant life or any other item on a lot if the item is: - between two and a half and eight feet in height measured from the top of the adjacent street curb (or the grade of the portion on the street adjacent to the visibility triangle). * The property is located in Conservation District 11 which requires the portion of a lot with a triangular area formed by connecting together the point of intersection of the edge of a driveway or alley and the adjacent street curb line (or, if there is no street curb, what would be the normal street curb line) and points on the driveway or alley edge end the street curb line 20 feet from the intersection. * The Sustainable Development Department Senior Engineer has submitted a review comment sheet marked "Has no objections". * A site plan and site plan/elevation have been submitted indicating portions of a 6'2" high solid wood fence with a 6' high swing wood gate in the two 20' visibility triangles on both sides of the driveway into the site from Concho Street, and indicating portions of a 6'2" high solid wood fence with a 6' high swing wood gate located in the 20' visibility triangle at where the alley meets Concho Street. * The applicant has the burden of proof in establishing how granting the requests for special exceptions, to the visual obstruction regulations, to maintain a 6' 2" high solid wood fence with a 6' high swing wood gate in the two 20' visibility triangles on both sides of the driveway into the site from Concho Street, and in the 20' visibility triangle at where the alley meets Concho Street, do not constitute a traffic hazard. * Granting these requests with a condition imposed that the applicant complies with the submitted site plan and elevation would limit the items to be maintained in the 20' drive approach visibility triangles into the site from Concho Street and in the 20' visibility triangle where the alley meets Concho Street, to that what is shown on these documents – a 6' 2" high solid wood fence and a 6' high wood swing gate. Timeline: February 22, 2018: The applicant submitted an “Application/Appeal to the Board of Adjustment” and related documents which have been included as part of this case report. March 13, 2018: The Board of Adjustment Secretary randomly assigned this case to Board of Adjustment Panel C. March 14, 2017: The Sustainable Development and Construction Department Senior Planner emailed the applicant/owner the following information: * the criteria/standards that the board will use in their decision to approve or deny the requests; and * an attachment that provided the public hearing date and panel that will consider the application; the March 28 th deadline to submit additional evidence for staff to factor into their analysis; and the April 6 th deadline to submit additional evidence to be incorporated into the Board's docket materials; * The Board of Adjustment Working Rules of Procedure pertaining to documentary evidence. April 3, 2018: The Board of Adjustment staff review team meeting was held regarding this request and the others scheduled for the April public hearings. Review team members in attendance included: the Sustainable Development and Construction Assistant Director, the Building Official, the Assistant Building Official, the Board of Adjustment Chief Planner/Board Administrator, the Building Inspection Senior Plans Examiner/Development Code Specialist, the Sustainable Development and Construction Project Engineer, the Sustainable Development and Construction Department Senior Planner, and the Assistant City Attorney to the Board. April 4, 2018: The Sustainable Development Department Senior Engineer has submitted a review comment sheet marked “Has no objections”. BOARD OF ADJUSTMENT ACTION: APRIL 16, 2018 APPEARING IN FAVOR: No one APPEARING IN OPPOSITION: No one MOTION: Gambow I move that the Board of Adjustment grant the following application listed on the uncontested docket because it appears, from our evaluation of the property and all relevant evidence that the application satisfies all the requirements of the Dallas Development Code and is consistent with the general purpose and intent of the Code, as applicable, to wit: BDA 178-044 – Application of Steve Chambers, for a special exception from visual obstruction regulations contained in the Dallas Development Code, is granted, subject to the following condition: * Compliance with the submitted revised site plan and elevation is required. SECONDED: Agnich AYES: 4 - Richardson, Gambow, Agnich, Behring NAYS: 0 MOTION PASSED: 4 – 0 (unanimously) **************************************************************************************************** FILE NUMBER: BDA178-046(SL) BUILDING OFFICIAL'S REPORT: Application of Jackson Walker, represented by Jonathan G. Vinson, to appeal the decision of the administrative official at 4513 Gaston Avenue. This property is more fully described as Lot 2, Block 1/769, and is zoned PD 362 (Subarea 3A), (H/72), which requires that the building official shall revoke a certificate of occupancy if the building official determines that the certificate of occupancy was issued on the basis of false, incomplete, or incorrect information; the use is being operated in violation of the Dallas Development Code, other city ordinances, rules, or regulations, or any county, state, or federal laws or regulations. The applicant proposes to appeal the decision of an administrative official in the revocation of a certificate of occupancy. LOCATION: 4513 Gaston Avenue APPLICANT: Jackson Walker Represented by Jonathan G. Vinson REQUEST: A request is made "to appeal the decision of the Building Official per letter dated February 2, 2018, to reverse a November 28, 2017, determination letter (copy attached) confirming legal nonconforming rights for the use". Note that another application is made on this property where the same applicant is requesting a special exception to restore/reinstate nonconforming use rights for a "group residential facility" use on the subject site that was discontinued for a period of six months or more is made to obtain a Certificate of Occupancy (CO) from Board of Adjustment Panel C on April 16, 2018: BDA178-039. The applicant is aware of the fact that if the Board grants this request (BDA178-046) and reverses the decision of the Building Official that the request for a special exception to restore/reinstate nonconforming use rights for a "group residential facility" use on the subject site (BDA178-039) will not be necessary. STANDARD FOR APPEAL FROM DECISION OF AN ADMINISTRATIVE OFFICIAL: Dallas Development Code Sections 51A-3.102(d)(1) and 51A-4.703(a)(2) state that any aggrieved person may appeal a decision of an administrative official when that decision concerns issues within the jurisdiction of the Board of Adjustment. The Board of Adjustment may hear and decide an appeal that alleges error in a decision made by an administrative official. Tex. Local Gov't Code Section 211.009(a)(1). Administrative official means that person within a city department having the final decision-making authority within the department relative to the zoning enforcement issue. Dallas Development Code Section 51A-4.703(a)(2). Zoning: Site: PD 362 (Subarea 3A)(H/72) (Planned Development)(Historic) North: R-7.5(A)(H/72) (Single family residential 7,500 square feet)(Historic) South: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) East: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) West: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) Land Use: The subject site is developed with, according to DCAD, an apartment built in 1910. The areas to the north and east are developed with single family uses, the area to the south is developed with multifamily uses, and the area to the west is developed with a vacant retail use. Zoning/BDA History: 1. BDA178-039, Property at 4513 Gaston Avenue (the subject site) On April 16, 2018, the Board of Adjustment Panel C will hold a public hearing to consider a request for a special exception to restore/reinstate nonconforming use rights for a "group residential facility" use on the subject site that was discontinued for a period of six months or more is made to obtain a Certificate of Occupancy (CO) for this use. GENERAL FACTS/STAFF ANALYSIS: * The board shall have all the powers of the administrative official on the action appealed. The board may in whole or in part affirm, reverse, or amend the decision of the official. Timeline: March 1, 2018: The applicant submitted an “Application/Appeal to the Board of Adjustment” and related documents which have been included as part of this case report. March 13, 2018: The Board of Adjustment Secretary randomly assigned this case to Board of Adjustment Panel C. March 13, 2018: March 26, 2018: March 28, 2018: April 3, 2018: April 6, 2018: April 6, 2018: The Board Administrator emailed the applicant the following information: * the outline of procedure for appeals from decisions of the building official to the board of adjustment; and * an attachment that provided the appeal date and panel that will consider the appeal; the March 28 th deadline to submit additional evidence for staff to factor into their analysis (with a notation that staff does not form a recommendation on this type of appeal); and the April 6 th deadline to submit additional evidence to be incorporated into the Board's docket materials; * the Board of Adjustment Working Rules of Procedure pertaining to "documentary evidence." The Sustainable Development and Construction Department Chief Planner Historic Preservation emailed the Board Administrator/Chief Planner the following: "BDA178-039 and BDA178-046 for 4513 Gaston Avenue, the Applicant has been working with the Landmark Commission on proposed renovations to the exterior of the existing structure and additions to the rear". The applicant submitted additional documentation on this appeal to the Board Administrator beyond what was submitted with the original application (see Attachment A). The Board of Adjustment staff review team meeting was held regarding this request and the others scheduled for the April public hearings. Review team members in attendance included: the Sustainable Development and Construction Assistant Director, the Building Official, the Assistant Building Official, the Board of Adjustment Chief Planner/Board Administrator, the Building Inspection Senior Plans Examiner/Development Code Specialist, the Sustainable Development and Construction Project Engineer, the Sustainable Development and Construction Department Senior Planner, and the Assistant City Attorney to the Board. No review comment sheets were submitted in conjunction with this application. The applicant submitted additional documentation on this appeal to the Board Administrator beyond what was submitted with the original application (see Attachment B). The assistant city attorney assisting the administrative official submitted documentation on this appeal to the Board Administrator (see Attachment C). 8 BOARD OF ADJUSTMENT ACTION: APRIL 16 , 2018 APPEARING IN FAVOR: Jonathan Vinson, 2323 Ross Ave, Dallas, TX Caleb Parette, 5034 Leameadow Dr. Garland, TX Lisa Kroencke, 1304 Redwood Cr., Dallas, TX, Mary Shuford, 1302 Redwood Circle, Dallas, TX APPEARING IN OPPOSITION: Patricia Simon, 4519 Gaston Ave. Dallas, TX APPEARING FOR THE CITY: Sonia Syed 1500 Marilla Ave. 7 DN, Dallas, TX Keisha Kaye, 320 E. Jefferson Blvd. Dallas, TX MOTION: Gambow Having fully reviewed the decision of the administrative official of the City of Dallas in Appeal No. BDA 178-046, on application of Jackson Walker, represented by Jonathan G. Vinson, and having evaluated the evidence pertaining to the property and heard all testimony and facts supporting the application, I move that the Board of Adjustment affirm the decision of the administrative official and deny the relief requested by the applicant. SECONDED: Agnich AYES: 4 - Richardson, Gambow, Agnich, Behring NAYS: 0 MOTION PASSED: 4 – 0 (unanimously) **************************************************************************************************** FILE NUMBER: BDA178-039(SL) BUILDING OFFICIAL'S REPORT: Application of Jackson Walker, represented by Jonathan G. Vinson, for a special exception to restore a nonconforming use at 4513 Gaston Avenue. This property is more fully described as Lot 2, Block 1/769, and is zoned PD 362 (Subarea 3A)(H/72), which limits the legal uses in a zoning district. The applicant proposes to restore a nonconforming group residential facility use, which will require a special exception to the nonconforming use regulations. LOCATION: 4513 Gaston Avenue APPLICANT: Jackson Walker Represented by Jonathan G. Vinson REQUEST: A request for a special exception to restore/reinstate nonconforming use rights for a "group residential facility" use on the subject site that was discontinued for a period of six months or more is made to obtain a Certificate of Occupancy (CO) for this use. Note that another application is made on this property where the same applicant is requesting "to appeal the decision of the Building Official per letter dated February 2, 2018, to reverse a November 28, 2017, determination letter (copy attached) confirming legal nonconforming rights for the use" from Board of Adjustment Panel C on April 16, 2018: BDA178-046. The applicant is aware of the fact that this request (BDA178-039) will not be necessary if the Board grants the other appeal filed on this property (BDA178-046) and reverses the decision of the Building Official. STANDARD FOR A SPECIAL EXCEPTION TO OPERATE A NONCONFORMING USE IF THAT USE IS DISCONTINUED FOR SIX MONTHS OR MORE: Section 51A4.704(a)(2) of the Dallas Development Code states that the right to operate a nonconforming use ceases if the nonconforming use is discontinued for six months or more, and that the board of adjustment may grant a special exception to this provision only if the owner can show that there was a clear intent not to abandon the use even though the use was discontinued for six months or more. STAFF RECOMMENDATION: No staff recommendation is made on this or any request for a special exception to operate a nonconforming use if that use is discontinued for six months or more since the basis for this type of appeal is based on whether the board determines that there was a clear intent not to abandon the nonconforming use even though the use was discontinued for six months or more. Zoning: Site: PD 362 (Subarea 3A)(H/72) (Planned Development)(Historic) North: R-7.5(A)(H/72) (Single family residential 7,500 square feet)(Historic) South: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) East: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) West: PD 362 (Subarea 3)(H/72) (Planned Development)(Historic) Land Use: The subject site is developed with, according to DCAD, an apartment built in 1910. The areas to the north and east are developed with single family uses, the area to the south is developed with multifamily uses, and the area to the west is developed with a vacant retail use. Zoning/BDA History: 1. BDA178-046, Property at 4513 Gaston Avenue (the subject site) On April 16, 2018, the Board of Adjustment Panel C will hold a hearing to consider an appeal of an administrative official, more specifically the Building Official's revocation of a certificate of occupancy for a group residential facility on the subject site. GENERAL FACTS/STAFF ANALYSIS: * This request focuses on restoring/reinstating nonconforming use rights for a "group residential facility" use on the subject site that was discontinued for a period of six months or more in order for the applicant to obtain a Certificate of Occupancy (CO) for this use. * The nonconforming use regulations state it is the declared purpose of the nonconforming use section of the code that nonconforming uses be eliminated and be required to comply with the regulations of the Dallas Development Code, having due regard for the property rights of the persons affected, the public welfare, and the character of the surrounding area. * The Dallas Development Code defines "nonconforming use" as "a use that does not conform to the use regulations of this chapter, but was lawfully established under the regulations in force at the beginning of operation and has been in regular use since that time". * The nonconforming use regulations also state that the right to operate a nonconforming use ceases if the nonconforming use is discontinued for six months or more, and that the board of adjustment may grant a special exception to operate a nonconforming use that has been discontinued for six months or more if the owner can show that there was a clear intent not to abandon the nonconforming use even though the use was discontinued for six months or more. * Within this case file is a November 28, 2017 letter from the Chief Planner with Building Inspection to a person who is now the applicant stating among other things that the group residential facility use on the property was a nonconforming use, and based on documentation provided, the property "has maintained its nonconforming land use status and will not be required to obtain a specific use permit". * The site is zoned PD 362 (Subarea A)(H/72) that permits a "group residential facility" use only with a Specific Use Permit (SUP). * According to DCAD records, the "improvements" for the property addressed at 4513 Gaston Avenue is a 7,004 square foot "apartment" constructed in 1910. * Building Inspection has stated that these types of special exception requests originate from when an owner/officer related to the property applies for a CO and Building Inspection sees that the use is a nonconforming use. Before a CO can be issued, the City requires the owner/officer related to the property to submit affidavits stating that the use was not abandoned for any period in excess of six months since the issuance of the last valid CO. The owners/officers must submit documents and records indicating continuous uninterrupted use of the nonconforming use, which in this case, they could not. − There was a clear intent not to abandon the nonconforming "group residential facility" use on the subject site even though the use was discontinued for six months or more. * The applicant has the burden of proof in establishing the following related to the special exception request: * Granting this request would reinstate/restore the nonconforming "group residential facility" use rights that were lost when the use was abandoned for a period of six months or more. * The applicant could make an application for an SUP that, if approved by the City Council, would make the "group residential facility" use on the property a conforming use. * If restored/reinstated, the nonconforming use would be subject to compliance with use regulations of the Dallas Development Code as any other nonconforming use in the city. (The applicant has been advised by staff of Section 51A-4.704 which is the provision in the Dallas Development Code pertaining to "Nonconforming Uses and Structures"). Timeline: February 16, 2018: The applicant submitted an "Application/Appeal to the Board of Adjustment" and related documents which have been included as part of this case report. March 13, 2018: The Board of Adjustment Secretary assigned this case to Board of Adjustment Panel C. March 13, 2018: The Board Administrator emailed the applicant the following * a copy of the application materials including the Building Official's report on the application; information: * an attachment that provided the public hearing date and panel that will consider the application; the March 28 th deadline to submit additional evidence for staff to factor into their analysis; and the April 6 th deadline to submit additional evidence to be incorporated into the Board's docket materials; * the section from the Dallas Development Code pertaining to nonconforming uses and structures; and * the criteria/standard that the board will use in their decision to approve or deny the request; * the Board of Adjustment Working Rules of Procedure pertaining to "documentary evidence." March 26, 2018: March 28, 2018: April 3, 2018: The Sustainable Development and Construction Department Chief Planner Historic Preservation emailed the Board Administrator/Chief Planner the following: "BDA178-039 and BDA178-046 for 4513 Gaston Avenue, the Applicant has been working with the Landmark Commission on proposed renovations to the exterior of the existing structure and additions to the rear". The applicant submitted additional documentation on this appeal to the Board Administrator beyond what was submitted with the original application (see Attachment A). The Board of Adjustment staff review team meeting was held regarding this request and the others scheduled for the April public hearings. Review team members in attendance included: the Sustainable Development and Construction Assistant Director, the Building Official, the Assistant Building Official, the Board of Adjustment Chief Planner/Board Administrator, the Building Inspection Senior Plans Examiner/Development Code Specialist, the Sustainable Development and Construction Project Engineer, the Sustainable Development and Construction Department Senior Planner, and the Assistant City Attorney to the Board. No review comment sheets were submitted in conjunction with this application. April 6, 2018: The applicant submitted additional documentation on this appeal to the Board Administrator beyond what was submitted with the original application (see Attachment B) BOARD OF ADJUSTMENT ACTION: APRIL 16,2018 APPEARING IN FAVOR: Jonathan Vinson,2323 Ross Ave. Dallas, TX Caleb Parette, 5034 Leameadow Dr. Garland, TX Lisa Kroencke, 1304 Redwood Cr., Dallas, TX Mary Shuford, 1304 Redwood Cr., Dallas, TX APPEARING IN OPPOSITION: Jim Anderson,4706 Swiss Ave., Dallas, TX Patricia Simon, 4519 Gaston Ave., Dallas, TX Frances McGee, 1003 Moreland Ave., Dallas, TX Paul Sanders, 617 N. Carroll, Dallas,TX MOTION #1: Behring I move that the Board of Adjustment in Appeal No. BDA 178-039, hold this matter under advisement until 06/18/18. SECONDED: Agnich AYES: 1 - Behring, NAYS: 3 - Richardson, Gambow, Agnich MOTION FAILED: 1 – 3 MOTION #2: Agnich I move that the Board of Adjustment, in Appeal No. BDA 178-039, on application of Jackson Walker, represented by Jonathan G. Vinson, grant the request to restore a nonconforming group residential facility as a special exception to the nonconforming use regulations contained in the Dallas Development Code, because our evaluation of the property and the testimony shows that there was a clear intent NOT to abandon the use even though the use was discontinued for six months or more. SECONDED: Behring AYES: 3 - Gambow, Agnich, Behring NAYS: 1 - Richardson MOTION FAILED: 3 – 1 MOTION #3: Gambow I move that the Board of Adjustment, in Appeal No. BDA 178-039, on application of Jackson Walker, represented by Jonathan G. Vinson, deny the special exception to restore a nonconforming group residential use without prejudice, because our evaluation of the property and the testimony does not show there was a clear intent not to abandon the use, which was discontinued for six months or more. SECONDED: Agnich AYES: 4 - Richardson, Gambow, Agnich, Behring NAYS: 0 MOTION PASSED: 4 – 0 (unanimously) ************************************************************************************************** MOTION: Richardson I move to adjourn this meeting. SECONDED: Agnich AYES: 4 – Richardson, Gambow, Agnich, Behring NAYS: 0 - MOTION PASSED: 4 – 0 (unanimously) 5:04 P. M. - Board Meeting adjourned for April 16, 2018 _______________________________ CHAIRPERSON _______________________________ BOARD ADMINISTRATOR _______________________________ BOARD SECRETARY ************************************************************************************************** Note: For detailed information on testimony, refer to the tape retained on file in the Department of Planning and Development.
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Exploring Reactive Access Control ⋆ firstname.lastname@example.org Michelle L. Mazurek Peter F. Klemperer ⋆ Richard Shay ⋆ email@example.com † firstname.lastname@example.org Hassan Takabi ⋆ email@example.com Lujo Bauer firstname.lastname@example.org ⋆Carnegie Mellon University Pittsburgh, PA, USA Lorrie Faith Cranor ⋆ email@example.com † University of Pittsburgh Pittsburgh, PA, USA ABSTRACT As users store and share more digital content at home, access control becomes increasingly important. One promising approach for helping non-expert users create accurate access policies is reactive policy creation, in which users can update their policy dynamically in response to access requests that would not otherwise succeed. An earlier study suggested reactive policy creation might be a good ﬁt for ﬁle access control at home. To test this, we conducted an experience-sampling study in which participants used a simulated reactive access-control system for a week. Our results bolster the case for reactive policy creation as one mode by which home users specify access-control policy. We found both quantitative and qualitative evidence of dynamic, situational policies that are hard to implement using traditional models but that reactive policy creation can facilitate. While we found some clear disadvantages to the reactive model, they do not seem insurmountable. Author Keywords Access control, Home computing, Human factors, Privacy ACM Classiﬁcation Keywords H.1.2 User/Machine Systems: Human factors; D.4.6 Security and Protection: Access controls; H.5.2 User Interfaces: User-centered design General Terms Experimentation, Human Factors, Security INTRODUCTION Users without technical expertise are accumulating content on their home devices. Increasing network capacities facilitate sharing this data, increasing the risk of unauthorized information disclosure. Access-control mechanisms are needed Permission to make digital or hard copies of all or part of this work for personal or classroom use is granted without fee provided that copies are not made or distributed for proﬁt or commercial advantage and that copies bear this notice and the full citation on the ﬁrst page. To copy otherwise, or republish, to post on servers or to redistribute to lists, requires prior speciﬁc permission and/or a fee. CHI 2011, May 7–12, 2011, Vancouver, BC, Canada. Copyright 2011 ACM 978-1-4503-0267-8/11/05... 10.00. $ to ensure these users maintain control of their data. However, providing this access control effectively is a challenge. Managing access-control policy has historically been time consuming and error-prone, even for experts [9, 16]. Nonexpert home users may lack the time, patience, and experience needed to specify correctly a traditional access-control policy covering hundreds of ﬁles. One promising solution is reactive policy creation. In a reactive model, resource owners are not required to determine all access-control policies a priori, but may instead do so in response to a request. If a user tries to access a resource but lacks sufﬁcient permission, she can use the access-control system to send a request to the resource owner, who can opt to update his policy and allow the access. Ad-hoc reactive access control is frequently used in practice. When a person ﬁnds herself unable to access a given ﬁle, she may contact the ﬁle owner to ask permission. However, in most cases reactive policy creation is not supported directly by access-control systems. Instead, users go outside the system and make requests via e-mail or telephone calls. This disconnect between traditional system affordances and user behavior motivates our study; we believe that shifting these requests from external channels to within the system may provide valuable beneﬁts in convenience, security, oversight, and accountability. Further, we are motivated by a prior study that suggested reactive access control might help non-technical home users more easily manage their access-control policies [10]. Participants in that study responded positively to the idea of reactive policy creation; for many, a system based on requests seemed like it would provide a greater sense of control over their data. Moreover, it ﬁt within the familiar social convention of asking for permission. However, that study asked participants to consider a reactive system only brieﬂy. In this study, we set out to discover in more depth whether and how a reactive model could contribute to making access control more usable. In particular, we wanted to know whether people have speciﬁc policy needs that match better to a reactive model than a traditional model, as well as whether reactive policy creation better matches users' mental models and preferences. We also wanted to know whether responding to requests would prove so tedious or annoying that the reactive model would be impractical. For this study, we chose to focus on how well the reactive model could work for ﬁle owners; we leave examining reactive policy creation from a requester's point of view to future work. To address these questions as realistically as possible without building an actual reactive system, we designed and executed an experience-sampling study intended to simulate the experience of using a reactive policy creation system to manage ﬁle access. Our 24 participants provided names of ﬁles they have and people they know. For one week, each participant received and responded to simulated access requests drawn at random from these lists of people and ﬁles. We collected a rich set of data that bolsters the case for using reactive policy creation as one of the modes by which home users specify ﬁle-access-control policy. We found quantitative and qualitative evidence of dynamic, situational accesscontrol policies that are hard to implement using traditional models but that reactive policy creation can facilitate. Our study showed that the reactive model supports many of our participants' policy creation needs, including the desire for more control and interactivity. While we found some clear disadvantages to the reactive model, they do not seem insurmountable. In fact, we found that some seemingly obvious disadvantages, such as the annoyance of receiving frequent requests, had only a minor impact on the usability of our simulated system and on user satisfaction. In the process, we captured detailed information about the policy decisions users made and how they made them. Our study also served as a very low-ﬁdelity prototype, providing insight into effective interface design for incorporating reactive policy creation into the access-control system we plan to build. In the remainder of this paper, we describe the methodology of our study, present an overview of our results, describe the trends we identiﬁed in more detail, discuss the limitations of our approach, review related work, and present our conclusions. METHODOLOGY We recruited 24 adult participants, using craigslist advertisements and ﬂiers posted at our universities. We conducted the study in two rounds, one month apart, with 10 and 14 participants respectively. To focus on non-experts, we limited participation to those without degrees or jobs in computer science or engineering. Table 1 lists demographic information about our participants. Participants were compensated $10 for the initial brieﬁng interview, $15 for the debrieﬁng interview, and 25¢ for each response to a reactive request. We encountered a large gender disparity during recruitment: the ﬁrst 10 volunteers who met our requirements were all women. To counter this, we performed a second round of interviews with nine men and ﬁve women. While this may affect our results, we believe the effect is small. We discovered no major differences between the participants in the ﬁrst and second round, apart from expected changes in the use of maybe policies, described below. Table 1. Participant demographics. For household, R indicates roommates, F families, C couples, and A participants who live alone. \| Code \| Age \| Gender \| Occupation \| Household \| Condition \| Files \| Requesters \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| P01 \| 23 \| F \| marketing manager \| R \| pre \| 24 \| 10 \| \| P02 \| 41 \| F \| magazine editor \| A \| post \| 24 \| 9 \| \| P03 \| 26 \| F \| law student \| R \| pre \| 20 \| 8 \| \| P04 \| 32 \| F \| unemployed \| C \| post \| 22 \| 10 \| \| P05 \| 25 \| F \| law student, legal secretary \| A \| post \| 20 \| 11 \| \| P06 \| 23 \| F \| student \| R \| pre \| 19 \| 10 \| \| P07 \| 24 \| F \| graduate student \| A \| post \| 20 \| 9 \| \| P08 \| 43 \| F \| unemployed \| A \| pre \| 9 \| 9 \| \| P09 \| 29 \| F \| student \| R \| pre \| 26 \| 9 \| \| P10 \| 46 \| F \| video producer \| C \| post \| 25 \| 9 \| \| P11 \| 34 \| M \| legal assistant \| F \| pre \| 26 \| 8 \| \| P12 \| 23 \| F \| student \| F \| post \| 20 \| 8 \| \| P13 \| 23 \| F \| student \| C \| pre \| 19 \| 8 \| \| P14 \| 22 \| F \| student \| R \| pre \| 20 \| 8 \| \| P15 \| 37 \| F \| business administrator \| F \| post \| 24 \| 11 \| \| P16 \| 23 \| F \| product developer \| C,R \| post \| 25 \| 8 \| \| P17 \| 26 \| M \| unemployed \| R \| pre \| 21 \| 9 \| \| P18 \| 37 \| M \| HR manager \| F \| post \| 22 \| 9 \| \| P19 \| 34 \| M \| lawyer \| C \| post \| 14 \| 8 \| \| P20 \| 23 \| M \| marketing coordinator \| C,R \| pre \| 20 \| 10 \| \| P21 \| 54 \| M \| purchasing manager \| F \| post \| 20 \| 8 \| \| P22 \| 21 \| M \| student \| R \| pre \| 15 \| 8 \| \| P23 \| 24 \| M \| bookkeeper \| R \| post \| 23 \| 8 \| \| P24 \| 26 \| M \| entertainment \| F \| post \| 26 \| 8 \| Experience-sampling process We modeled our experience-sampling study on a locationsharing study by Consolvo et al. [5]. Our study included an initial brieﬁng interview, a request phase, and a ﬁnal debrieﬁng interview. We used two conditions: pre-condition participants ﬁlled out a grid representing their proactive policy during the brieﬁng interview, while post-condition participants ﬁlled out this grid during the debrieﬁng interview. Brieﬁng interview. We collected lists of eight to 11 people with whom the participant might share ﬁles. Participants were required to list anyone they live with, a romantic partner if applicable, at least two family members and two friends not living with the participant, a supervisor, and at least two work colleagues or fellow students. Participants were also asked to name ﬁles they store on digital devices. We prompted participants to think about photos, music, videos, ﬁnancial ﬁles, work or school ﬁles, e-mail, and address-book information. In each category, we asked for groups of ﬁles, then one or two examples per group. We obtained 14 to 26 ﬁle names per participant. Pre-condition participants only were then asked to deﬁne a yes, no, or maybe access policy for each of the ﬁle/requester combinations. We call this the proactive policy, because it is established before any hypothetical access attempts. The maybe policy indicates the participant cannot or does not want to make a decision without more information. During the ﬁrst round, participants appeared to have difﬁculty comprehending the maybe policy. To address this, we read a more detailed description of the maybe policy to second-round participants and asked them to provide and explain examples of yes, no, and maybe policy choices before completing the grid on their own. As we expected, this change led to increased use of maybe policies in the second round, mainly in exchange for decreased use of no. No other signiﬁcant differences were found between the ﬁrst and second rounds in the Likert questions, proactive grid policies, or reactive policies, except for a slight increase in participants who said they might use a reactive system to request ﬁles. 1 As a result, we consider the effect of conducting the study in two rounds to be small. Request phase. In the second phase, participants received mock ﬁle-request e-mails indicating a particular person wanted to access a particular ﬁle. The people and ﬁles were randomly selected, using a uniform distribution, from the lists provided during the brieﬁng; combinations were not repeated. Each participant received ﬁve to 15 requests per day between 7 a.m. and 11 p.m., during a six- to seven-day period, with the exact number and timing also randomly selected with uniform distribution. All requests were simulated; none of the participants' acquaintances were contacted, nor were their ﬁles actually shared. Requests were assigned randomly to examine a broad range of requester/ﬁle combinations, including those that participants might ﬁnd strange or uncomfortable. Each request directed the participant to a website where she could select a response from seven options, as illustrated in Figure 1. The options allowed the participant to ignore, allow, or deny the request. Allow and deny responses could be set for that request only, all future requests from that person for that ﬁle, or all future requests from that person for that ﬁle group. The participant was also asked to supply a short explanation of her reasoning, intended speciﬁcally for the researchers and not the hypothetical requester. In the second round, participants were also able to provide an optional free-form description of additional policies they would like to create. Participants' persistent reactive policy decisions did not feed back into requests they received later. As a result, requests could be inconsistent with participants' previous policy decisions (e.g., a participant might receive a request from someone they had previously stated they wished to allow all requests from). A more complete system would have automatically screened out inconsistent requests. We asked participants to imagine the requests were real when responding. We asked them not to check their e-mail more often or respond sooner than they might if the requests were 1 All differences calculated using unpaired t-tests. Signiﬁcant pvalues (<0.05): Likert use to request, p=0.0285; proactive no, p=0.0296; proactive maybe, p=0.000284. Non-signiﬁcant p-values: Likert convenience, p=0.983; Likert annoyance, p=0.741; Likert enjoyable, p=0.272; Likert use to share, p=0.788; proactive yes, p=0.508; reactive allow, p=0.0884; reactive deny, p=0.125; reactive ignore, p=0.803. Figure 1. Sample response form. real, and to consider any factors that might inﬂuence their answer to a real request. During the debrieﬁng interviews, we found that for the most part our participants immersed themselves in the system and demonstrated strong, sometimes emotional reactions to the simulated requests. Participants responded to 1360 of 1452 total requests sent to them. The responses represented 30% coverage of 4481 possible requester/ﬁle combinations, with minimum coverage of 19% and maximum coverage of 45% per participant. Debrieﬁng interview. At the start of the debrieﬁng interview, post-condition participants only were asked to deﬁne a proactive yes, no, or maybe access policy for all of the ﬁle/requester combinations they had deﬁned in the brieﬁng. All participants then completed a seven-question survey. Using a seven-point Likert scale from 'strongly agree' (1) to 'strongly disagree' (7), we asked how enjoyable or convenient they found the system, and whether they would consider using such a system in real life. We also asked whether they found the number of messages they received annoying. We then asked open-ended questions about their experience. We asked for which people and ﬁles they particularly did or did not want to use a reactive system, and how well the response options met their needs. We also asked how realistic they found the requests. Then, we discussed in detail several individual requests, cho- sen to provide broad coverage and include particularly interesting cases. For each selected request, participants were asked to explain why they answered as they did and whether they would choose the same answer again. Where applicable, we asked about any social awkwardness that could arise from denying or ignoring a request. Finally, we asked participants whether they would prefer to create policy all at once, up front; to use a reactive system; or to use a combination of the two, and why. Grid conditions. As discussed earlier, participants were divided into two conditions. Participants in the ﬁrst condition ﬁlled in a proactive access policy grid during the initial interview, while participants in the second condition completed the same grid during the debrieﬁng. This grid allowed us to contrast the participants' proactive policies with the reactive policies created by responding to requests, and provided participants with a clear point of comparison between setting policy all at once and setting policy on a per-request basis. We used the conditions to examine priming effects on participants who were required to think through every possible person-ﬁle combination by ﬁlling out a grid before responding to requests. In both cases, we emphasized to participants that we were not asking them to match their grid and request responses, and that changing their minds was normal and allowed. We cannot completely account for the fact that participants may have tried to match their answers to appear more consistent, but we attempted to minimize its effects. Data analysis We collected both quantitative and qualitative data. To evaluate participants' free-form responses to debrieﬁng questions, we applied an iterative coding process [14, 15]. An initial ﬁne-grained review of a subset of the debrieﬁng survey responses resulted in an initial set of codes. Then two of the authors independently coded the participant responses. Disagreements were resolved through modiﬁcation or clariﬁcation of the codes until consensus was reached. Several participants provided no policy choice for some grid cells. To facilitate analysis, only ﬁles with complete grid policy deﬁnitions are included in this paper. One participant failed to complete an entire page of grid policy, resulting in 97% of the blank grid entries. The dropped entries account for approximately 2% of possible grid policies. A few participants answered the same request more than once, creating 26 duplicate responses (less than 2% of total responses). In this paper, the ﬁrst response provided by the participant for any requester/ﬁle combination is assumed correct and used for data analysis. FINDINGS In this section, we ﬁrst provide an overview of quantitative results. We then discuss seven speciﬁc ﬁndings drawn both from these results and from qualitative data that we collected. The ﬁrst four provide evidence that users' pol- (a) Participants' proactive policies, normalized. (b) Participants' reactive policies, normalized. Figure 2. Participants' proactive and reactive policies varied widely. icy needs can be better met by reactive policy creation than by traditional models. The next three describe additional interesting, somewhat unexpected qualitative results that can guide effective design of reactive-policy-creation systems. Overview of quantitative results Participants ﬁlled in a total of 4481 policy grid entries. Of these, 56% (2518) were yes, 34% (1518) were no, and 10% (445) were maybe. Individual choices ranged from 100% yes (P22) to 72% no (P15). Details of each participant's grid policies can be found in Figure 2(a). Request responses showed a similar distribution, with 67% (913) allow, 30% (406) deny, and 3% (41) ignore. Individuals ranged from 100% allow (P22) to 62% deny (P01). Participants used allow once 251 times, always allow ﬁle 281 times, and always allow group 381 times. Deny responses were divided into 108 deny once, 81 always deny ﬁle, and 217 always deny group. Figure 2(b) summarizes individual participants' responses. We also measured conﬂicts between participants' grid entries and their responses to requests. We consider instances where the participant marked yes but responded with any type of deny, or marked no but responded with any type of allow, as conﬂicts. Overall, 12% of responses resulted in conﬂicts, ranging from several participants with no conﬂicts to P08, for whom 49% of responses resulted in conﬂicts. We found no signiﬁcant difference in grid or response patterns between pre- and post-condition participants. 2 2 Differences calculated using unpaired t-tests, with p-values as follows: proactive yes, p=0.952; proactive no, p=0.972; proactive maybe, p=0.967; reactive allow, p=0.808; reactive deny, p=0.704; reactive ignore, p=0.619. During the debrieﬁng interviews, participants answered several Likert questions about their experiences. When asked whether they enjoyed using the system, the median response was a moderately positive 5 out of 7 (66.7% agree, 16.7% disagree, 16.7% neutral). Participants also agreed (median 6 out of 7; 66.7% agree, 12.5% neutral, 20.8% disagree) that this type of system would be convenient for them. Asked whether they found the e-mail requests annoying, participants disagreed slightly (median 3 out of 7; 25% agree, 16.7% neutral, 58.3% disagree). We also asked participants whether they would use a similar system in real life, both to share their own ﬁles and to request ﬁles from others. Eleven participants said they probably would use such a system, nine said they might or might not, and only four said they probably would not. In addition, we asked participants whether they would prefer reactive policy speciﬁcation (represented by the request system), proactive policy speciﬁcation (represented by the grid they ﬁlled out), or a combination of the two. Seven participants preferred the reactive model and 14 preferred the combination; only one preferred proactive policy alone. During the second round, we asked participants if they would rather receive requests via e-mail, text message, phone call or other means. They overwhelmingly preferred e-mail, often in combination with text messages. A few participants asked for requests to be aggregated, either in a periodic digest e-mail or via a web-based service the participant could check at her convenience. Policies change over time Our results indicate that participants' ﬁle-sharing policies change relatively often, in response to a variety of factors. Reactive policy creation is better suited to express these kinds of dynamic policies than traditional access-control models. Participants demonstrated this dynamism through their proactive and reactive policy choices, including use of maybe, one-time decisions, and policy conﬂicts. One indicator of dynamic policy was the frequent use of maybe in participants' policy grids, both before and after using the request system. As mentioned previously, in the second half of the study, when we clariﬁed the maybe option, the use of maybe rose from 3% of grid entries in round one to 15% of grid entries in round two. Second-round participants used maybe more often at the expense of no; the rate of using yes stayed roughly unchanged. Especially in round two, participants often used maybe in thoughtful, deliberate ways in cases where context was important and access policy could not be entirely speciﬁed in advance. For example, P21 used maybe in reference to sharing ﬁnancial data from his son's business with some of his co-workers. He never expected to share that ﬁle with those people, but said he might make an exception if an accountant wanted to provide ﬁnancial advice. He chose maybe rather than no, planning to make an informed decision in context. P17 never used no in his grid, preferring maybe for the same reason. Table 2. Conﬂicts between proactive and reactive policy. Most conﬂicts occurred when a proactive no decision was overturned by a reactive allow decision. As with maybe, participants used the one-time allow and deny options to express policies that were expected to change. P10 selected deny once rather than always deny for one request because "it is within the realm of possibility that something would alter" and she would change her mind. P23 denied a work colleague access to a photo of him with friends once, after marking that combination maybe in the grid. He explained that he might grant access "maybe if we were just having casual talk at work and I mentioned something we did over the weekend." In many cases, differences between proactive and reactive policy also indicated changing policy preferences. We found that 12% of total request responses conﬂicted with the participants' grid entries. Although a few of these conﬂicts were generated by participant misclicks in the response form, most reﬂect actual policy changes. Table 2 details the conﬂicts we observed. Interestingly, 62% of all conﬂicts involved answering no in the grid but allowing a request, regardless of whether the participant ﬁlled out the grid ﬁrst or answered the request ﬁrst. This provides some evidence that people will share more reactively than proactively. P05 approved an access on her grid, but refused the same access as a request because "today he's on my blacklist." P12 said, "Some ﬁles might be consistent all the time," while others "depend on [the requester's] reasoning or might depend on my mood." P02 refused a request for a work document in progress, but later marked yes in her grid because the document had since been completed. (This is consistent with Razavi's ﬁndings about sharing patterns over document life cycles [13].) Policies are situational Our results indicate that participants' policies are dynamic in part because their sharing decisions depend heavily on the details of the situation at the time the access-control decision is made. Again, this context-awareness is a natural ﬁt for a reactive model, which allows users to make decisions at the relevant time rather than a priori. Participants frequently explained that the reason why someone wanted to access a ﬁle mattered in making policy. P04 denied a request from a friend for video of a family wedding because "there's no reason she would want to see it. ... If it had come with some kind of explanation for a reason why," then she might have permitted the access. P10 said, "Almost every answer I have is based on context." She chose to allow her husband to see an invoice from her business only once, saying she would want a reason to give him the ﬁle because he is "less careful than I am about sharing digital information." P12 used deny once for several requests for videos of herself practicing public speaking because "I don't really like to be recorded and on camera, but in the future if there were some really good reason, I'd allow it." She also said she might consider a request from a professor for work from a different class, but she would want a valid academic reason to share it. P08 added that if she were sending requests, she would want to supply a reason, as it seems "presumptuous" to ask without explaining. Some participants even invented reasons for our randomly generated requests. P23 allowed a request from a friend for his sister's contact information once only, suggesting he might accept that request in an emergency. P12 guessed a friend might want to see her resume "as an example." P13 allowed a work colleague's request for a term paper she'd written on 'Feminism and Film' because "maybe he's interested in the topic and if I can help him get a broader understanding of it, then that would be good." She said an explanation of the request would help her make a better decision about a ﬁle like this one, which is "kind of personal but then kind of not." Other examples demonstrate that this situational dependence can make it difﬁcult to accurately specify policy ahead of time. Seeing a request helped remind P06 of ethical considerations. In reference to a request from another student for a term paper, she said, "Sharing your work with another student has potential to get you in trouble. ... At the time [when ﬁlling out the grid], I didn't think it would be an issue with me, but actually seeing, 'Matt is requesting your term paper,' the light went off, saying 'bad idea.'" In her grid, P01 allowed her work photographs to be seen by many requesters. However, when the requests were sent, she reconsidered her professional responsibilities and decided against sharing those ﬁles. P02 had the opposite reaction; she allowed a request for a sensitive ﬁle, but then said no in the grid because seeing all the people at once on the grid reminded her that information shared with one person will often be disseminated further. Policies are also complex in other ways Our ﬁndings indicate that many users' policy preferences are also complex in less dynamic ways. Some participants considered factors beyond the sensitivity of the information in question when making decisions. For example, P09 denied a request from a friend for a Christmas photograph because "she doesn't celebrate Christmas and might be offended." P07 denied several requests for music when she thought the requester might not enjoy the song in question. Two participants said they might like to grant ﬁne-grained permissions to sections within ﬁles, not just to ﬁles them- selves. P02 keeps all her passwords written down in one ﬁle; discussing a request from her teenage daughter for that ﬁle, she said that she might want to share some of those passwords with her daughter, but not others, "because someone who's younger doesn't know how to disseminate it or not." Similarly, P21 said he might want to share inventory and planning spreadsheets from his construction business with clients or vendors but redact some cost and pricing details. Reactive policy creation ﬁts users' interest in control Several of our participants found a request-based system appealing because they felt it provided added control over the dissemination of their ﬁles. This ﬁnding conﬁrms that reactive policy creation continues to ﬁt well into users' mental models after a week of simulated exposure to it. Six participants said they might use reactive policy creation to help them track who was accessing their ﬁles and when. P11 said he would use a system like this one to "see who is actually accessing my ﬁles" and create considered responses. P21 liked that a system like this would provide a record of "who had access to what." P02 said a reactive policy creation model would make it easier than a proactive model to start saying no if someone is abusing access privileges. P02 also never used the group options for a response, saying that she wanted to know which individual ﬁles people were accessing, even if that would mean receiving more requests. P13 added that "it makes me feel comfortable knowing what people are trying to access." Other participants liked that the reactive policy model incorporates the idea of requesting permission. P01 said, "I enjoyed people asking for permission to see the ﬁles." P16 said she used maybe for certain grid entries because "sometimes I would be willing to share ... but I'd like him to ask me." Participants also said the reactive model helped them make better decisions. P15 said answering requests "made you think"; with current systems, she often sends ﬁles or forwards e-mails "automatically, without thinking." P14 said the reactive model provides "more of an opportunity to really think about it." Social norms inﬂuence policy choices As a low-ﬁdelity prototype, our study provided insight into the ways people might use a reactive-policy-creation system. Social factors played a large role in participants' reactions, as well as in the speciﬁc policy decisions they made. Understanding these inﬂuences can help designers structure a reactive system to maximize user comfort. Many participants expressed discomfort at receiving requests they considered inappropriate, such as from friends for conﬁdential work documents or from co-workers for ﬁnancial ﬁles. Several said they were conﬁdent they would never receive such requests from real people, who would "know better." Participants had interesting reactions to the ignore option. The 11 participants who used this option applied it only 41 times, totaling only 3% of responses from all users. Seven participants told us they expected never to use this option, mainly because they found it rude not to send a reply. P01 said she wouldn't use ignore because she would like a reply if she sent requests. P05 said she wouldn't use ignore because "I don't like to live in the gray area." Others suggested that using ignore would only postpone the problem, as the requester would simply ask again until she received a response. Some did see value in using ignore. Most commonly, ignore was used when the participant felt uncomfortable sharing the ﬁle but also uncomfortable denying the request outright. In many cases, this happened when a supervisor or authority ﬁgure asked for personal materials. For example, P13 felt "uncomfortable sharing personal pictures with a professor I am not close with, but I don't want to deny him access outright and make him feel uncomfortable. I ﬁgure ignoring his request will get the message across." She added that "For me, an ignore is like, 'I never want you to see it, but I don't want to talk about why.' It's just a more passive rejection for me." P06 used ignore to avoid saying no to her father, who had asked to see a video from her 21st birthday party that she preferred not to share with him. A few participants suggested that if they chose to ignore a requester, that requester might forget about the request entirely, neatly solving the problem. Other explanations for using ignore included adding a delay while deciding how to answer, handling requests the participant considered too outlandish or inappropriate to deserve an answer, and handling requests for ﬁles the participant could not immediately identify. One participant used ignore to register her displeasure with a friend who had "made me upset that day." We also asked participants directly if it bothered them to refuse or ignore requests, and if they worried that the requester would be upset. Most participants said they weren't bothered, saying that people who asked for inappropriate ﬁles should expect to receive a negative result. This is one area where we think the gap between experience sampling and real life has a strong impact; we expect that people might be more worried about the social consequences of denying or ignoring requests from real people. On the other hand, P06 pointed out that ignoring or denying a request is no worse within a reactive policy creation system than in any other sharing model, "just because I think eventually you have to do that anyway." Social factors also played a role in several participants' desire to manage ﬁle access "manually," in person or otherwise outside a ﬁle-sharing system like the one we proposed. Several participants said they might not use a system like ours to request ﬁles, preferring to ask directly, over the phone or even by e-mail, rather than allowing the system to send an automated request. P07 said she would rather share in person: "I can show [this friend] this collection of music some other time when I see her on a daily basis." P10, a video producer, said she might use a request for one of her ﬁlms to generate a personal interaction. She wanted to send a message with her response, saying "I'd love to share that with you. ... Do you want to watch together?" and hoping to "develop a conversation." P04 was also looking for more personal interaction, saying, "If my stepmother wants my friend's contact information, she needs to personally talk to me." As discussed above, our participants were far more likely to say yes than no in their grids, and even more likely to accept a request than to say yes in the grid. Some of this may be attributable to the ﬁles being self-selected (discussed in more detail later), but it may also reﬂect a general social pressure to say yes when asked for something and to avoid the appearance of having secrets. In addition, as mentioned above, most conﬂicts between proactive and reactive policy were more permissive reactively. Taken together, these results suggest that perhaps forcing users to respond to direct requests increases social pressure to share. People have difﬁculty trusting systems Several participants were concerned about the security of our proposed system. Some worried that a system that exposed ﬁles for access via requests could be attacked, allowing unauthorized access. P08 said she would be "sort of paranoid" about exposing her ﬁles this way, in case an attacker "somehow [got] in to take other stuff" or "plant a worm on your drive. ... I would feel more comfortable if I would send it versus they go in and get it off my computer." Another participant worried that showing the existence of ﬁnancial ﬁles could provide incentive for attackers to attempt to break into her system. Others were concerned that the source of a request could not be properly authenticated, and worried they might grant permission to a malicious user masquerading as a friend or co-worker. P08 suggested a spammer would "sooner or later ... hit on a name that was someone I know," and P18 asked "can someone request a ﬁle [with my friends name] and I'm giving access that I shouldn't be?" These concerns, expressed by one quarter of participants, arose organically; in our script, we were careful to specify that "no one can access [your ﬁles] without your permission," but participants were unwilling to take our word for it, even with no real data at risk. This suggests a strong level of skepticism toward new systems claiming to provide secure data sharing. Designers of new reactive systems must take this into account and ﬁnd ways to convincingly demonstrate security in order to get user buy-in. Reactive policy speciﬁcation raises speciﬁc concerns Although we found signiﬁcant evidence of the need for and popularity of reactive policy creation, we also identiﬁed speciﬁc concerns that must be carefully managed for a system based on this model to be successful. These potential problem areas include annoyance with too many messages, the possibility that users may not recognize a requested ﬁle, the need for well-chosen response options, and the potential for disclosing information via lists of requestable ﬁles. Annoyance with requests. We feared that even a small set of daily requests would cause annoyance and delay in answering, outweighing the possible beneﬁts of reactive policy speciﬁcation. We discovered this was not at all the case—participants expressed little annoyance and for the most part answered requests promptly. Most participants reported answering requests immediately upon receiving the e-mail. Measured request-response intervals accord with this, showing no increase in delay from the beginning to the end of the study. On a Likert scale, participants disagreed slightly with the statement "I found the e-mail requests annoying." We also asked them whether the number of requests they received was "way too many, very annoying"; "more than I would have preferred but not so many that it really bothered me"; or "a reasonable number of messages." Only one participant chose "way too many"; the rest split evenly between the other two options. Several participants indicated that although they received a lot of messages during the study, they would expect to receive many fewer in real life, limiting the annoyance. A few participants said the requests were no worse than the normal volume of e-mail they receive. Although our ability to realistically evaluate the annoyance potential of a request-based system was somewhat limited, our impression after talking with participants is that while some frequency of requests would be intolerably annoying, our study did not reach that level. We are optimistic that a real system could maintain a tolerable message frequency. We expect that requests in a real system would decrease over time, as users grant persistent permissions or apply policy to groups of people or ﬁles and the system handles more and more situations automatically. This depends, of course, on how often users select the always and always group responses. In our study, participants selected these options more than two-thirds of the time, despite the fact that only a few coarse-grained ﬁle groups were available. P13 said she and a friend "share photos all the time," so she would allow all that friend to see all photos because it's "less of a hassle" than handling them individually. P23 also mentioned that he wished "the system after a while would have recognized" his previous choices and then sent fewer requests. Trouble recognizing ﬁles. The reactive policy model assumes users can make effective decisions when presented with a request for ﬁle access. This assumption breaks down if the user does not recognize the ﬁle in question. At least three participants in our study could not identify a requested ﬁle, despite the fact that we used only a small subset of their ﬁles, which we asked them to describe memorably less than a week prior to the request. We expect this problem to get worse when dealing with a user's complete set of ﬁles, some of which may not be named descriptively, over an indeterminate period of time. This problem could be mitigated by offering the user a chance to view the ﬁle in question before making a decision. Additional response options. We asked participants if they had ever wanted to provide a response not available on the form. The most popular sug- gestion was to reply asking why the ﬁle was wanted, further demonstrating the context-dependent nature of some policies. Other interesting suggestions included a "request pending" response to provide assurance the request was not being ignored, as well as an option to forward the request directly to a third party to make a decision. The forwarding option was mentioned in the context of work-related requests requiring approval from a supervisor as well as requests for address book information that should be approved by the person whose contact information was being requested. Information disclosure via lists of ﬁles. For a request-based system to work, requesters will likely need some information about what ﬁles or directories are available. This will by necessity leak information about what ﬁles exist, possibly including sensitive information if ﬁlenames are speciﬁc and descriptive. In a real system, we would expect to provide users with some control over ﬁle visibility; for simplicity, in this study we assigned requests randomly rather than allowing users discretion. We asked participants how this issue would affect their interest in using this kind of system. Some participants weren't worried at all, because the ﬁles they wanted to restrict included things like tax ﬁles or calendar entries; these participants reasoned that "everyone" has ﬁles like those and so revealing their existence wouldn't be damaging. As expected, however, many participants did express concerns. These concerns generally took two forms: worry that listing ﬁles would provide temptation for attackers to attempt to break the system security, and worry that sensitive information would be leaked as part of ﬁle and directory names. For example, P21 mentioned keeping the existence of a new resume ﬁle from a boss when searching for a new job; another participant was concerned that revealing e-mail subject lines might lead to a friend discovering a social event she hadn't been invited to. We believe these concerns can be effectively addressed by allowing users to decide which ﬁles should be visible and requestable to which people. LIMITATIONS It can be difﬁcult to evaluate how well a proposed system feature will work without actually implementing the system to test it. Because of this, we put signiﬁcant thought into our study design, and evaluating its success was one of our major goals. Despite the inherent limitations of experiencesampling simulation and the speciﬁc limitations of our methodology, overall we found evidence to suggest that our results can apply to reactive policy-creation systems in general. First, although we asked participants to imagine receiving requests and sharing their ﬁles, they were aware no data was actually at risk. As a result, a participant might have refused a simulated request that in reality she might have accepted in order to avoid an awkward social situation. On the other hand, participants might have more casually accepted simulated requests than they would real ones. This problem is compounded by randomly generated requests that sometimes appeared bizarre or inappropriate, combined with our inability to tell participants why a given request was made. Several participants said they might accept requests they considered unusual or inappropriate if the requester had a good reason, which we were unable to supply. This may have reduced participants' ability to imagine the system to be real. However, based on our debrieﬁng interviews we contend that our participants suspended their disbelief, took the requests they received seriously, and answered carefully. In addition, our reactive response form allowed participants to explain their decisions. Participants provided reasons for 87% of responses, indicating thoughtful decision making. We also asked each participant for details about several individual responses; their detailed, reﬂective answers demonstrate they took the requests seriously. Participants who made policy decisions because they were angry at the requester or concerned she would not like the content, or who created justiﬁcation scenarios for unlikely requests, clearly engaged with the system as though it were real. Our decision to pay participants 25¢ per response created another potential limitation. We paid participants this way partially in order to replicate social incentives to respond to requests received from friends, family, and colleagues. The payment, however, might have induced participants to respond to more requests than they would have otherwise, or else reduced their annoyance at receiving requests. Because the payment per request was so small, we don't believe it introduced very much skew into our results. In addition, during the debrieﬁng we asked participants directly about the annoyance of receiving requests; their frank and thoughtful replies provide at least some evidence that annoyance was not suppressed by the payment. Participants' tendency to respond relatively quickly to requests (as discussed earlier) also suggests they were motivated more by interest than payment, as they were paid regardless of when they answered. Another possible limitation is that the requestors and ﬁles used in our study were selected by the participants. Because participants selected only a small subset of their ﬁles, it is likely they chose not to mention some of the most sensitive or private items. They also selected only a small subset of the people they know, so it is likely that some people with whom they have unique or complex relationships were left out. We tried to mitigate this by asking about a diverse variety of people and ﬁles, and by requiring each participant to supply at least one requester and ﬁle in each of several standard categories, including potentially sensitive categories like ﬁnancial ﬁles and supervisors. We asked participants to use our simulated reactive-policycreation system for only a week. Longer use might cause behaviors and opinions to change. We believe, however, that the one-week period was enough to gain valuable insights. Observing most participants, it quickly became clear which requesters or ﬁles would result in strong policy preferences and which would be complex, dynamic, or borderline cases. Even dynamic decisions often followed similar lines of reasoning for each participant. As a result, we believe that for most participants we reached a saturation point where we had explored the majority of their policy decision space. Our methodology only addressed reactive policy creation from the point of view of the resource owner; in future work, we hope to examine it from the requester's perspective. We also do not consider how users could view or modify existing policies created via always or never responses, which would be an important piece of a real reactive policy-creation system. A practical system would also need to consider how users could verify the source of a request. RELATED WORK Several prior studies investigate when and how users are willing to share personal data. Brush and Inkpen found users want individualized data and settings within shared devices [4]. Ahern et al. found that users' online photo sharing decisions are driven by concerns about security, social disclosure and convenience [2]. Participants interviewed by Little et al. expressed concern that information disclosure related to ubiquitous computing would disrupt family dynamics. Our work, also focused on personal sharing, examines how well reactive access control meets these consumer needs. Olson et al. investigated sharing preferences related to a wide variety of personal and professional data [11]. They found that preferences can be categorized into broad groups based on trust relationships as well as the information sensitivity, but that more granular speciﬁcation may also be required to handle exceptions. In this study, we explored trust relationship and ﬁle groupings in the context of a reactive model; we found that while broad groupings do often apply, exceptions remain important and meaningful. Ackerman's study of the gap between social norms and technological possibility for information sharing in computersupported cooperative work suggests that human information sharing relationships are ﬂuid, nuanced, and time and context dependent [1]. In a similar result, Razavi et al. found that ﬁle sharing preferences in a personal learning space vary with document lifecycle and cannot be sufﬁciently expressed by static access polices [13]. The same study also demonstrated that implementing this kind of dynamic policy using traditional access controls was too labor intensive for users. Reactive policy creation supports dynamism by allowing information owners to consider requests in context, without the need to predetermine all possible policy in advance. We do not address other issues Ackerman raises, including user buy-in and the ability to gracefully change existing policy. Early work by Lampson hints at problems with revealing the existence of ﬁles in order to validate access control, an unresolved issue in reactive policy creation, but asserts that content owners will shield ﬁles with directories that limit access to those who can know the existence of the ﬁles [8]. The closest analog to reactive policy creation may be Povey's optimistic access control scheme, which assumes that most requests are legitimate and should be granted [12]. This model relies on external administration to detect and respond to unauthorized access. Neither the reactive nor the optimistic models require content owners to predetermine complete policies; the optimistic model supports exigent circumstances more neatly, but the reactive model avoids the potential for unauthorized accesses that succeed and must be dealt with post facto. Other prior efforts also concern non-traditional access control models. Egelman et al. designed a new model for home computer accounts, leveraging the fact that home users may not need controls as strict as those required in corporate environments [7]. Bauer et al. implemented the Grey system, which allows mobile phone users to reactively delegate authority to open locked doors [3]. We consider the reactive model in the context of security for personal and home data. Our use of experience-sampling methodology was inspired by Consolvo et al.'s work examining location-sharing preferences [5]. The experience-sampling method was developed by Csikszentmihalyi and Larson [6]. CONCLUSION In this study, we set out to determine if users' expressed interest in a reactive policy creation tool would hold up under simulated use of such a tool. Despite some limitations, the experience-sampling methodology we used yielded rich quantitative and qualitative data about users' access-control decisions and the factors that inﬂuence them. Reaction to our simulated system for reactive policy creation was encouraging, if not deﬁnitive. We found evidence of access-control policies that are hard to express using existing static mechanisms, but that reactive policy creation can facilitate. Of the policies we collected from participants in our study, 21% used maybe or involved conﬂicts, and hence could not be easily expressed without a reactive policy-creation mechanism or other extension to traditional policy-creation practices. An additional 16% of policies were one-time policies, meant to be changed after a single access. These too may be difﬁcult to deﬁne using traditional methods, and we conjecture that many of them would beneﬁt from reactive policy creation. We also found that when making policy decisions, people want more control and interactivity and rely on social norms, all areas where reactive policy creation can contribute to an access-control system. We found that while there are some clear disadvantages to the reactive model, they don't seem insurmountable. Overall, our results demonstrate that reactive policy creation is a strong candidate for further research and for potential inclusion in future access-control systems. ACKNOWLEDGMENTS This research was supported by the National Science Foundation via grants CNS-0831407 and DGE-0903659, by CyLab at Carnegie Mellon under grants DAAD19-02-1-0389 and W911NF-09-1-0273 from the Army Research Ofﬁce, and by a gift from Microsoft Research. The authors thank Meghana Koushik for her help with the interviews. In memory of Niel Mazurek. REFERENCES 1. M. S. Ackerman. The intellectual challenge of CSCW: the gap between social requirements and technical feasibility. Hum.-Comput. Inter., September 2000. 2. S. Ahern, D. Eckles, N. S. Good, S. King, M. Naaman, and R. Nair. Over-exposed? privacy patterns and considerations in online and mobile photo sharing. In Proc. CHI, 2007. 3. L. Bauer, L. F. Cranor, M. K. Reiter, and K. Vaniea. Lessons learned from the deployment of a smartphone-based access-control system. In Proc. SOUPS, July 2007. 4. A. Brush and K. Inkpen. Yours, mine and ours? Sharing and use of technology in domestic environments. In Proc. UbiComp. 2007. 5. S. Consolvo, I. E. Smith, T. Matthews, A. LaMarca, J. Tabert, and P. Powledge. Location disclosure to social relations: why, when, & what people want to share. In Proc. CHI, 2005. 6. M. Csikszentmihalyi and R. Larson. Validity and reliability of the experience-sampling method. J Nerv Ment Dis, September 1987. 7. S. Egelman, A. Brush, and K. Inkpen. Family accounts: A new paradigm for user accounts within the home environment. In Proc. CSCW, 2008. 8. B. W. Lampson. Dynamic protection structures. In Proc. AFIPS, 1969. 9. R. A. Maxion and R. W. Reeder. Improving user-interface dependability through mitigation of human error. Int. J. Hum.-Comput. Stud., 63, 2005. 10. M. L. Mazurek, J. P. Arsenault, J. Bresee, N. Gupta, I. Ion, C. Johns, D. Lee, Y. Liang, J. Olsen, B. Salmon, R. Shay, K. Vaniea, L. Bauer, L. F. Cranor, G. R. Ganger, and M. K. Reiter. Access control for home data sharing: Attitudes, needs and practices. In Proc. CHI, 2010. 11. J. S. Olson, J. Grudin, and E. Horvitz. A study of preferences for sharing and privacy. In Proc. CHI, 2005. 12. D. Povey. Optimistic security: A new access control paradigm. In Proc. NSPW, 2000. 13. M. N. Razavi and L. Iverson. A grounded theory of information sharing behavior in a personal learning space. In Proc. CSCW, 2006. 14. L. Richards. Handling Qualitative Data: A Practical Guide. Sage Publications, 2007. 15. L. Richards and J. M. Morse. Readme First for a User's Guide to Qualitative Methods. Sage Publications, 2007. 16. S. Voida, W. K. Edwards, M. W. Newman, R. E. Grinter, and N. Ducheneaut. Share and share alike: exploring the user interface affordances of ﬁle sharing. In Proc. CHI, 2006.
Astronomy News Night Sky 2021 - August \| Sunrise \| Sunset \| Mercury Sets \| \|---\|---\|---\| \| 1st – 5:37am 10th – 5:50am 20th – 6:06am 30th – 6:21am \| 1st – 8:57pm 10th – 8:41pm 20th – 8:22pm 30th – 8:01pm \| 15th – 9:00pm 20th – 8:53pm 25th – 8:43pm 30th – 8:31pm \| \| Moon Rise \| Moon Set \| Moon Rise \| \| 1st – 12:08am (ENE) 2nd – 12:27am 3rd – 12:51am 4th – 1:21am 5th – 2:01am (NE) 6th – 2:51am 7th – 3:53am 8th – 5:04am 9th – 6:21am 10th – 7:39am (ENE) 11th – 8:58am 12th – 10:17am (E) 13th – 11:37am 14th – 12:59pm (ESE) 15th – 2:23pm 16th – 3:47pm 17th – 5:08pm 18th – 6:19pm (SE) 19th – 7:16pm \| 1st – 3:10pm 2nd – 4:19pm 3rd – 5:26pm 4th – 6:30pm 5th – 7:26pm (NW) 6th – 8:12pm 7th – 8:49pm 8th – 9:18pm 9th – 9:41pm (WNW) 10th – 10:00pm 11th – 10:18pm 12th – 10:34pm (W) 13th – 10:51pm 14th – 11:10pm (WSW) 15th – 11:34pm 17th – 12:04am 18th – 12:46am 19th – 1:42am (SW) 20th – 2:51am \| 20th – 7:59pm 21st – 8:30pm 22nd – 8:53pm (ESE) 23rd – 9:12pm 24th – 9:28pm 25th – 9:42pm (E) 26th – 9:57pm 27th – 10:12pm (ENE) 28th – 10:30pm 29th – 10:51pm 30th – 11:18pm 31st – 11:54pm - - - - - - - All times in notes are set for Somerton unless stated \| \| A useful site: www.heavens- above.com \| A S Zielonka \| \| Mercury is at superior conjunction on the 1 st . At 1:00am on the 1 st Uranus is 2½ degrees to the upper left of the Moon in the east. From the 1 st - 15 th Jupiter passes close to the star Iota Aquarii (4.2 mag) in Aquarius. During this period its in retrograde motion (left to right against the background of the stars). At midnight on the 7 th & 8 th in the south east Iota Aquarii is 1 degree below Jupiter. The Moon is at apogee (404,410km) on the 2 nd at 8:36am. Saturn is at opposition on the 2 nd. At 1:40am on the 4 th the crescent Moon is 1½ degrees above the north east horizon at 53.5 degrees azimuth. The star Zeta Tauri (2.9 mag) in the north east is 5½ degrees to the upper left of the Moon at 49 degrees azimuth. From the 4 th - 7 th Venus passes close to the star Sigma Leonis (4 mag) in Leo. At 9:30pm on the 6 th Venus is 4 degrees above the western horizon at 273.5 degrees azimuth with Sigma Leonis ½ a degree to its upper right. On the 5 th at 3:40am the star Mu Geminorum (2.8 mag) is 3 degrees above the crescent Moon in the ENE. At 4:15am on the 6 th the star Wasat (3.5 mag) in Gemini is 4 degrees below the thin crescent Moon. On the 7 th at 4:30am a thin crescent Moon is 3½ degrees above the horizon at 56 degrees azimuth low in the north east. The star Pollux (1.1 mag) is 6¼ degrees above the Moon and 1 degree to the right. The Solar Orbiter has a gravity assist manoeuvre from Venus on the 8 th . From the 8 th - 13 th at midnight the asteroid 12 Victoria (8.9 mag) will pass within a degree and below of the star Theta Aquilae (3.2 mag) in Aquila. (For further information on this or other asteroids please see the 'asteroid' section in the website above). At 9:15pm on the 9 th the stars Adhafera (3.4 mag) and Algieba (2 mag) in Leo point the way to a very thin crescent Moon. The Moon is 3 degrees above the horizon at 289 degrees azimuth. Mars is to the lower left of the Moon at 1 degree above the horizon and 284 degrees azimuth. On the 10 th at 9:30pm Venus is 8 degrees to the left of the thin crescent Moon low in the west. BepiColombo's second flyby of Venus is scheduled for the 11 th . This will provide an exciting opportunity to operate some of the instruments on both orbiters and to collect scientifically valuable data to further study this fascinating planet while en route to the mission's destination – Mercury. BepiColombo's mission that was launched to Mercury on the 20th October 2018 will enter Mercury's orbit in December 2025. At 9:23pm on the 11 th Venus is 3½ degrees above the horizon and due west. The crescent Moon and Venus are just 5¾ degrees apart. Parker Solar Probe that was launched on August 12 th 2018 reaches its 9 th perihelion (nearest the Sun) on the 9 th . On the 12 th at 9:30pm the star Porrima in Virgo is 3½ degrees to the right of the crescent Moon and 1¼ degrees below. The asteroid 4Vesta (3.3 mag) is approx halfway between the stars Porrima (2.7 mag) and Delta Virginis (3.3 mag) in Virgo. Vesta is just under 3 degrees above Porrima low in the west. The Perseids meteor shower reaches its peak on the 12 th / 13 th . They can be seen between the 16 th July and the 23 rd August. Rate per hour can be up to 60. With the Moon setting soon after 10:30pm this should be a good night to view them. They are associated with Comet Swift-Tuttle. At 9:30pm on the 13 th the star Spica (1 mag) is 6 degrees to the lower right of the crescent Moon. There is a scheduled launch on the 10 th * at 12:55pm* from the Wallops Flight Facility in Virginia. Its the next flight in the series of Northrop Grumman resupply missions to the International Space Station (ISS). On the 14 th at 10:00pm the star Zubenelgenubi (2.7 mag) in Libra is 3¼ degrees to the left of the Moon. At 10:00pm on the 16 th the star Antares (1 mag) in Scorpius is 3½ degrees below the Moon. The Moon is at perigee (369,124km) on the 17 th at 10:16am. At 10:00pm the star Theta Ophiuchi (3.2 mag) in Ophiuchus is 3¼ degrees to the right of the Moon. On the 18 th at 8:45pm Mercury and Mars are in close conjunction and lost in the evening twilight to be visible. On the 18 th at midnight the star Phi Sagittarii (3.1 mag) in Sagittarius is just ½ a degree to the left of the Moon low in the SSW. Jupiter is at opposition on the 20 th. At 11:30pm on the 20 th Saturn is 4¾ degrees above the Moon in the south. From the 20 th August - 20 th September around 4:00pm the asteroid Ceres (8.8 mag) will pass below the Hyades star cluster in the east. On the 23 rd & 24 th Ceres is just over ½ degree below the star Gamma Tauri (3.6 mag). On the 2 nd Sept Ceres is ½ a degree below the star Theta Tauri (3.4mag). On the 13 th & 14 th Ceres is just under 1 degree below Aldebaran. The Hyades is the nearest open cluster and one of the beststudied star clusters. On the 21 st at 11:30pm Jupiter is 7 degrees to the upper left of the Moon. The star Nashira (3.6 mag) is 3¼ degrees above the Moon. The star Delta Capriconri (2.8 mag) is 2 degrees to the left of Nashira. At 11:30pm on the 22 nd the star Skat (3.2 mag) in Aquarius is 4 degrees to the lower left of the Moon. From the 23 rd - 25 th Comet 4P Faye (13.3 mag – July 18 th ) passes close to the star Ain (3.5 mag) in Taurus. On the 24 th at 4:00am Faye is ¼ of a degree to the lower right of the star Ain. From the 23 rd – 25 th Venus passes close to the star Porrima (2.7 mag) in Virgo. At 8:45pm on the 24 th Porrima is 2¾ degrees above Venus and ½ a degree to the right. Comet C/2020 T2 Palomar (9.6 mag - July 13 th ) is approximately halfway between the stars Zubeneschamali (2.6 mag) and Zubenelgenubi (2.7 mag) in Libra on the 23 rd at 9:30pm. On the 23 rd at 11:30pm Neptune is 6 degrees above left of the Moon. The star Psi Aquarrii (4.4 mag) in Aquarius is 2½ degrees to the upper right of the Moon. At 12:30am on the night of the 24 th the star Iota Ceti (3.5 mag) In Cetus is 5 degrees lower right of the Moon. On the 26 th at 11:30pm the star Nu Piscium (4.4 mag) in Pisces is just 2 degrees to the right of the Moon. At 11:30pm on the 27 th Uranus is 6 degrees to the left of the Moon and ½ a degree above. On the 28 th at 11:30pm Uranus is 5¼ degrees to the right of the Moon and 4½ degrees above. At 11:30pm on the 29 th the Pleiades star cluster is 7 degrees above the Moon. The Moon is at apogee (404,100km) on the 30 th at 3:23am. * = Dates and times are subject to change News: An amateur astronomer Kai Ly has discovered a new moon of Jupiter. While it hasn't received official designation yet, it would bring the tally of Jovian Satellites to 80. Ly's quest was a spin-off of their earlier identification of pre-recovery images of recently discovered moons including Valetudo, Ersa, and Pandia while examining data taken in 2003 with the 3.6-metre Canada-France-Hawaii Telescope (CFHT). When the European Space Agency (ESA) announced that the EnVision orbiter would head to Venus in the early 2030's the mission became the third in a new crop of spacecraft soon to be bound for our sister planet with DAVINCI+ and VERITAS missions which will launch later this decade. EnVision will provide a Holistic view of the planet's surface, interior, and atmosphere using a suite of instruments: The Venus Synthetic Aperture Radar, provided by NASA and the Jet Propulsion Laboratory, will map the surface; the Venus Subsurface Radar Sounder will probe the planet's interior, and the Venus Spectroscopy Suite will explore the Atmosphere. The discovery on Mars of a large radar-bright area deep beneath the South Polar Layered Deposits (SPLD) – large layers of dry and water ice plus sediment deposited over millions of years at the south pole – suggested the presence of a huge subterranean lake. Researchers aren't so sure. In 2018, Roberto Orosei and colleagues found the large radar-bright area 1.3 km below the surface, using a radar experiment called MARSIS. The MARSIS radar penetrates metres to a few kilometres beneath the surface, depending on the composition – that's deep enough to chart the boundary where the polar deposits end and the Martian interior begins. Khuller and Plaut's investigation of this interface revealed dozens of new smaller regions, like the one found by Orosei's team. Ingenuity Mars Helicopter first historic flight was on April 19 th . It has now flown nine times in total so far, breaking records nearly everytime it takes to the Martian skies. The fifth flight saw its first landing at a new location, as it flew 129 metres (423 feet) to the south of Wright Brothers field to a new airfield. This marked the formal end of the technology demonstration. It has proven itself a valuable asset to Perseverance, scouting out terrain that the rover can't cross. Facts: Comet Swift-Tuttle was discovered in 1862 by Lewis Swift on July 16 th and Horace Parnell Tuttle on July 19 th . It's nucleus is 26 km in diameter. It is the parent body of the Perseid meteor shower this month. Its the best known shower and among the most reliable in performance.
Supplement on Plan Loans LNC Employees' 401(k) Savings Plan Summary Plan Description & Prospectus Effective January 1, 2019 This document provides summary information about the terms and provisions of a companysponsored tax-qualified plan. If there are any conflicts between this information and the actual terms and provisions of the official plan documents, the plan documents control. The Lincoln National Corporation reserves the right to amend or terminate any company-sponsored plans at any time. Contents Introduction This Supplement on Plan Loans ("Supplement") has been established by the Plan Administrator for the LNC Employees' 401(k) Savings Plan (the "Plan") as a supplement to and part of the LNC Employees' 401(k) Savings Plan Summary Plan Description & Prospectus (the "SPD"). This Supplement describes the Plan's loan feature and the terms and conditions that apply to receiving and repaying Plan loans. The Glossary (see page 7) defines terms that appear in bold in the Supplement. If you have questions about Plan loans after reading this Supplement, please contact the Lincoln Customer Contact Center at 800-234-3500. Loans Overview If you qualify, you can borrow money from your Plan account. A Plan loan is secured by part of your Plan account. Plan loans may offer advantages over Plan withdrawals: * You don't need proof of hardship to take out a loan. * Loans aren't taxed-unless you default. * You pay interest on the loan into your own Plan account. * As you repay the loan, you restore your retirement savings to its pre-loan level. But, Plan loans do have some drawbacks: * Plan loans are subject to strict legal limits and other requirements. * You repay the loan with after-tax dollars that are taxed again when you receive money from the Plan. * The interest you pay on the loan may be less than the investment return you could earn by leaving your money in the Plan. * If you default on the loan (see the Default section on page 5): o your account is not restored to its pre-loan level; o the unpaid balance is treated as a payment to you; and o unless you borrowed only after-tax contributions from your account, you will owe income tax, and possibly a 10% penalty tax, on the unpaid balance, even though you receive no money when you default. How Loans Affect Your Plan Account A Plan loan is actually an investment fund transfer. The amount you borrow from your account is "transferred" from your other investment funds to a special loan investment fund. Of course, your special loan investment fund contains no actual money because you get the money when you take out a loan. This special loan fund contains only an accounting entry that shows that you "invested" some of your Plan account in a loan to yourself. The actual money you borrow is removed from your account in the following order (and each step includes related investment earnings): 1. pre-tax contribution account; 2. Roth 401(k) contribution account; 3. after-tax contribution account; 4. rollover contribution account; 5. Roth 401(k) rollover contribution account; 6. after-tax rollover contribution account; 7. matured company contribution account; and 8. non-matured company contribution account. Within each of these categories, the loan amount will come out of the investment options in which you are invested on a pro-rata basis. Here's an example. Assume Joan's Plan account balance is $12,000, invested as follows: Before Loan \| Category of Money \| State Street Target Date 2050 Fund \| Lincoln Stock Fund \| Stable Value Fund \| \|---\|---\|---\|---\| \| pre-tax contribution \| $2,000 \| $1,000 \| $ 500 \| \| matured company contribution \| $4,000 \| $3,000 \| $1,500 \| Joan borrows $5,000 from her Plan account. The first $3,500 is taken from pre-tax contribution funds. The other $1,500 is taken from her matured company contribution funds. Matured company contribution funds are those that have been credited to her account for at least 2 years. After the loan, Joan's Plan account would look like this: After Loan \| Category of Money \| State Street Target Date 2050 Fund \| Lincoln Stock Fund \| Stable Value Fund \| Loan \| \|---\|---\|---\|---\|---\| \| pre-tax contribution \| $0 \| $0 \| $0 \| $3,500 \| \| matured company contribution \| $3,295 \| $2,470 \| $1,235 \| $1,500 \| \| Total \| $3,295 \| $2,470 \| $1,235 \| $5,000 \| Who Qualifies for a Plan Loan You will qualify for a Plan loan only if: * you are an active Lincoln employee (or on an approved leave of absence); * you have no more than 1 outstanding Plan loan; * you have a vested Plan account balance of at least $1,000 (after any other Plan loan amounts are subtracted); and * you have no unsatisfied defaulted loans from any Lincoln sponsored plan. See the Default section on page 5 for information on how and when Plan loans go into default. How Much You Can Borrow Number of Loans You can have no more than 2 outstanding Plan loans at any given time. Size of Loan The minimum loan amount is $500. The maximum total outstanding loan amount you may have at any time from all Lincoln sponsored tax-qualified plans is the lesser of: * $50,000 or * 50% of your vested account balance. Your maximum loan amount may be affected by your account investments and your Plan loan history. * Federal law requires the Plan to apply the loan limits on the day your loan is granted, and 50% of your account value can be lower on the date your loan is granted than on the day of your loan request. * If you had any outstanding loan balances from any Lincoln tax-qualified plans during the 12-month period ending on the day before the date of your new loan, the $50,000 limit will be reduced by the excess of the highest total outstanding loan balance you had during that 12-month period over any outstanding loan balance on the effective date of the new loan. Here is an example of how an outstanding loan balance will reduce the maximum loan amount for vested account balances of $100,000 or less: Jane's vested account balance is $60,500, but $10,500 of that is the unpaid balance on an $11,500 loan she took the previous January 1. On July 1, she applies for another loan. Here's the calculation for the maximum amount available for Jane's second loan: Here is an example of how an outstanding loan balance will reduce the maximum loan amount for vested account balances exceeding $100,000: On July 1, Susan's vested account balance is $200,000, but $19,000 of that is the unpaid balance on a $50,000 loan she took three years earlier. The highest balance of the loan over the last 12-month period was $27,000. Here's the calculation for the maximum amount available for Susan's second loan: Loan Interest Rates You have to pay interest on your Plan loans. You pay interest to yourself because it is added to your Plan account as investment earnings. Your loan's interest rate is the Plan loan rate in effect when your loan is approved and processed. Plan loan interest rates: * are set on the first day of the calendar quarter; * will apply to any loan processed during that quarter; and * once set, will not change while the loan is outstanding. The annual interest rate for a Plan loan is bank prime rate (as published in a Federal Reserve statistical release) increased by 1%. You can find out the interest rate that applies to your loan when you request a loan by logging on to www.LincolnFinancial.com or by calling the Lincoln Customer Contact Center at 800-234-3500. The Term of Your Loan A loan's "term" is the repayment period. The term of a Plan loan can be from 2 to 60 months (2-240 months if a loan is used to purchase your principal residence). If you want a loan for longer than 60 months, you must supply evidence satisfactory to the Plan Administrator (such as a copy of an Agreement of Sale) that you will use the loan to buy or construct your principal residence. How Repayments Are Credited Loan repayments include both principal (partial return of the borrowed money) and interest. * Loan payments are credited to your Plan account on a pro-rated basis across all the types of contributions from which the money was taken from your account when you took out the loan. See How Loans Affect Your Account section on page 1. How repayments are credited is important; it may affect the amount of money in your account available for withdrawals. * Interest payments are treated as investment earnings in your account. Interest will be taxable to you when you receive it as a Plan payment. Interest you pay on loans of your tax deferred contributions is subject to the same withdrawal restrictions that apply to investment results on tax deferred contributions. * Repayments are deposited into Plan investment funds according to the investment elections you have in effect at the time of the repayment, regardless of what investment funds were the source of the loan. How to Apply for a Plan Loan To initiate a loan, log on to www.LincolnFinancial.com. On the "Retirement" page, there is a section on the right entitled "My Current Account Balance". Near the bottom of this section, click on "Loan Information". You may also call the Lincoln Customer Contact Center at 800-234-3500 for assistance. To apply for a loan, start your application online or by phone. Based on the information you provide, a loan application form will be provided to you electronically. Review, complete, sign and return the loan application form based on the instructions printed on the form by the date indicated. If the requested loan term is for 61 to 240 months, you will need to include with the form any necessary supporting documents to prove that your loan is to buy or construct your principal residence. The computer-generated loan application form will include: * your name, address and other basic information; * the amount and term of your loan; * the deadline for returning your completed loan application form; * a place to indicate whether the loan is to purchase or construct your principal residence; * the repayment installment amount and frequency of repayments; * certain required disclosures about the financing costs of the loan; * a Promissory Note (described below); and * the fax number and mailing address you use to submit your completed application. You should read the entire form and make sure it contains the loan amount and loan term you want before you sign it. If your properly completed loan application and supporting documents are not received by the deadline shown on the application, your application will be voided and you will need to re-start the loan application process. The Loan Approval Process The Plan Administrator has arranged for Lincoln Retirement Services Company ("LRSC") to review loan applications, determine whether your application is on time and whether you are eligible for the loan you have requested, and to approve the loan if everything is in order. Part of the loan approval process is to check whether your loan is within the Plan's loan limits (see How Much Can You Borrow on page 2). If the value of your Plan account drops after you request a loan so that the amount you requested exceeds the limits, LRSC will contact you about your options. If your loan is approved, your loan amount will be sent to you via direct deposit provided you supply your bank information. The Plan charges a fee of $50.00 to process any loan. This charge is deducted from your loan proceeds when your loan is processed. The fee of $50.00 will apply to each loan you take from the Plan. Upon receipt of your signed loan application and (if the loan request is to buy or construct your principal residence) supporting documents, LRSC will review your application, and if it meets the Plan's requirements, will approve the loan and deposit the loan proceeds to your bank account through the use of an Automated Clearing House ("ACH"). The Promissory Note Your loan agreement will include a Promissory Note. When you sign and return your loan application to LRSC, you are agreeing to the terms of the loan agreement and Promissory Note. The Promissory Note: * is your promise to the Plan to repay the loan; * authorizes deductions of after-tax loan repayments from your paycheck; * gives the Plan the right to deduct money from your Plan account if you default; and * spells out the term of the loan, the interest rate, the total amount payable, and the frequency and amount of each repayment installment. Repayment Repayment of your loan will be on an after-tax basis through payroll deductions. If you terminate employment with an outstanding loan balance and leave your account balance in the Plan, you may continue repaying your loan through the use of an ACH until your loan is paid in full. Please contact the Lincoln Customer Contact Center at 800-234-3500 to provide your banking information and to authorize the ACH payments from your bank account. Prepayment You can fully pay off an outstanding Plan loan at any time, but partial payment amounts are not permitted. There is no penalty for early payoff. If you wish to pay off your loan balance early, you will be required to pay it back with a cashier's check or money order. Please contact the Lincoln Customer Contact Center at 800-234-3500 to obtain your payoff amount and mailing instructions. Default You will default on a Plan loan as soon as any repayment is 90 days overdue. If you default, the Plan must treat the entire outstanding loan balance as a payment to you – a "deemed distribution". The taxable amount of the deemed distribution must be reported to the IRS as income in the year of the default. You will owe taxes (and perhaps a 10% early distribution penalty tax) on the taxable portion of the deemed distribution. As soon as the law permits, your loan account will be reduced to zero and your Plan account balance will be reduced by the amount of your defaulted loan. If your Plan loan money came from any pre-tax contributions, the actual account reduction is delayed until a distribution is processed from the Plan. Even though your loan account may show a balance, it is only a technical accounting entry. It represents money you borrowed and failed to repay. If a deemed distribution occurs when you make a Plan withdrawal or receive a regular distribution, the federally required 20% withholding will be based on the deemed distribution plus the amount you actually receive. Otherwise, no withholding is required in case of a deemed distribution. 5 A default is automatic. You may not receive advance notice that you are in danger of defaulting when a repayment is overdue. You can avoid default only by paying all overdue amounts before the 90 th day after the original due date of the missed payment. Events That Affect Plan Loans Leave of Absence If you have an outstanding Plan loan when you go on a paid leave of absence, loan payments will continue. If your rate of pay during the paid leave of absence is less than the loan repayment amount, you may suspend loan payments for up to 12 months. Please contact the Lincoln Customer Contact Center at 800-234-3500 for details. If you have an outstanding Plan loan when you go on an unpaid leave of absence and you are repaying the loan through bi-weekly pay deductions, you may continue repaying your loan through the use of an ACH. You should contact the Lincoln Customer Contact Center at 800-234-3500 to set up such arrangements. Payroll deductions will resume when you return to work. Regardless of whether loan payments are suspended, the entire balance of the loan must be paid within 60 months (unless it is a home loan). To the extent, the loan balance has increased (due to the accumulation of additional interest while payments are suspended), you can elect to increase the amount of payments or pay the remaining balance with the last regularly scheduled payment. Please contact the Lincoln Customer Contact Center at 800-2343500 for details. Military Leave of Absence If you go on a military leave of absence on account of qualified military service, you will have the option to suspend your monthly loan repayments. During a repayment suspension period, your loan will accrue interest at the lesser of the original interest rate or 6%. When you return to work, your loan may be re-amortized (that is, the repayments will be recalculated to factor in the accrued interest) and the term of your loan will be extended by the period of your qualified military service. You can then make up the missed payments in a lump sum or during the remainder of the loan. Call the Lincoln Customer Contact Center at 800-234-3500 for more information. Your loan repayments will begin within 2 pay periods after you return to work or as soon as administratively practical. Death If you die with an unpaid loan balance: * the unpaid loan balance will be treated as in default and as a deemed distribution to you; * the taxable amount of the unpaid balance will be reported to the IRS as income to you in the year you die; and * Plan money distributed to your beneficiary will not include the unpaid loan balance. Retirement or Termination of Employment (Account Balance More than $1,000) If your vested account balance plus your outstanding loan balance exceeds $1,000 when you terminate employment with an unpaid loan balance, you will have 3 options for handling the unpaid loan: 1. repay your outstanding loan balance in monthly installments via ACH o to avoid default and arrange for continued loan payments, you must call the Lincoln Customer Contact Center at 800-234-3500 and elect to make monthly repayments via ACH; 2. repay the outstanding loan balance in full; o to pay off the loan to avoid default, you must call the Lincoln Customer Contact Center at 800234-3500 and arrange to repay the entire outstanding loan balance; or 3. accept the default o to default on the loan, simply ignore the options outlined above; the unpaid loan balance will be treated as a taxable distribution to you. These options do not apply if you die while still employed by Lincoln. If you close your Plan account, or withdraw all available money after you terminate employment, any unpaid loan balance will automatically be treated as in default and as a deemed distribution to you in the year you receive your remaining Plan money. Retirement or Termination of Employment (Account Balance $1,000 or Less) If your vested account balance plus your outstanding loan balance is $1,000 or less when you terminate employment with an unpaid loan balance, your Plan account will be closed automatically (the "account closing rule"). Your unpaid loan amount is added to the actual money in your account to determine whether your vested account balance is $1,000 or less. If you are subject to the account closing rule, you will not have the option to continue to repay the loan through monthly installments. You can repay the loan in full (to be able to include that amount in a rollover) or accept a loan default. Glossary Roth 401(k) rollover contributions terminate employment 2737668v2 Plan loans, withdrawals, and taxes upon distribution. Roth 401(k) contributions transferred from another qualified plan into this Plan as a direct rollover. The date you end your employment relationship with the company and all affiliates.
Getting Self-Ownership in View PPE 2019 New Orleans Roderick T. Long Auburn University / Molinari Institute firstname.lastname@example.org Abstract: The thesis of self-ownership has been criticised on various grounds: that it assumes an indefensible mind-body dualism; that it objectifies and/or commodifies the self; that it is excessively individualistic; that it fails to recognise reasonable positive obligations to others; and that it licenses objectionable contracts, including slave contracts. I argue that all of these criticisms are mistaken. I conclude, further, by arguing that the natural economic implementation of self-ownership resembles neither the capitalist market championed by many right-wing libertarians nor the common-resource model championed by libertarians of the Otsuka-Steiner-Vallentyne variety. Setting the Stage The thesis of self-ownership has been criticised on various grounds: that it assumes an indefensible mind-body dualism; that it objectifies and/or commodifies the self; that it is excessively individualistic; that it fails to recognise reasonable positive obligations to others; and that it licenses objectionable contracts, including slave contracts. While I won't offer a positive case for selfownership here, I will argue that all of these criticisms are mistaken. I'll conclude, further, by arguing that the natural economic implementation of self-ownership resembles neither the capitalist market championed by many right-wing libertarians nor the common-resource model championed by libertarians of the Otsuka-Steiner-Vallentyne variety. Let me begin, though, by specifying what I understand by "self-ownership." I take the thesis of self-ownership to be a (natural or moral, rather than legal or conventional) property rights thesis; and if a property rights thesis, then a rights thesis. While the concept of rights is used in a variety of ways in ordinary language, in the context of political philosophy it generally has two components: a) an obligation on the part of others to treat the rights-holder in a certain way, and b) the permissibility, whether on the part of the rights-holder or of others on the rights-holders' behalf, of enforcing that obligation. Rights in this sense have legitimately enforceable obligations as their correlate. A right is negative when its correlative obligation is one of mere non-interference, and positive when its correlative obligation involves more than mere non-interference. A property right is, briefly, a negative right to exclusive control over a certain thing; and so the thesis of self-ownership amounts to the claim that one has a right of exclusive control over oneself, meaning 1 a) that everyone else has an obligation not to interfere with one's control over oneself, and b) this obligation may permissibly be enforced, whether by oneself or by others on one's behalf. 1 Furthermore, assuming self-ownership to be a general right, then on pain of incoherence clause (a) must be interpreted in light of clause (b); that is, exclusive control over myself must be interpreted in such a way that your forcing me not to violate your exclusive control over yourself does not by itself (i.e., without further conditions such as disproportionality) constitute interference with my exclusive control over myself. Any reasonable conception of self-ownership must interpret different self-owners' rights as compossible. I take the conception of self-ownership I've just sketched to be more or less what most users of the term mean by it, particularly within the libertarian movement. (Note also that the libertarian "principle of non-aggression" thus emerges as one component – the (a) component – of selfownership.) Of the various criticisms I'm about to engage, it's not always clear to me when they are objecting to this conception (or to a family of conceptions that includes this one), and when they are instead objecting to some other conception that they (mistakenly, I think) take to be the dominant one. I also think it is likely that both defenders and critics of self-ownership have often had less than fully settled conceptions of what they are debating about. Mind and Body One criticism commonly encountered (though more often in conversation than in print) is that self-ownership entails an objectionable mind-body dualism. This criticism is hard to get a handle on; it seems to rely on the premise that ownership is an asymmetric relation, but it does not use that premise as one would expect. If ownership really is an asymmetric relation, then nothing can bear that relation to itself, which would make self-ownership straightforwardly impossible. But that is not how the objection usually goes. Instead, the objection seems to interpret the self-ownership thesis in such a way that it does not contradict the asymmetry-of-ownership thesis; instead, self-ownership advocates are implicitly assumed to agree with their critics about asymmetry, and so the self-ownership thesis must really mean that part of me, presumably my mind, owns another part of me, presumably my body, and it is this alienation from one's body that the critics find unacceptable. 1 For further elaboration, see Roderick T. Long, "Abortion, Abandonment, and Positive Rights: The Limits of Compulsory Altruism," Social Philosophy & Policy 10.1 (Winter 1993), pp. 166-191; and Long, "The Irrelevance of Responsibility," Social Philosophy & Policy 16.2 (Summer 1999), pp. 118-145. Both online at: http://praxeology.net/political-philosophy.htm But while attributing to one's opponent certain theses one takes to be plausible oneself is generally a praiseworthy impulse of interpretive charity, there are surely limits to its reasonableness. In particular, it seems odd to assume that someone defending self-ownership must really accept the asymmetry thesis, since self-ownership is about as straightforward a denial of the asymmetry thesis as one could ask for. To be sure, when self-ownership advocates say "I own my body," there might be room for assuming the need for a dualistic interpretation; but when they say "I own myself," a dualistic reading surely loses purchase. And most self-ownership advocates seem as happy to say that they own their minds as that they own their bodies. Why do critics of self-ownership find the asymmetry thesis so plausible? It might be because they think all subject-object relations are asymmetric. But that would mean that, for example, while I can be aware of things outside myself, I cannot be aware of myself. Some philosophers have indeed held something like this view; a version of it seems to be defended in what are arguably the earliest surviving philosophical works, the early Upaniṣads, where the apparent upshot is that one's true self is a transcendental entity whose nature cannot be grasped. 2 But this seems like a thicker metaphysical dogma than most of us are prepared to bite off. The argument might instead be that there is something specific to ownership in particular, rather than subject-object relations in general, that makes it necessarily asymmetric. But if so, what? Perhaps the idea is that ownership necessarily involves subordination, and subordination is asymmetric. But it's not obvious that ownership necessarily involves subordination. It's true that ownership of things other than oneself does seem to involve subordination; but it's not clear why ownership of oneself must do so. Remember, to say that I own myself is simply to say that I have a right to make decisions about what to do with myself; where is the subordination? Plato argues, along similar lines, that one's true self must be the soul, rather than either the body or the mind-body composite, because one uses one's body, and the user and the used must be distinct. 3 This might be the clearest case of the kind of view that the critic is envisioning and rejecting. But surely what is wrong with Plato's argument is the asymmetry thesis: while I can use my body, I can also use my mind, so Plato must either abandon the view that use is inherently asymmetric, or else be pushed back either to an infinite regress or else to the Upaniṣadic view. 2 See, e.g., the Bṛhadāraṇyaka Upaniṣad, 3.4 and 4.5. 3 Plato, Alcibiades I, 129b-130c. I'll note further, that those who object to self-ownership on the grounds that it either objectifies or commodifies the self seem to be making either the asymmetry mistake I've just discussed, or the alienability mistake I'm about to discuss. Or if there is a third way of construing such objections, I haven't been able to come up with one as yet. Slavery and Inalienability Another frequent criticism of self-ownership is that it would license giving, selling, or contracting oneself into slavery. Some self-ownership advocates (such as Robert Nozick and Walter Block) have indeed endorsed this implication, though others (such as John Locke and Murray Rothbard) have not, instead upholding self-ownership as inalienable. 4 But does self-ownership in fact imply the legitimacy of slavery contracts? The usual argument for the affirmative is: if you own yourself, then you have a right to do whatever you like with or to yourself so long as you do not violate the like rights of others; transferring your ownership of yourself to someone else does not violate anyone else's rights; therefore you have a right to transfer ownership of yourself to someone else. But the right question to ask about alienating one's self-ownership, as I see it, is not whether it is permissible but whether it is possible. Remember, my self-ownership consists in two moral facts: an obligation, on everyone else's part, not to interfere with my decisions concerning myself, and the legitimacy, on my part or the part of others on my behalf, of enforcing that obligation. So in order to transfer ownership over myself to someone else, I would have to alter those moral facts. Nothing in the concept of self-ownership implies that I have that power. If I don't, then asking whether I have a right to give up my self-ownership might be like asking whether I have a right to turn myself into a prime number. The problem is not that I lack the right, but that I lack the power. Those who assume that self-ownership must be alienable are, I suspect, taking ownership of external property as the primary kind of property and then modeling self-ownership on it. In that case, it will seem natural to suppose that the self, if it is owned, must be alienable. But in the selfownership literature there is a long tradition, running back to Locke, of seeing self-ownership as the 4 Robert Nozick, Anarchy, State and Utopia (New York: Basic Books, 1974); Walter Block, "Towards a Libertarian Theory of Inalienability: A Critique of Rothbard, Barnett, Smith, Kinsella, Gordon, and Epstein," Journal of Libertarian Studies 17.2 (Spring 2003), pp. 39-85; John Locke, Two Treatises of Government (Awnsham Churchill: London, 1689); Murray N. Rothbard, The Ethics of Liberty (New York: NYU Press, 2003), ch. 19. fundamental kind of property, in which other forms of property must be grounded. 5 And indeed I take this to be correct, for the following reasons. As I have written elsewhere: [S]ince rights are, by definition, legitimately enforceable claims, it ... follows that there can be no rights in addition to self-ownership. For if there were such additional rights, then there would be claims other than self-ownership that could be legitimately enforced, which would mean that refraining from invading the self-ownership of others would no longer be sufficient to exempt one from liability to coercive interference. But self-ownership ... just is exemption from liability to coercive interference so long as one respects the like self-ownership of others; hence the right of self-ownership is inconsistent with the recognition of any additional rights. (To put it another way, if the initiation of force is forbidden, then any legitimate use of force must be a response to force; but enforcing a right is by definition a legitimate use of force; so there can be no rights other than the right to be free from others' use of force.) ... It follows that whatever property rights there are cannot be rights in addition to self-ownership, but must instead be specific applications of the self-ownership right itself. 6 And indeed I think there is a plausible way to understand rights to external property as extensions of the right of self-ownership: The essence of human personality is not the mass of material which composes our bodies – a bundle of stuff that in any case changes over time like Heracleitus' river, through accretion of new particles and discharge of old ones – but our activities and projects; indeed a human being's body itself is simply one of its owner's ongoing projects. By transforming external objects so as to incorporate them into my ongoing projects, I make them an extension of myself, in a manner analogous to the way that food becomes part of my body through digestion. What we transform in this way becomes so related to us that no one can subject it to her purposes without thereby subjecting us to her purposes and so violating our right of self-ownership; we make something into our property by causing it to have the same relation to ourselves that the matter composing our bodies has to ourselves. 7 And this is why it is possible to transfer ownership over external property but not over oneself. Just as one acquires external property by connecting it to oneself, so one alienates it by disconnecting it 5 See, e.g., Murray N. Rothbard, "Law, Property Rights, and Air Pollution," p. 61, n. 12; Cato Journal 2.1 (Spring 1982), pp. 55-99: "[R]ather than [self-owership and homesteading] being two independent axioms, the homesteading principle really follows from the single axiom of self-ownership." 6 Roderick T. Long, "Land-Locked: A Critique of Carson on Property Rights," pp. 90-91; Journal of Libertarian Studies 20.1 (2006), pp. 87-95; online at https://mises-media.s3.amazonaws.com/20_1_6.pdf Cf. Long, "Why Libertarians Believe There is Only One Right," Center for a Stateless Society (7 April 2014): https://c4ss.org/content/25648 7 Long, "Land-Locked" (2006), p. 91. form oneself – whereas one obviously cannot disconnect oneself from oneself. Rather than taking alienable external property for granted and using it as the paradigm whereby to understand selfownership, we should start (if we are self-ownership advocates) with inalienable self-ownership as the paradigm, on the basis of which we then turn to the justification of external property and its alienability. It may be objected that slavery contracts are merely an extreme example of ordinary service contracts, which will likewise, inconveniently, be rendered unenforceable if we take the inalienability of the self seriously. But that is so only if we conceive of the enforcement of service contracts as mandating specific performance. From a self-ownership perspective, the title-transfer theory of contracts is preferable, as only it can explain how service contracts are legitimate. 8 Suppose you agree to mow my lawn for $50; so I pay you the $50 but you don't mow my lawn. On the title-transfer view, I'm transferring $50 to you conditionally, that is, on the condition that you mow my lawn. If the condition isn't met, then ownership of the $50 reverts back to me. So I don't have a right against you that you mow my lawn, because rights to personal services are not transferrable; but I do have the right to get the $50 back (plus damages for my inconvenience), because rights to external property such as money are not transferrable. With regard to slavery contracts, then – could you enter into a contract in which you agree to do whatever I say from now on? Certainly. I think such a contract would be morally objectionable on both sides, but it would be a legitimate contract. However, if you should break the terms of the contract, all you would owe me is whatever I paid you plus damages; you would not owe me specific performance. What happens if you do not have the money to pay me? May I, or some legal authority, then legitimately force you to work? One might think so. After all, there are cases in which one has to perform some positive action in order to avoid violating a negative right; for example, I may have to turn the steering wheel of my car to avoid running over you, and so your negative right not to be run over generates a positive right against me that I turn the wheel. 9 Likewise, then, why doesn't a creditor's negative right not to have her property taken unless the agreed-upon condition is met 8 Williamson M. Evers, "Toward a Reformulation of the Law of Contracts," Journal of Libertarian Studies 1.1 (1977), pp. 3-13; online at: http://direct.mises.org/sites/default/files/1_1_2_0.pdf Cf. Randy E. Barnett, "Contract Remedies and Inalienable Rights," Social Philosophy & Policy 4.1 (Autumn 1986), pp. 179-202, as well as Rothbard (2003), ch. 19. 9 On such "derivative positive rights," see Long (1993). generate a positive right to force the debtor to work (in a debtor's prison, if necessary) until the debt is repaid? The answer, I suggest, is that although rights to external property are an extension of the self, the extent to which something is part of the self is a matter of degree. It would be morally disproportionate for me to force you into labour (a major intrusion on your selfhood) in order to recoup the loss of my money (a less major intrusion on my selfhood). Only if you acquire further resources voluntarily will I be in a moral position to garnish some of them, and even then how much I can take will reasonably be governed by considerations of proportionality. But whence this talk of proportionality? Are considerations of proportionality consistent with self-ownership? I think the self-ownership approach actually support them. If I am justified in forcibly intruding upon your self only in response to your forcible intrusions on my (or someone else's) self, then it makes sense that the response needs to be proportionate. The whole tenor of the self-ownership approach is to limit forcible intrusion to the counterbalancing of prior forcible intrusion; a disproportionate response seems contrary to the spirit of such an approach. The title-transfer approach also seems to place limits on the enforceability of usurious contracts. As I have written elsewhere: Suppose Roy lends me $1000 but charges 500% interest. That is, he transfers $1000 to me now, on condition that I transfer $6000 to him a year from now. If I refuse to pay him the $6000, then the condition is nullified, and I now owe him his $1000 back, plus damages – but I do not owe him $6000. 10 (Of course there are other ways, such as credit reports, whereby to secure compliance with usurious contracts, even when they are not literally enforceable.) On what I take to be the most natural reading of the self-ownership approach to property, then, self-ownership not only does not license the enforcement of slavery contracts, but actually prohibits it, along with the enforcement of certain other contracts, while nevertheless permitting the enforcement of most ordinary contracts. One might worry how various sorts of shared property interests – such as joint ownership, as in a business partnership, or rental contracts, where some rights are transferred and others retained – if property is an extension of the self. But joint ownership and the like need not involve a merging of selves. As long as various individuals' claims on the property are compossible and well-defined (or at 10 Roderick T. Long, "A Note on Credit Institutions in a Free Nation," Formulations 7.3 (Spring 2000). 7 least there is some reasonable way of specifying them should the need arise), then the aspects of the physical item that are incorporated into one user's projects will be distinct from the aspects that are incorporated into those of another. And the boundaries of the self are defined by projects, and not by physical chunks of stuff except to the extent that those are incorporated into the projects. (Does this mean we can't have joint projects? No. But it does mean that joint projects must de decomposable into distinct claims. The alternative is either to render rights incompossible, or else to make individuals' rights subordinate to some sort of collective whole. Individualism vs. Atomism Another common criticism, or family of criticisms, of the self-ownership thesis is that it is too individualistic, where this is usually intended as a charge of atomism. But from a libertarian perspective, individualism and atomism are at odds. Libertarian individualists tend to "see human interests as harmonious and social cooperation as natural," and consequently are "social individualists, encouraging autonomy and independence," as well as "economic and political individualists, trusting individuals to pursue their goals without coercive control" – whereas atomists "tend to see human interests as naturally conflictual," and so "do not expect social order to emerge unless it is imposed on society by coercive authority," a position that puts them at odds with social, economic, and political individualism. 11 And as Chris Sciabarra's work emphasises, hostility to atomism in all its forms has been a dominant theme in the libertarian individualist tradition. 12 As evidence of the inherently atomistic nature of libertarian individualism, Ann Cudd points to Rothbard's use of an unrealistically asocial Robinson Crusoe model in Ethics of Liberty. 13 There's a certain irony there, as the point that Robinson Crusoe models (or what Marx calls the "unimaginative conceits of the eighteenth-century Robinsonades") are unrealistically asocial is one well-established in libertarian thought, including the work of thinkers who use them. Frédéric Bastiat, for example, writes: 11 Roderick T. Long, "The Classical Roots of Radical Individualism," p. 263; Social Philosophy and Policy 24.2 (July 2007), pp. 262-297. Online at http://praxeology.net/political-philosophy.htm 12 Chris Matthew Sciabarra, Total Freedom: Toward a Dialectical Libertarianism (University Park: Pennsylvania State University Press, 2000); see also Sciabarra, Marx, Hayek, and Utopia (Albany NY: SUNY Press, 1995), and Sciabarra, Ayn Rand; The Russian Radical, 2 nd ed., (University Park: Pennsylvania State University Press, 2013). 13 Ann Cudd, "Feminism and Libertarian Self-Ownership," p. 128; Routledge Handbook of Libertarianism, ed. Jason Brennan, Bas van der Vossen, and David Schmidtz (New York: Routledge, 2018), pp. 127-139. The reference is to Rothbard (1994), ch. 6. It was ... Daniel Defoe's original plan to cast Robinson Crusoe ashore on the Isle of Despair alone, naked, deprived of all that can be added to one man's strength by united effort, specialized skills, exchange, and society. Nevertheless, and despite the fact that the obstacles are purely fictitious, Defoe would have deprived his novel of every trace of verisimilitude if, overfaithful to the thought he wished to develop, he had not made necessary social concessions by allowing his hero to save from the shipwreck a few indispensable objects, such as provisions, gunpowder, a rifle, an ax, a knife, rope, boards, iron, etc. –decisive evidence that society is man's necessary milieu, since even a novelist cannot make him live outside it. And note that Robinson Crusoe took with him into solitude another social treasure worth a thousand times more, one that the waves could not swallow up: I mean his ideas, his memories, his experience, and especially his language, without which he could not have communicated with himself or formed his thoughts. 14 Yet, having said this, Bastiat goes on to employ Robinsonades himself, later in the same work. 15 Was he confused? I don't think so. In the Aristotelean tradition – which, I've argued elsewhere, the libertarian tradition mostly follows on this point – there are two different ways in which we might consider, say, a horse in abstraction from its color. We may consider the horse as not having a determinate color, or else we may consider the horse not as having a determinate color. To consider the horse as not having a determinate color is to hold, or attempt to hold, as the object of our thought a horse that simply has no determinate color – a creature never encountered in physical reality, and having its home either in Platonic heaven or nowhere. This sort of abstraction falsifies and contradicts the concretes on which it is based. But to consider the horse not as having a determinate color is simply to consider the horse as a horse without considering its color one way or the other; and here no falsification is involved. These two types of abstraction are often referred to as precisive and non-precisive . ... [A\ precisive abstraction is one in which certain actual characteristics are specified as absent , while a non-precisive abstraction is one in which certain actual characteristics are absent from specification . 16 But this does not mean that precisive abstraction has no legitimate uses. On the contrary, 14 Frédéric Bastiat, Economic Harmonies, trans. W. Hayden Boyers (Irvington-on-Hudson, NY.: Foundation for Economic Foundationn, 1964), p. 64. 15 Bastiat (1964), pp. 94-96. 16 Roderick T. Long, "Realism and Abstraction in Economics: Aristotle and Mises versus Friedman," p. 7; Quarterly Journal of Economics 9.3 (Fall 2006), pp. 3-23. Online at: http://praxeology.net/political-philosophy.htm the purpose of precisive abstractions is to help us better grasp non-precisive abstractions. ... By imagining an example in which only certain factors are operative, we can more easily focus, without distraction, on the operation of those factors—but the goal is to understand how those factors work wherever they are active. ... Similar remarks apply to Mises's "evenly rotating economy," a construct that bears a superficial resemblance to the perfect-competition construct that Austrians excoriate. Both constructs abstract precisively from such real-world features as imperfect information and novelty. The difference is that the evenly rotating economy is not supposed to be a model – realistic or otherwise – of the real world. What happens in the ERE is not supposed to be a good predictor of what happens in real-world economies; quite the contrary. Rather, its point is to help us understand, for example, the difference between profit and interest, by showing us how, in a world without changes in price, profit would disappear but interest would not. The point of considering the ERE's profitless world is thus not to prepare us to analyze situations in which profit is negligible, but precisely to enable us to analyze situations in which profit is not negligible, so that we may distinguish conceptually between the role of interest and the role of profit when both factors are operative and their effects intermingled. 17 Likewise, in making use of a Robinsonade, Rothbard is not asserting that our true nature is asocial; indeed, he explicitly notes that the example is unrealistic, and that its use is not to describe the real world but rather to help us, through abstraction, to pick out features of the real world that would otherwise be difficult to notice. To be sure, Cudd makes a pro forma acknowledgment of this when she writes: Now the libertarian will grant these facts and yet hold that this model of the atomistic self, while it is literally false, makes the individual person the proper subject of moral theory. But I do not see how this can be done in a non-question-begging way. Furthermore, by assuming persons are or can be that atomistic individual, we dismiss significant portions of our lives in which we are dependent on others. 18 But Cudd's response misses the point. By describing Rothbard's thought-experiment as "assuming persons are or can be that atomistic individual," she is taking it as a model of reality when that is precisely what it is not, and is not intended to be. A related objection to libertarian self-ownership is that it denies the ways in which the self is socially constituted. But as Crispin Sartwell has argued at length, 19 there is no conflict between self- 17 Long, "Realism and Abstraction" (2006), pp. 17-18. 18 Cudd (2018), p. 128. 19 Crispin Sartwell, Against the State: An Introduction to Anarchist Political Theory (Albany NY: SUNY Press, 2008). ownership and viewing the self as socially constituted. Self-ownership does seem to depend on a basic distinctness of persons; but to say that my identity depends in part on my relations to other people does not imply that other people are literally part of me or vice versa. To treat mutual distinctness as inconsistent with mutual dependence is an atomist mistake, not an individualist one. A somewhat different objection to libertarian self-ownership is that it is incompatible with the recognition of positive obligations, even non-enforceable ones. Now some thinkers have indeed conceived self-ownership in that way; Cudd cites Peter Vallentyne, for example. 20 But that is certainly not how self-ownership is conceived by most libertarians. Recall what is involved in a negative rights thesis: the obligation of others to let me do X, and the permissibility of my, or my agent's, enforcing that obligation. Nowhere is the permissibility of my doing X included. Suppose I have a right to publish and distribute pamphlets advocating Nazism. All that means is that other people are obligated not to interfere coercively with my doing so, and that it's permissible for me, or for others acting on my behalf, to stop them forcibly if they try. In no way does it mean that my promotion of Nazism is itself morally permissible. In the same way, while self-ownership implies that I have a right to refrain from offering positive assistance to others (except in the case of derivative positive rights noted above), it does not imply that it is permissible for me to do so. Cudd further worries that self-ownership forbids "very plausibly allowable violations of the strict boundaries it draws around the self." 21 But, as again I've noted elsewhere, the libertarian principle of non-aggression – which is essentially the obligation component of self-ownership – is fairly abstract, and there are different ways of rendering it more concrete. A variety of moral considerations, some consequentialist, constrain the ways in which its generality can reasonably be specified. The contours of what counts as aggression are not infinitely malleable; but absent the contribution of further values ... they are not infinitely specific either. (The same applies to determining the boundaries of the person.) In some cases the principle will require not using someone else's property without her consent; at other times ( i.e. , in emergency situations where the threat is great and the use temporary and minimal) it may merely requires compensating the owner after the fact for unconsented use. 22 20 Peter Vallentyne, "Critical Notice of G.A. Cohen's Self-Ownership, Freedom, and Equality," Canadian Journal of Philosophy 28 (1998), pp. 609-626. 21 Cudd (2018), p. 129. 22 Roderick T. Long, "Eudaimonism and Non-Aggression," Bleeding Heart Libertarians (30 April 2013); online at: http://bleedingheartlibertarians.com/2013/04/eudaimonism-and-non-aggression/ We may say of self-ownership what Mill said of utilitarianism: "There is no difficulty in proving any ethical standard whatever to work ill, if we suppose universal idiocy to be conjoined with it." 23 Applying Self-Ownership Let me conclude by saying something about the economic implementation of the self-ownership thesis. Some version of self-ownership is championed both by right-wing libertarian champions of capitalist and by common-resource libertarians of the Otsuka-Steiner-Vallentyne variety. (I'll call them common-resource libertarians rather than "left-libertarians" because "left-libertarian" already had a standard meaning within the libertarian movement, a meaning with which I identify, before the common-resource libertarians began using it.) Common-resource libertarians accept some version of self-ownership, but regard natural resources as in some sense the common property of the human race. But this runs counter to the point I've discussed earlier, that rights over external objects can be justified only as extensions of selfownership: "How can the human race plausibly claim as part of itself, or an extension of itself, land that no human hand has yet transformed?" 24 Moreover, it's not clear why the common-resource view should be limited to inhabitants of this planet. "If there turn out to be intelligent extraterrestrials, then does the entire physical mass of the universe become the common patrimony of all intelligent life, so that an alien civilization in the Andromeda galaxy can claim, just by existing, a residual property share in the cornfields of Iowa, and we likewise can claim, just by existing, a residual property share in the vapor mines of Antares ...?" 25 Saying yes seems absurd, but saying no seems like an arbitrary limitation on the common-resource view. But if we take instead the view that natural resources are unowned until homesteaded, that does not automatically establish the sort of capitalist market that right-wing libertarians typically favour, at least if we take capitalism to imply that a) all property is privately owned except when joint ownership is established by explicit contracts, and b) the means of production are concentrated in the hands of an employing class, requiring those outside that class to serve as wage labourers for the employing class on pain of starvation. 23 John Stuart Mill, Utilitarianism (London: Parker, Son, and Bourn, 1863), p. 34. 24 Long, "Land-Locked" (2006), pp. 92-93. 25 Ibid. 12 With regard to (a), homesteading can be done jointly without any explicit contracts, through individual participation in common activities, in which case informal common property can arise legitimately. 26 With regard to (b), as individualist anarchists have been arguing since Thomas Hodgskin in 1832, 27 and have further elaborated over the past couple of decades in particular, 28 the concentration of ownership of the means of production in the hands of an employing class is best understood as the product, not of libertarian rules of appropriation and transfer, but of state interference with those rules, in the absence of which, market competition would serve as a leveling factor, making the means of production far more freely and equally available, and thus making wage labour a choice rather than a necessity. (Time constraints permit only pointing to the relevant supporting research in a footnote.) Hence the natural economic implementation of self-ownership is neither capitalism nor a commonresource approach, but rather free-market anti-capitalism.
Protein Proteins are one of the macronutrients. Proteins form the main part all cells and tissues, making them essential for growth and repair. Elemental compositions of proteins Proteins are made up of four elements: carbon (C), hydrogen (H), oxygen (O) and nitrogen (N). Proteins are the only nutrients that contain nitrogen, which is essential for growth. Some proteins contain small quantities of sulfur (S), iron (Fe) and phosphorus (P). Chemical structure of proteins Proteins are large molecules composed of amino acids. Amino acids are joined together by peptide links to form polypeptide chains that make up proteins. Basic structure of an amino acid Each amino acid contains: An amino group (NH2) (basic) A carboxyl group (COOH) (acidic) A central carbon (C) A single hydrogen (H) A variable group (R): changes with each amino acid. Basic structure of an amino acid: Examples of amino acids The variable group (R) is different in each amino acid. When the variable group (R) is hydrogen (H) the amino acid is glycine. When the variable group (R) is HS-CH2 the amino acid is cysteine. H \| H \| Essential and non-essential amino acids The human body uses 20 different amino acids to make all the proteins it needs to function. These are all found in food. They are divided into two groups: essential and non-essential amino acids. Peptide links Peptide links are formed when two amino acids join together. This results in the loss of a water (H2O) molecule and is called a condensation reaction. Stages in the formation of peptide links 1. The COOH (acidic) group of one amino acid reacts with the NH2 (basic) group of another. 2. The COOH (acidic) group loses an OH group. The NH2 (basic) group loses a hydrogen (H) atom. The hydrogen (H) atom and the OH group join together to form a water (H2O) molecule that is lost. H O H H 3. The result is a CO-NH bond. This new molecule is called a dipeptide (two amino acids joined together). When more than 20 amino acids join together, a polypeptide is formed. When more than 50 amino acids join together, a protein is formed. Each protein consists of one or more polypeptide chains. H2O The reverse of the condensation reaction is called hydrolysis. Hydrolysis involves the addition of water and enzyme action. It occurs during digestion, when proteins are broken down into individual amino acids. Structure of amino acids Primary structure Primary structure is the order or sequence of amino acids in protein chains. Amino acids can be arranged in many different combinations. Insulin, one of the simplest proteins, contains 51 amino acids. Secondary structure Secondary structure involves the folding of the primary structure of proteins into definite shapes. Polypeptide chains either fold in on themselves or cross-link with another polypeptide chain. This causes the chains to form a spiral shape. Cross-links give proteins their unique properties, e.g., gluten its elasticity. There are two main types of cross-links: disulfide bonds and hydrogen bonds. Disulfide bonds Disulfide bonds occur when two sulfurs from two amino acids join together from either a single polypeptide chain or two different polypeptide chains. The amino acid cysteine contains sulfur. Two cysteine amino acids can form a disulfide bond. Insulin contains disulfide bonds. Hydrogen bonds Hydrogen bonds occur when a hydrogen (H) from the N-H group of one amino acid join together from either a single polypeptide chain or two different polypeptide chains. The amino acids serine and tyrosine are capable of forming hydrogen bonds. Collagen contains hydrogen bo nds. Tertiary structure Involves the folding of the secondary structure of proteins into three-dimensional shapes. Further cross-linking between amino acids forms definite shapes, which may be fibrous (elongated) or globular (folded over itself to form a compressed unit). Fibrous Shape Polypeptide chains are arranged in straight, spiral or zigzag shapes. Properties Insoluble in water. Not easily denatured. Examples Gluten (wheat) Elastin and collagen (meat connective tissue) Globular Shape Polypeptide chains are arranged in a globular (spherical) shape. Properties Soluble in water. Easily denatured. Examples Ovalbumin (egg white) Lactalbumin (milk) Classification of proteins Proteins can be classified as simple proteins or conjugated proteins. Simple proteins \| Group \| Sub-group \| Examples \| \|---\|---\|---\| \| Animal \| Fibrous \| Elastin Collagen \| \| \| Globular \| Ovalbumin Lactalbumin \| \| Plant \| Glutenins \| Glutenin Oryzenin \| \| \| Prolamines \| Gliadin Zein \| Conjugated proteins Conjugated proteins form when proteins combine with a non-protein molecule. \| Group \| Examples \| \|---\|---\| \| Lipoproteins (lipid and protein) \| Lecithin \| \| Phosphoproteins (phosphate and protein) \| Caseinogen \| Sources of protein Animal sources Meat, fish, eggs, milk and cheese. Plant sources Beans, nuts, lentils, peas and cereals. Biological value of proteins Biological value protein is a measure of the protein quality in a food and it is displayed as a percentage (%). It is determined by the number of essential amino acids a food contains in proportion to the needs of the body. For example, a 100% biological value protein food contains all the essential amino acids in proportion to the needs of the body. High biological value (HBV) proteins (complete proteins): contain all essential amino acids. These proteins are mostly found in animal sources, with the exception of soya beans. \| Meat \| 80-90% \| Collagen, actin, elastin, myosin and globulin \| \|---\|---\|---\| \| Fish \| 80-90% \| Collagen, actin and myosin \| \| Cheese \| 84% \| Casein \| \| Soya beans \| 74% \| Glycinin \| Low biological value (LBV) proteins (incomplete proteins): lack one or more of the essential amino acids. These proteins are mostly found in plant sources, with the exception of gelatine. \| Food \| Biological value \| \|---\|---\| \| Rice \| 67% \| \| Wheat \| 53% \| \| Maize \| 40% \| \| Meat bones \| 0% \| Complete role/supplementary value of protein Low biological value (LBV) proteins are deficient in one or more essential amino acids. Consuming two LBV protein foods together (each lacking essential amino acids) can ensure all essential amino acids are obtained. This is particularly important for vegans and vegetarians. E.g., beans and toast, hummus and pitta bread and lentil dahl and Naan. Properties of proteins Denaturation Denaturation is a change in the nature of a protein chain. It involves the unfolding of a protein chain, resulting in an irreversible change in shape. It is brought about by physical or chemical means including heat, chemicals, mechanical action and enzymes. This results in the hardening or setting of protein food, known as coagulation. Causes of denaturation Heat Heat causes protein chains to unfold and bond together, causing food to coagulate and set. Culinary application: egg whites coagulate and change from translucent to opaque at 60°C and egg yolks coagulate at 68°C. Dry heat, e.g., grilling, causes meat fibres to shrink, toughen and lose water, producing a dry texture. Moist heat, e.g., boiling, tenderises meat by converting collagen to gelatine. Chemicals Lowering or raising pH levels by the addition of acids and alkalis can denature the structure of proteins. Culinary application: a vinegar-based marinade tenderises meat by denaturing proteins. Mechanical action Mechanical action, e.g., whipping or beating, causes protein chains to unfold and partial coagulation to occur. Culinary application: meringues and sponges. Enzymes Enzymes cause a change to the nature of proteins' structure. Culinary application: the enzyme rennin in rennet causes caseinogen in milk to coagulate during cheese-making, forming curds and whey. Proteolytic enzymes, e.g., papain (from papaya), tenderise meat. Elasticity Some fibrous proteins, e.g., gluten in wheat, are quite elastic. Culinary application: gluten makes dough elastic enough to trap the CO2 gas produced by yeast, helping it to rise. Maillard reaction The Maillard reaction is the non-enzymic browning of food due to a reaction between certain amino acids and sugars under dry heat. It produces an attractive brown colour and a crust with an appetising flavour. Culinary application: shortbread biscuits, roast potatoes and roast meat. Solubility Most proteins are insoluble in water, apart from collagen in meat (soluble in hot water) and egg albumin (soluble in cold water). Culinary application: moist heat tenderises meat by converting collagen to gelatine. Gel formation When collagen (present in the bones and skin of meat) is heated it is converted to gelatine. Gelatine can absorb large amounts of water when heated, as protein chains uncoil and water becomes trapped. This forms a sol. On cooling, a sol forms a gel, a semi-solid viscous solution that has a three-dimensional protein matrix in which water molecules become trapped. Culinary application: cheesecakes and jelly sweets. Foam formation When an egg white is whisked, protein chains unfold and air bubbles form. The protein chains entrap air, creating a foam. Whisking also creates heat that begins to set the egg albumin. This is known as a temporary foam. It will collapse after a while unless heated to coagulate and set as a permanent foam. Culinary application: meringues. Effects of dry and moist heat on proteins Biological functions of proteins \| Structural proteins (used to build parts of the body) \| Production of cell membranes, muscle tissue and skin. Cell repair and replacement. Growth. \| \|---\|---\| \| Physiologically active proteins (assist with the normal functioning of the body) \| Production of: Hormonal proteins: help to coordinate bodily activities, e.g., production of insulin. Enzymes: speed up chemical reactions, e.g., pepsin speeds up the breakdown of proteins in food. Antibodies (immunoglobulins): defend the body from harmful substances, e.g., viruses. Blood proteins: move molecules around the body, e.g., haemoglobin transports oxygen through the blood. Nucleoproteins (DNA): make up the hereditary material in chromosomes. \| \| Nutrient proteins (play a nutritional role within the body) \| Provide the body with essential amino acids. \| Recommended Daily Allowance (RDA)/Reference Intake (RI) The protein requirements of an individual depend on body weight and rate of growth. On average, adults need approximately 0.75 g of proteins per kg of body weight per day. During periods of rapid growth, e.g., childhood, adolescence and pregnancy, more proteins are required. \| Children \| 30-50 g \| \|---\|---\| \| Adolescents \| 60-80 g \| \| Adults and older people \| 50-75 g \| \| Pregnant and lactating women \| 70-85 g \| Energy value of proteins 1 g of proteins provides 4 kcal of energy (17 KJ). Digestion of proteins During digestion, water and enzymes break protein chains into separate amino acids. This process is called hydrolysis. Mouth: food is chewed into small pieces by the teeth. Stomach: secretes gastric juice containing: Hydrochloric acid (HCL), which denatures proteins. The enzyme rennin, which breaks down caseinogen into casein. The enzyme pepsin, which breaks down proteins into peptones. Pancreas: secretes pancreatic juice into the duodenum (the first part of the small intestine). The juice contains the enzyme trypsin that breaks down peptones into peptides. Small intestine: the ileum (final section of the small intestine) secretes intestinal juice containing the enzyme peptidase that breaks down peptides into amino acids. The amino acids are now ready to be absorbed and utilised by the body. \| Organ or gland \| Secretion \| Enzymes \| Substrate \| \|---\|---\|---\|---\| \| Stomach \| Gastric juice \| Rennin Pepsin \| Caseinogen Proteins \| Absorption and utilisation of proteins After digestion the amino acids are ready to be absorbed by the small intestine. To enter, they pass through the wall of the villi and into the bloodstream. Next, the hepatic portal vein transports the amino acids to the liver. In the liver, amino acids are: Used to maintain and repair liver cells. Passed into the bloodstream and body tissues to form new cells, hormones, enzymes and antibodies. Excess amino acids are deaminated to produce heat and energy. Deamination Deamination is the process through which excess amino acids are broken down by the body in the liver. The NH2 group of the amino acid is removed, converted to ammonia, then to urea and excreted through the kidneys. The COOH group of the amino acid is oxidised to produce energy and heat. Excess protein \| \|— Liver — \| NH2 COOH \| \| Converted Oxidised for heat and energy to ammonia and urea \| Excreted as urine through the kidneys
SUMMARY REPORT OF THE STDF WORKING GROUP MEETING 10 October 2008 WTO Headquarters, Geneva Adoption of Agenda 1. The agenda was adopted with one amendment. The OIE requested to make a statement on STDF project 219 under item 8 (Evaluation of projects received). A list of participants is provided in Annex 1. Election of vice-chair 2. The Secretariat recalled that the OIE's term as Chair of the STDF Working Group expired at the end of the meeting. As Vice-Chair, Ms Sofie Flensborg (Mission of Denmark) would automatically become Chair. It was agreed that Working Group members would consult each other on possible candidates for the vacant position of vice chair. Overview of Operation of the Facility (STDF 275 and G/SPS/GEN/877) Implementation of Operating Plan 2008-09: Status report by Secretariat 3. The Working Group discussed the Secretariat's plans to organize two more thematic workshops in 2009 back-to-back with the meetings of the SPS Committee, one of cost-benefit analysis (February) and one on climate change (June). It was recommended that both events should be scheduled as half day events. The Working Group suggested that the workshop on cost-benefit analysis could possibly be held on a larger scale, depending on the funding situation. One member of the Working Group questioned the value added of an STDF event on climate change given the large number of other on-going initiatives on this topic. 4. The Secretariat informed the Working Group that six companies had responded to the relaunched tender for the DVD. It was hoped that a company would be selected by the end of October. The draft preliminary scripts (STDF 228 add.1) for the three case studies had been discussed with delegates from Belize, Benin and Viet Nam and additional stakeholders in each country identified. The Secretariat would draft editorial text to frame and connect the three case studies. 5. It was commented that while the case studies for Belize and Benin had a clear message, the storyline of the Viet Nam / Avian Influenza case study would need to be clarified. Avian Influenza had not driven trade restrictions in Viet Nam but had led to an assessment of veterinary services and improvements in animal health. The Secretariat requested Working Group members to provide written comments on the draft script outlines by 24 October. 6. The WTO (Mrs Sue Harrison) made a presentation on the Trade Capacity Building Database (TCBDB) outlining efforts within the WTO to improve reporting related to previous, existing and future planned SPS-related technical assistance and its sub-categories (i.e. food safety, animal and plant health). Further development of the TCBDB continued to receive high priority within the WTO as a mechanism for coordination and sharing information. It was also clarified that the OECD would not be involved in this exercise (instead concentrating on its reporting role through the Creditor Reporting System for Aid for Trade) and that any additional costs involved would be borne by the WTO. 7. Guidelines on how to report on SPS assistance to the TCBDB will be circulated to development partners by February 2009. The Working Group was requested to nominate reporters to start this work on a pilot basis by early 2009. The Secretariat explained the background to the initiative and highlighted the importance of STDF maximizing its coordination potential through improved reporting of past, present and - notably - future planned SPS assistance to the TCBDB. The Working Group appreciated the Secretariat's efforts but also highlighted the multitude of players in this area and the importance of partners and donors coordinating better within their respective organizations. Discussion of items for STDF Policy Committee (STDF 274) 8. The Secretariat invited the Working Group to comment on the draft agenda for the STDF Policy Committee, to be hosted by FAO on 16 December 2008. A deadline for the submission of items for the Policy Committee agenda was set at 28 November 2008, close of business. Discussion of STDF Aid for Trade activities 9. The Secretariat introduced document STDF 270, providing a draft first phase overview of the SPS needs and assistance of eight LDCs: Benin, Cambodia, Lao PDR, Lesotho, Mozambique, Rwanda, Senegal and Yemen. The report was prepared at UNIDO's request to complement and strengthen UNIDO's broader programme proposals aimed at addressing the supply-side needs of the eight LDCs. The Secretariat had presented the draft report at a preparatory Expert Working Group meeting on 8-9 September 2008 in Kigali, Rwanda. A final report would be presented at the LDC Ministerial Conference on 19-20 November 2008 in Siem Reap, Cambodia,. 10. UNIDO expressed its appreciation for the STDF work and further explained the background to the events in Rwanda and Cambodia within the context of Aid for Trade and the Enhanced Integrated Framework (EIF). The report was being taken into account in the finalization of the eight country programme proposals. The Secretariat mentioned that it intended to put parts of the UNIDO report on the STDF website as individual country briefings. This would complement work on compendia where the Secretariat intended to put regional SPS briefings on the website following the three STDF Aid for Trade consultations in Central America, the GMS region and East Africa. 11. Possibilities for further work in the eight countries included STDF assistance in updating the SPS sections of existing DTIS (possibly through EIF Tier 1 funding) as well as project development based on the identified needs and priorities (possibly to be followed up through EIF Tier 2 funding). In particular, the creation of SPS action plans and strategies similar to those in Cambodia and Lao PDR was highlighted as an area for future STDF work. Donors expressed their appreciation with the work carried out by the Secretariat and foresaw multiple uses for the UNIDO report. Some donors stressed the importance of the eight UNIDO programme proposals taking a multi-stakeholder approach and incorporating the principle of beneficiary ownership. 12. The Secretariat introduced document STDF 253, discussing further options for STDF work in relation to the Aid for Trade roadmap for 2008-09, and highlighted the status of the Aid for Trade initiative and the role of the WTO. The main objective of the STDF in the Aid for Trade agenda was to raise the profile of SPS as a supply-side constraint. With regard to the impact of the three STDF Aid for Trade consultations in Central America, the GMS region and East Africa and any subsequent events to be held in other regions in 2009, it was suggested to await the conclusions of the STDF evaluation report. It was agreed in principle to further evaluate the impact of the three events, unless the Working Group considered the conclusions of the evaluation report sufficient in this regard. Funding situation 13. The Secretariat provided an overview of contributions to the STDF in 2008 and the status of discussions with donors on the renewal of contributions. Finland had joined the STDF as a new donor, while the US and Germany had renewed their contributions. Discussions with the EC on a new contribution to the STDF were ongoing. The Facility currently had approximately CHF 1.9 million available in resources against approximately CHF 2.1 million in approved outstanding commitments, excluding funding for Secretariat staff (an additional CHF 0.7 million per annum). This also excluded commitments to be entered into at the Working Group meeting. With the Facility running short of funds, a call was made upon donors to renew their contributions. The crucial role of the Facility's evaluation report in this regard was acknowledged. Workshop on Good Practice – 6 October 2008 (G/SPS/GEN/875) 14. The Secretariat briefed the Working Group on the conclusions of the Good Practice Workshop, organized in collaboration with the OECD on 6 October. The workshop agreed on the need to avoid "bad practice", however, while there was recognition that the Paris Principles provided a good framework to improve technical assistance, there was less clarity about how to implement good practice on the ground. 15. Discussions regarding follow-up work focused on: (i) the development and use of impact indicators; (ii) case studies on application of a value-chain approach to enhance trade performance for particular commodities or cumulative effects of SPS–related technical assistance; and (iii) ongoing cooperation with the EIF to integrate SPS issues into national planning and budgetary processes. The Secretariat planned to prepare a short publication to disseminate the findings of the good practice research and workshop more widely. 16. Members of the Working Group commented that the workshop had been useful. FAO reiterated the importance of avoiding a fragmented approach and stressed the STDF's role in improving coordination. The WHO noted the importance of absorptive capacity and ensuring that technical assistance targets small farmers. The EC expressed appreciation for the opportunity to present its work on aid effectiveness. The Secretariat also recalled that an overview document on SPS-related capacity needs assessment tools had been finalized, and related information would be updated on the web site. Evaluation of the STDF (STDF 248) 17. Mr Stuart Slorach, provided a brief overview of the on-going evaluation of the STDF, explaining the approach that had been taken and summarizing his activities thus far. In terms of reporting, it was agreed that the deadline for comments on the draft evaluation report, to be circulated on 24 October 2008, would be extended by one additional week, i.e. until 7 November 2008. The final report would then be distributed on 14 November 2008. The importance of the evaluation was once again highlighted and Working Group members were encouraged to timely provide their views on the STDF to the evaluator. Forthcoming SPS-related technical assistance activities Forthcoming initiatives of partners and donors 18. The WHO briefed the Working Group on its Initiative to Estimate the Global Burden of Foodborne Diseases, launched in 2006 by its Department of Food Safety Zoonoses and Foodborne Diseases. The aims of the Initiative were to obtain reliable epidemiological estimates on current, projected and averted morbidity, disability and mortality of foodborne diseases and to provide countries with simple, user-friendly tools to conduct their own foodborne disease burden studies and examine the effectiveness of their prevention and intervention efforts. The Initiative would operate against a 5 year time frame. The inability of many developing and least-developed countries to perform risk assessments as stipulated in the SPS Agreement due to the lack of efficient surveillance systems on foodborne diseases was highlighted. 1 19. The IPPC informed the Working Group that an Open Ended Working Group (OEWG) for the Development of an IPPC Capacity Building Strategy had been re-scheduled to take place from 812 December 2008 at FAO Headquarters in Rome. The IPPC invited the STDF to participate in the OEWG and to prepare a background paper for discussion at the December meeting. 20. The WTO recalled that it organized up to four regional training events per year as part of the WTO regular technical assistance programme. On the back of these events, more specific training could be provided to participants with a phytosanitary (IPPC) and food safety (Codex) background. Similar training was being provided to participants with a veterinary background in close collaboration with the OIE. 2 21. UNIDO provided a brief overview of its work on methyl bromide, encompassing two types of projects: demonstration projects aimed at selecting suitable methyl bromide alternatives while taking into account climatic conditions, crops and the mode of operation; and so-called phase out projects aimed at implementing selected alternatives by transferring technology and knowledge to farmers to reduce their dependence on methyl bromide. None of UNIDO's current work is directed at looking at alternatives to methyl bromide as quarantine treatment. Over the last 10 years, approximately 80 such demonstration and phase-out projects had been implemented by UNIDO. The Working Group, welcomed the opportunity to share experiences with UNIDO on this technical topic. UNIDO's report was particularly welcomed by IPPC which noted that it had recently adopted a recommendation on the phasing out of methyl bromide as a quarantine treatment. 22. UNIDO also invited Working Group members to participate in its International Conference on Sharing Innovative Agribusiness Solutions to be held on 26-27 November 2008 in Cairo, Egypt. 3 UNIDO also referred to its Young Professionals Programme, and requested that the Working group encourage suitably qualified applicants to apply. 23. The Secretariat provided an overview of regional co-operation in West Africa. In October 2000, West African Economic and Monetary Union (UEMOA/WAEMU) and FAO had signed an agreement for a major food security programme (Programme Spécial Régional de Sécurité Alimentaire). As part of this programme, UEMOA/WAEMU initiated SPS harmonization of the regulatory structure. This work encompassed three components: preparation of the legislative and regulatory structures within the eights UEMOA/WAEMU member countries, training of government officials to understand and implement the treaties, and enforcement of inspection and laboratory testing. A Plan of Action was developed to achieve the objectives of this initiative. UEMOA/WAEMU was currently mobilizing internal and external resources to implement the Action Plan. Work on the animal health side was the most advanced and complementarities were being sought with UEMOA/UNIDO Quality 2 programme on the laboratory aspect. 24. WTO raised the issue of regional standard-setting and the development of so-called SPS protocols and felt that more technical assistance would be needed to guide these developments. Harmonization with international standards developed by Codex, OIE and IPPC should be the starting point and only in exceptional cases there should be room for regional standard setting practices. One problem encountered by WTO was that under its regular programme, funding to attend technical assistance training events could only be given to WTO Member States – and not 1 More information on the Initiative could be obtained at: http://www.who.int/foodsafety/foodborne_disease/ferg/en/index.html 2 More information on the OEWG could be obtained on the IPPC website: https://www.ippc.int/IPP/En/default.jsp 3 More information could obtained at the conference website: http://www.agribusiness-solutions.org/. regional organizations. In response, the EC briefed the Working Group on a new initiative where the issue of more effective participation in international standards setting might be further addressed, i.e. the PAN SPSO project (€3.8 million). Another EC training programme focusing on capacity building in the areas of food and feed safety, animal health and animal welfare, as well as plant health would focus on African regions (starting early 2009, €4.5 million). 25. IPPC noted that phytosanitary capacity evaluations had recently been conducted in all UEMOA countries. Regional organizations should be concerned with identifying pests of regional importance affecting plant health and exports for which regional standards could subsequently be developed. Codex concurred with the concerns expressed by WTO. It was suggested that a channel for communication with regional standard-setting bodies should be found. 26. ITC informed the Working Group on two new Export Quality Bulletins (www.intracen.org/eqm) which were published in English in October 2008. The first one contained a Directory of marks and labels related to food safety, environmental integrity and social equity (EQM 86). The second one (EQM 85) was entitled "An Introduction to ISO 22000 – Food Safety Management System". ITC mentioned that the French and Spanish versions of the bulletin on "Exporting Seafood to EU" (EQM 84) would be available in November 2008 while discussion about translation into Arabic and Portuguese of the same bulletin was ongoing. ITC also updated the Working Group on its SPS-related programmes in Bangladesh, Yemen (STDF-funded), Kyrgyzstan and Tajikistan. Forthcoming initiatives of donors 27. DFID announced two new initiatives. The first one included a four-year grant to the Natural Resources Institute (NRI) of approximately US$ 1.3 million to carry out research on SPS issues, both from a public and private sector perspective. A separate component dealt with livestock standards in particular. It was mentioned that the research of NRI should support the work of STDF. DFID also announced a grant to the Biotechnology and Biological Sciences Research Council (BBSRC) of up to £9.5 million for a programme focusing on combating infectious diseases of livestock for international development. The programme would support high quality basic and strategic biological and biotechnological research into infectious diseases of livestock species in Sub-Saharan Africa and South Asia. 4 Both initiatives were welcomed by the Working Group. 28. The Secretariat presented on-going activities to coordinate donor assistance in the area of the West African fruit fly. A scoping study, commissioned by the EC and validated by ECOWAS Members in July 2008, was a vehicle for this coordinated approach. The study laid out a set of recommended actions needed at national and regional level to control the pest and limit damage inflicted on fruit. In order to mobilize donor assistance in this area and to secure ownership of the initiative by the regional economic commissions (UEMOA/WAEMU and the Economic Community of West African States) the proposed action plan needs to be clearly budgeted. The STDF was planning to host a donor/ stakeholder workshop in early 2009 to ensure that donor actions were aligned with recommendations laid out in the EC study and complementary to existing initiatives. The World Bank fully supported proposed actions to control fruit fly and urged donors to work together on national and regional actions, as proposed in the EC study. 29. The Netherlands reported on an International Seminar on Setting Food Safety Standards attended by 175 participants from the public sector and international organizations held in the Hague on 9-12 June 2008. The seminar was organized by the Netherlands Ministry of Agriculture, Nature and Food Quality, in cooperation with FAO and WHO, and with the Dutch ministries of Health, Welfare and Sport, and of Foreign Affairs – Development Co-operation. The objective of the seminar was to develop recommendations to governments, as well as to FAO and WHO, for a new policy approach that better provides market opportunities for developing countries while ensuring health protection. It was recommended that the recommendations arising be disseminated widely. 5 30. The United States reported on a pesticide maximum residue limit harmonization initiative which aimed to develop a programme to help move forward initiatives discussed at the Global Minor Use Summit on MRL harmonization. A summary of the programme was distributed at the meeting which outlined how USDA was seeking to combine its own efforts with those of others to help support 1) participation of additional countries to the harmonization workshops, 2) travel for technical experts from other regions (Europe, Canada, Australia, others) to help plan and lead the workshops, 3) some local costs of holding the workshops. Overview of implementation of on-going projects and PPGs (STDF 273) 31. The Secretariat reported on progress made in the implementation of projects and project preparation grants. Special emphasis was given to a project in Burundi on which discussions were on-going on seeking funding through the EIF. Discussions were on-going with a series of donors about co-financing a project in Sierra Leone. The Secretariat also requested assistance from the EC in following up on a project in the fisheries sector in Cape Verde. 32. It was agreed that extensions would be granted for project STDF 79 and 65 until the end of 2008. The Working Group stressed the need for timely delivery of project implementation and requested that its view be communicated to the project implementation organizations. To ensure appropriate dissemination of project results within Codex and elsewhere, it was agreed that STDF would cover the cost of an FAO staff member to attend the final workshop for project STDF 114. 33. The Secretary reported that a letter of support had been received from the Cambodian government for project STDF 246 and that FAO had agreed to act as the implementation agency for the project. The Secretary reported that discussions were on-going on project STDF 238 (Guatemala) to ensure there was no duplication with on-going USDA or Inter-American Development Bank (IADB) activities. FAO had also undertaken a mission to Mozambique and established that project STDF 230 was complimentary to other on-going initiatives. 34. The Secretariat noted the conflict of interest it had in the case of both STDF 19 and STDF 20, since both projects had been developed by WTO. On STDF 19, the Secretary reported that it had contacted GTZ to evaluate the project as part of follow-on activities being considered by GTZ. On STDF 20, it was agreed that Mr Spencer Henson would carry out the evaluation. 35. The Secretariat reported that it had received the names of consultants from several Working Group members. Further names of evaluation consultants were required. It was suggested that a call for consultants be placed on "The Economist". The suggestion stimulated discussion of current procedures to select evaluators as well as implementing agencies. Changes to broaden the current consultant base were agreed and it was suggested that the issue be discussed further in the Policy Committee. 5 Information could be found at the following website: http://www.hetlnvloket.nl/portal/page?_pageid=116,1640390&_dad=portal&_schema=PORTAL&p_document _id=111109&p_node_id=1448708&p_mode=BROWSE Evaluation of projects and PPGs received (STDF 271 and 272) Projects not considered for funding by the STDF: 36. The Secretary provided an overview of issues arising in its evaluation of those projects which were not accepted for consideration at the STDF Working Group (STDF 272). On STDF 256 (Capacity Building for implementation of SPS compliant Hygienic Meat practices, Pakistan), it was stated that the objective of the project preparation grant was eligible. However, the capacity of the WELDO (Women Empowerment Literacy and Development Organization) should be further investigated. On STDF 257 (Fish smoking installation, Suriname), the Secretary stated that it would work with the applicant to submit a revised proposal, perhaps to an alternate funding source. On project STDF 266 (Model program for SPS standards application and WTO related negotiations for Brazil), the Secretariat explained that it would work with the applicant to organize the required training as part of the WTO's technical assistance plan. 37. On project STDF 219 (Enhancing governance of veterinary services through improving their capacity to carry out essential functions), the OIE underlined that the concerns raised by the Working Group and the Secretariat with this project had been reviewed and all issues raised had been addressed. The revised proposal: (i) had broad support; and (ii) included a financial contribution from the OIE (as specified in the budget). OIE suggested that paragraph 47 of the operational rules be considered at the next Policy Committee to allow a more flexible approach on a case by case basis. Project requests resubmitted from previous Working Groups STDF 155: Nicaragua market oriented training service on standards 38. The Working Group approved STDF 155 for STDF funding, subject to the resolution of outstanding issues identified in the Secretariat review. It was suggested that IICA be approached as a possible supplier of supervisory services for the project STDF 116 rev.1: Development and implementation of a traceability system in the livestock sector in Costa Rica 39. The Working Group approved STDF 116 for STDF funding, subject to the resolution of outstanding issues identified in the Secretariat review. It was also recommended that the project pay attention to sharing lessons learned to ensure experiences were shared widely with other countries in the region. The Secretariat proposed giving the beneficiary the choice of a range of implementing organizations. The use of Argentina's co-operation agency or IICA for project supervision were given as examples. STDF 172: Expanding Nigeria's SPS capacity for sesame seeds and shea nuts. 40. The Working Group agreed that before making a decision on funding, the Secretariat and FAO should clarify particular issues raised during the discussion of the project. Concerns raised included in relation to (i) contradictions between the requesting agency's mandate as a regulatory body and the project's focus on developing exports; (ii) questions as to whether the applicant was the most appropriate body to implement the project; (iii) unclear justification of the request for mainly basic equipment that should generally be present in regulatory labs; (iv) limitations of the use of the proposed Elisa technique in the field and questions regarding the appropriateness of this technique; and (v) limited details about the capacity of regional laboratories to perform aflatoxin analysis. There was agreement to clarify these issues before making a decision on the project, which would be communicated to the Working Group by e-mail for its confirmation. Requests for project preparation grants (PPGs) STDF 261: LAO PDR – Establishment of a reference laboratory for enteric diseases 41. The Working Group agreed on the need for clarifications before a decision could be made on the PPG request. It was noted that the overall impression of the Working Group was not favourable. Questions were raised regarding the under-utilization of existing clinical services, the innovative nature of the proposed activity and inadequate information on the linkages and synergies of the proposed activity with related projects and initiatives. The applicant was requested to answer these issues before considering whether or not to resubmit the PPG request. STDF 262: Renforcement du contrôle des maladies animales et préparation à l'accès des viandes sahéliennes aux marchés des pays de l'Afrique du Nord 42. The Working Group agreed that the applicant should revise the PPG request to address concerns and questions raised. In addition, there was agreement that OIE and FAO should clarify the relationship of the PPG application to activities carried out under STDF 13 to avoid any duplication. It was suggested that emphasis be placed on the promotion of trade in high-value meat products, rather than live animals. Clarification was also requested about the use of the OIE PVS tool and whether it would make sense to complete the gap analysis before reviewing this PPG request. STDF 268: Strengthening the Institutional Framework for SPS Management System in Tanzania 43. The Working Group agreed to fund the PPG request which responded to a priority need already identified in previous assessments, as well as during the STDF Aid for Trade regional workshop in Kampala, Uganda.. There was agreement on the need to ensure close coordination between activities carried out under this PPG and (i) support for the Tanzania Horticulture Association (STDF 126); and (ii) FAO's biosecurity activities in Tanzania. Project requests from LDCs or OLIEs STDF 255: Regional Initiative on the fight against fruit flies in West Africa 44. The Working Group approved STDF 255 for funding. The Working Group agreed that the project would help bridge the gap between the validation of the EC study and action plan on a regional response to fruit flies in West Africa - not expected to begin before the second half of 2009. Project requested received from other developing countries STDF 254: Mycotoxin prevention and control measures in Turkey for dried figs, hazelnuts, and chilli pepper 45. The Working Group decided not to approve the project for funding. There was general recognition of the quality of the project and it was stressed that at a technical level the Working Group strongly endorsed it. However, it was felt that the project could secure funding outside the STDF. There was agreement the scarce funding currently available in the STDF should be targeted to other funding applications. STDF 259: Improve safety and quality for fresh vegetables through the value chain approach in Viet Nam 46. The Working Group requested the applicant to address concerns raised by the Working Group before submitting a revised application. Concerns raised included that the involvement of the private sector seemed to be missing from the project. The comment was made that the private sector might be interested in cost-sharing given benefits to in terms of improved quality etc. Other concerns included the level of the administrative overheads. It was also suggested that links to other on-going initiatives, such as those of the EC (through the FAVRI and private sector programmes), and the US (through the APHIS attaché in Bangkok) be explored. STDF 265: Compartmentalization 47. The Working Group approved the project, but declined to offer funding for the portion requested from the STDF. The Working Group appreciated the demonstration value and pilot nature of the project in assisting in the wider use of the concept of compartmentalization. However, it was felt that in view of the scarce funding available in the STDF, the applicant would be invited to implement the project with the support of the STDF partner agencies involved, but be requested to cover any costs related to their involvement in the project. The applicant was encouraged to proceed with the project, with the active support of the OIE, and report to both the Working Group and the STDF so that its results could be disseminated more widely. STDF 267: Devising a National GAP Programme and a Commercial GAP Standard in the Philippines 48. The Working Group requested the applicant to address questions raised by the Working Group before submitting a revised application. Questions raised included the relationship between the national GAP programme and the development of national GAP standard, clarity on private and public sector involvement in the project, and the need to further specify the capacity building components of the project. It was recommended that the plant health representative in the STDF work with the applicant to answer the concerns raised by the Working Group. ANNEX 1 List of Participants \| Name \| Organization/Mission \| E-mail address \| \|---\|---\|---\| \| Awa AIDARA-KANE \| WHO \| firstname.lastname@example.org \| \| Panos ANTONAKAKIS \| WTO \| email@example.com \| \| Ezzeddine BOUTRIF \| FAO \| firstname.lastname@example.org \| \| Adria CALVET \| EC \| email@example.com \| \| Bernard CALZADILLA \| UNIDO \| firstname.lastname@example.org \| \| Yen-Ching CHAO \| Chinese Taipei \| email@example.com \| \| Carlos CORREA \| Uruguay \| firstname.lastname@example.org \| \| Sylvie COULON \| EC \| email@example.com \| \| Sashia DE SMIDT \| Netherlands \| firstname.lastname@example.org \| \| Liliana DOBREA \| UNIDO \| email@example.com \| \| Sofie FLENSBORG \| Denmark \| firstname.lastname@example.org \| \| Djidiack FAYE \| UNCTAD \| email@example.com \| \| Damien FLYNN \| Ireland \| firstname.lastname@example.org \| \| Lorenz FRANKEN \| Germany \| email@example.com \| \| Linda FULPONI \| OECD \| firstname.lastname@example.org \| \| Gàstón FUNES \| OIE \| email@example.com \| \| Ludovica GHIZZONI \| ITC \| firstname.lastname@example.org \| \| Susan HIRD \| WHO \| email@example.com \| \| Ulrich HOFFMANN \| UNCTAD \| firstname.lastname@example.org \| \| Marlynne HOPPER \| WTO \| email@example.com \| \| Jeffrey JONES \| IPPC \| firstname.lastname@example.org \| \| Hans JOOSTENS \| EC \| email@example.com \| \| Sarah KAHN \| OIE \| firstname.lastname@example.org \| \| Katie KAVANAGH \| Canada \| email@example.com \| \| Michael KESSLER \| Germany \| firstname.lastname@example.org \| \| Reiko KIWAMOTO \| Japan \| email@example.com \| \| Darius KUREK \| Switzerland \| firstname.lastname@example.org \| \| Larry LACSON \| Philippines \| email@example.com \| \| Kenza LE MENTEC \| WTO \| firstname.lastname@example.org \| \| Tim LEYLAND \| UK \| email@example.com \| \| Tone MATHESON \| Norway \| firstname.lastname@example.org \| \| Kazuaki MIYAGISHIMA \| Codex \| email@example.com \| \| Heli NIEMI \| Finnish Mission \| \|---\|---\| \| Katie NISHIURA \| US Mission \| \| Ryousuke OGAWA \| Japan \| \| Katherine QUINTENS \| UK \| \| Jennifer RATHEBE \| Commark Trust \| \| Christophe RAVRY \| World Bank \| \| Michael ROBERTS \| WTO \| \| Keith ROBINSON \| Canada \| \| Isabelle ROLLIER \| EC \| \| Christine SLOOP \| US \| \| Stuart SLORACH \| Consultant \| \| Ke SOVANN \| Cambodia \| \| Melvin SPREIJ \| WTO \| \| Gretchen STANTON \| WTO \| \| Claudia STEIN \| WHO \| \| Steinar SUANEMYR \| Norway \| \| Kim TRAN \| Netherlands \| \| Tom WESTCOT \| US \|
Students' Representative Council Constitution CONTENTS CONSTITUTIONAL MATTERS Constitution of the SRC 1. There shall be a Students' Representative Council (abbreviated hereinafter as the SRC) of the London School of Hygiene & Tropical Medicine (abbreviated hereinafter as LSHTM). The SRC shall be a representative organisation of and for LSHTM students, deriving its status from the LSHTM's Royal Charter; and shall be subject to the Charter, Statutes and managerial arrangements of LSHTM, save where the legal duties of the SRC Trustees take precedence over managerial arrangements. 2. Governance of the SRC shall be in line with this constitution, which fulfils the requirements of the Education Act 1994 Part II in respect of Students' Unions. The SRC shall at all times conduct its affairs within the law and in accordance with this Constitution. 3. The Council of the LSHTM shall not interfere with the democratic discussion of issues falling within the purview of the SRC nor the legitimate expression of student opinion through the Committee structure. 4. This Constitution of the SRC is made under the authority of the Council of LSHTM. It revokes all previous Constitutions of the SRC. Related documents 5. The SRC shall have powers to make Standing Orders not inconsistent with this Constitution nor inconsistent with general LSHTM policies including on Freedom of Speech and Equality & Diversity. The Constitution and Standing Orders shall be available to all students. 6. More detailed policy, guidance and expectations regarding how student representatives should be elected and work with the LSHTM shall be set out in a Student Representation and Engagement policy, or equivalent document, to be jointly agreed between SRC and LSHTM. Interpretation of the Constitution 7. Where the need arises for SRC to review aspects of the Constitution, or to review or modify the Standing Orders, this shall be undertaken by a Constitution Review Group comprising two members of the SRC Executive plus two other SRC members appointed by the SRC Executive. 8. Any disagreement within the SRC over the interpretation of the Constitution shall be referred to a Constitution Review Group in the first instance. In the absence of a resolution, or in the case of disagreement between students and staff over the interpretation of the Constitution, the matter shall be referred to the Secretary and Registrar (acting in the capacity of Secretary of LSHTM, and hereinafter referred to as the Secretary) whose decision is final. 9. Any disagreement within the SRC over the interpretation of Standing Orders or the conduct of business shall be referred to the SRC President in the first instance, and then to a Constitution Review Group if this does not resolve the matter to the satisfaction of all parties. If a Constitution Review Group cannot come to a resolution, the matter shall be referred to the SRC Executive and the Secretary. The SRC Executive shall make a final decision, unless the Secretary identifies aspects of the Standing Orders or interpretation thereof as being inconsistent with the Constitution – in which case the Standing Orders should be amended or a more appropriate interpretation agreed. Amendments to the Constitution 10. The SRC shall be asked for input or feedback regarding all proposed reviews or updates to the Constitution. Such consultation shall normally be co-ordinated between the Secretary (on behalf of the LSHTM) and/or his/her nominee(s), and a Constitution Review Group (on behalf of the SRC). 11. The Constitution shall be reviewed on behalf of the LSHTM's Council at least every five years. The date by which it should next be reviewed is stated at the end of the document. Such reviews should be jointly conducted by an SRC Constitution Review Group working with the nominee(s) of the Secretary to make any recommendations for change. Such reviews may consider Standing Orders made under the Constitution. 12. Any recommendations for amendments to the Constitution shall be put forward to LSHTM's Council by the Secretary, following consultation with the SRC. Substantive amendments to the Constitution may only be made by resolution of the LSHTM's Council, and the final responsibility for any decision rests with the LSHTM's Council. Non-substantive updates, e.g. to ensure currency of terminology or update cross-references to the Standing Orders, may be approved by the Secretary with the agreement of the President of the SRC. 13. Any changes to the Constitution should normally be approved for effect from the start of the next academic year (as defined by LSHTM). Changes should only be approved for immediate or retrospective effect if the LSHTM's Council has been given specific reasons for doing so, taking into consideration the likely impact on students. Resolution of disagreements 14. Should the SRC disagree with any amendment to the Constitution, or any other matter that cannot be resolved in the first instance through direct liaison with relevant LSHTM staff (up to and including the Secretary acting on behalf of the LSHTM's management, or the Director), this shall be the subject of a meeting between SRC officers nominated by the SRC President and appropriate staff nominated by the Chair of LSHTM's Council. 15. Any disputes between the SRC and LSHTM as represented by the Secretary or the Director will be resolved by the LSHTM's Council. FUNCTIONS OF THE SRC Aims and objectives of the SRC 16. The overall aim of the SRC shall be to represent, safeguard and advance the educational, cultural, sporting, social and general interests and welfare of the students of LSHTM. 17. Further specific objectives of the SRC shall be: (i) To represent students' interests to the management and staff of LSHTMl. (ii) To facilitate engagement by all students, individually and collectively, in contributing to the oversight and development of LSHTM's educational programmes and the LSHTM student experience more generally. (iii) To promote communication between students and staff of LSHTM. (iv) To support clubs, societies and social and sporting activities organised by members of the SRC. (v) To promote interaction between students and alumni of LSHTM to the benefit of both parties. (vi) To undertake such charitable representative activities as properly fall within the Charter of LSHTM, the SRC Constitution and the 1994 Education Act. 18. The above aims shall be pursued in line with LSHTM's Equality & Diversity Strategy, and there will not be any tolerance for any form of discrimination relating to characteristics protected by the Equality Act 2010 – including on grounds of religion and belief (or nonreligious beliefs), race (including colour, nationality, citizenship and/or ethnic background), political affiliation, marital or parental status, socio-economic background, sexual orientation, age, sex, gender identity or disability. Affiliation to external organisations 19. The SRC will not normally affiliate to any external organisation, and shall be independent of any political party or religious body. 20. If the SRC wishes to become affiliated to any external organisation, that affiliation shall be considered on the agenda of and formally resolved by at least two General Meetings held not less than four weeks apart. LSHTM's Council shall be informed through the Secretary of the fact of that affiliation. Disaffiliation shall also be approved by formal resolution by two General Meetings held not less than four weeks apart. 21. The SRC President will submit a list of SRC affiliations to the first General Meeting each academic year for the approval of members. MEMBERSHIP OF THE SRC Inclusion in membership 22. All students registered for a programme of study with LSHTM shall be members of the SRC for the period of their registration unless they specifically opt out. - This includes all students registered for doctoral degrees, Master's degrees, Diploma, Certificates and individual modules; whether studying full-time or part-time; and whether studying at LSHTM premises or through distance-based arrangements, including students registered for University of London International Programmes courses run by LSHTM. - The inclusion of students from joint or collaborative programmes shall be governed by the Memorandum of Agreement for each such course; but as a general principle, such students ought to have the same SRC membership rights and privileges as any other. - LSHTM students in respect of aspects of their studies which are undertaken at or led by LSHTM. Such membership may be in addition to membership of Students' Unions at collaborating institutions. 23. Registry joining instructions shall inform students that they shall be deemed to be members of the SRC unless they sign an opt-out clause on the student registration form. Students shall be informed that if opting out, they may neither stand for election as a SRC representative or Executive nor participate in its activities. The Registry shall keep a record of those students who choose to opt out. A student may opt out of membership at any time by notification to the Registry. Students may not opt back in within the same academic year they opted out; but may be permitted to opt back in during any subsequent year of registration, again by notification to the Registry. 24. Where an SRC member has been found to have contravened the rules of the SRC (as governed by the Constitution) or been found guilty of misconduct (in respect of either the SRC or LSHTM), their membership of the SRC may be restricted or withdrawn as set out in the SRC Standing Orders and LSHTM Complaints Procedure. Withdrawal of membership may be enacted through a Motion of No Confidence at a General Meeting as set out in the Standing Orders. Categories of membership 25. The categories of membership shall be: (i) Ordinary members – students registered for a period longer than 5 weeks who do not fall into the following categories. (ii) Representative members – students who have been elected to specific representative roles, including programme reps and department reps. (iii) Executive Officers – students who have been elected to positions on the SRC Executive. (iv) Temporary members – students registered for a period of only 5 weeks or less. (v) Staff members – persons who are both registered for a programme of study at LSHTM and hold an LSHTM staff contract. (vi) Honorary members – external persons specifically appointed to this category (potentially including members of staff not otherwise registered for a LSHTM programme). 26. Arrangements for the election of Representative members and Executive Officers, and their specific privileges, are set out in the next section. 27. Temporary members of SRC shall have the same privileges as Ordinary members, but not the right to elect or stand for Executive Officers' positions. Because temporary members will be registered for only brief periods and are likely to have more limited engagement with LSHTM, there shall be no obligation on the SRC to involve them in all activities, save that they should not be unnecessarily excluded. 28. Honorary members may, from time to time, be appointed by the SRC. To be appointed as such, names must be proposed and seconded by two different representative members, ratified by agreement at an SRC General Meeting, and the appointment communicated to the Registry. Honorary membership may be granted for a period of up to twelve months; it may be renewed or extended beyond this by repeating the standard appointment process. Privileges shall be the same as those of Ordinary members, unless amended or restricted for individual appointments as the SRC Executive sees fit; but there will be no voting rights. 29. Honorary membership status shall also automatically be applied to outgoing Executive Officers and Representative members of SRC in any interim period between their registration at LSHTM ending and their roles being filled by new representatives. In the event that a role is not swiftly filled by a new representative, such automatic honorary membership shall expire after a period of twelve months. 30. Staff members of SRC shall have either student or staff policies, rights and privileges applied to them as most appropriate to the matter at hand. In the event of any perceived conflict arising from the dual status of student and staff member, those who are engaged as staff for 50% or more of their standard work and study hours with LSHTM shall normally be treated as staff, and those who are engaged as staff for less than 50% of this time shall normally be treated as students. Should any involved person dispute the most appropriate way to treat such a case, the matter shall be referred to the Secretary whose decision shall be final. ELECTION AND APPOINTMENTS Election processes 31. Elections shall be governed by the principle of 'one member, one vote', supported by appropriate security procedures. Voting systems should allow full participation by all registered students, including those based away from LSHTM premises; but proxy voting shall not be permissible. Election of Executive Officers should always be by secret ballot. 32. Elections shall normally take place twice in any given academic year. The roles of President, Vice -President (Taught Programmes), Vice-President (Taught Programme Communications and Activities) and Vice-President (Finance and Operations) will be elected at the start of the academic year, normally October. The roles of Vice-President Doctoral Degree Communications and Activities) Vice-President (Doctoral Degrees) and Vice-President (Distance Learning) will be elected at the start of the calendar year, normally January. The purpose of the two election points is to permit some continuity within the SRC Executive by staggering the points at which new Executive Officers are selected. 33. A Returning Officer shall be appointed by the Secretary to oversee election processes, particularly for election of Executive Officers. SRC may challenge the appointment of a Returning Officer by agreeing a motion for submission to the Secretary. 34. The SRC shall work with the Returning Officer to ensure that appropriate procedures for the conduct of elections are reflected in the Student Representation and Engagement policy. - The Returning Officer will ensure that elections are carried out in accordance with this Constitution and the Student Representation and Engagement policy. The Returning Officer and any persons they nominate to support election processes shall be strictly bound to preserve the security of voting and the confidentiality of any secret ballots. - In the event of a dispute regarding election outcomes or the interpretation of agreed processes, the decision of the Returning Officer shall be final. 35. Lists of all elected representatives shall be maintained by the Teaching Support Office and normally made publicly available, or otherwise be available for any registered student to inspect on request. Election of representative members 36. Representative members ('reps') shall be elected by programme for award-bearing taught programmes, and by department for doctoral degrees, from among the registered SRC members (excluding honorary members) for each such programme and department. Election of Executive Officers 37. Executive Officers of the SRC shall be elected to the following positions, together comprising the SRC Executive: (i) President (ii) Vice-President (Taught Programme Communications & Activities) (iii) Vice-President (Doctoral Degree Communications & Activities) (iv) Vice-President (Finance & Operations) (v) Vice-President (Doctoral Degrees) (vi) Vice-President (Taught Programmes) (vii) Vice-President (Distance Learning) 38. Only SRC members registered at LSHTM for a programme of study lasting at least nine consecutive months are eligible to be elected as Executive Officers. Candidates for the two Taught Programme, two Doctoral Degree roles and Distance Learning Vice-President posts are respectively expected to be taught programme, doctoral degree or distance learning students themselves, although election to these posts will be by the full student body and not by a sub-set. 39. If a Representative member is elected to be an Executive Officer, that person shall cease to be a rep for their programme or Department, and a specific new election shall be held for the programme or Department to fill the rep vacancy arising. Appointment of Committee members 40. Details of committees to which student representatives are to be appointed, and procedures and criteria for making such appointments, shall be maintained as part of the Student Representation and Engagement policy. Special appointment of representatives 41. SRC General Meetings or the SRC Executive may specially appoint students as representatives for particular purposes – for example, to Chair a committee or working group or take on appropriate delegated authority from the Executive regarding a particular matter (see paragraph 65 below). Such persons may be drawn from any category of membership, but they shall not accrue the voting rights of Representative members through such an appointment. Such appointments may be made for a maximum term of one year, after which any extension must be specifically re-approved. Length of Service 42. Executive Officers, programme and Department reps and appointed committee reps shall usually serve a one-year term. For programme, Department and appointed committee reps and the roles of President, Vice-President (Taught Programmes), Vice-President (Taught Programme Communications and Activities) and Vice-President (Finance and Operations) the term of office would normally run from October to October. The roles of Vice-President (Doctoral Degrees), Vice-President (Doctoral Degree Communication and Activities) and Vice-President (Distance Learning) will normally run from January to January. Executive Officers or reps elected outside the normal timeframe, as set out above, through a byelection or appointment will serve to the normal end of the term of office for their position rather than for a year. 43. Executive Officers, programme and Department reps and appointed committee reps may continue to serve in an honorary capacity and on a purely voluntary basis during any interim period (up to twelve months maximum) between their registration with LSHTM ending and their roles being filled by new representatives; but shall not have authority to allocate SRC funds in that time save by special agreement of the SRC Executive or the Secretary pending election of a new SRC Executive. 44. Executive Officers, programme and Department reps and appointed committee reps may withdraw from their post or appointment of their own volition at any time. - Programme or Department reps should resign by notification to the SRC VicePresident (Taught Degree Communications & Activities). - Executive Officers may resign by notification in writing to the SRC President. The SRC President may resign by notification in writing to the Secretary of LSHTM, copied to other members of the SRC Executive. Resignations shall take effect five days after receipt of such notifications. Pending the election of a replacement, the SRC Executive may appoint one of their number to act in the capacity of the member who has resigned. - Committee reps who wish to step down from their appointments must inform both the SRC President and the Chair of the relevant committee. 45. Executive Officers or Representative members may also be removed from office during the year by procedures laid down in the SRC Standing Orders. Reps on committees may have their appointment withdrawn pursuant to the Student Disciplinary Procedure. 46. Where a representative's term of office ends early, for whatever reason, a further specific election should be held or appointment made to fill this vacancy for the remainder of the year. DUTIES AND RIGHTS OF STUDENT REPRESENTATIVES Duties of Executive Officers 47. The general duties of all SRC Executive Officers shall include: (i) to act as a Trustee of the SRC; (ii) to take part in formal SRC meetings, liaise with fellow-students, and help to develop the SRC's position with regard to the student interest; (iii) to represent the SRC's position to relevant LSHTM authorities; (iv) to proactively liaise with programme and Department representatives to ensure the student voice is captured and reflected to LSHTM staff and committees and (v) to ensure a clear and timely handover to successors regarding all key knowledge, information and resources pertaining to SRC activities and positions, this may be in the form of a meeting or detailed handover report. 48. Executive Officers should work collectively to undertake their general duties as listed above and may share out aspects of their specific duties by agreement between themselves and the SRC President, and may from time to time be required to deputise for other Executive Officers, including the President. 49. Further specific duties of the SRC President shall include: (i) to oversee the conduct and co-ordination of all SRC business; (ii) to schedule, convene and chair SRC General Meetings and meetings of the SRC Executive; (iii) to serve as a member of LSHTM Council; (iv) to report annually to LSHTM Council on SRC activities; and (v) to ensure that the Constitution and the Standing Orders are observed at all times. 50. Further specific duties of the SRC Vice-President (Taught Programme Communications & Activities) shall include: (i) to co-ordinate SRC events and activities, and business relevant to the taught student experience including clubs and societies; (ii) to oversee the communication of all SRC business to taught students, including shared responsibility for the SRC website and any email accounts with the Vice-President (Doctoral Degree Communications & Activities); (iii) to manage any formal correspondence on behalf of SRC with the Vice-President (Doctoral Degree Communications & Activities); (iv) to draw up and circulate agendas and any papers for formal SRC meetings, in liaison with the President or other designated meeting Chair with the VicePresident (Doctoral Degree Communications & Activities); (v) to alternate with the Vice-President (Doctoral Degree Communications & Activities) in the taking of minutes of formal SRC meetings and circulate them promptly and appropriately, in liaison with the President or other designated meeting Chair; and (vi) to liaise with other students and the Registry regarding the appointment of taught student representatives, including to LSHTM committees. 51. Further specific duties of the SRC Vice-President (Doctoral Degree Communications & Activities) shall include: (i) to co-ordinate SRC events and activities, and business relevant to the doctoral student experience including clubs and societies; (ii) to oversee the communication of all SRC business to doctoral students, including shared responsibility for the SRC website and any email accounts with the Vice-President (Taught Programme Communications & Activities); (iii) to manage any formal correspondence on behalf of SRC with the Vice-President (Taught Programme Communications & Activities); (iv) to draw up and circulate agendas and any papers for formal SRC meetings, in liaison with the President or other designated meeting Chair with the VicePresident (Taught Programme Communications & Activities); (v) to alternate with the Vice-President (Taught Programme Communications & Activities) in the taking of minutes of formal SRC meetings and circulate them promptly and appropriately, in liaison with the President or other designated meeting Chair; and (vi) to liaise with other students and the Registry regarding the appointment of doctoral student representatives, including to LSHTM committees. 52. Further specific duties of the SRC Vice-President (Finance & Operations) shall include: (i) to be responsible for all financial matters in the purview of SRC; (ii) to act as a named signatory to authorise SRC expenditure; (iii) to ensure that annual expenditure does not exceed annual income; (iv) to keep accounts, make regular financial reports to meetings of the SRC, and publish an annual financial report about the SRC that shall be available to all students; and (v) to arrange for the SRC accounts to be consolidated with LSHTM's financial accounts and made available to the Planning & Finance Committee and the LSHTM Council . Note: the Vice-President (Finance & Operations) must not substantively delegate their financial responsibilities to other Executive Officers without explicit written permission from the SRC President and notification to the Secretary. 53. Further specific duties of the SRC Vice-President (Doctoral Degrees) shall include: (i) to co-ordinate SRC business relevant to doctoral degrees students' academic learning opportunities, including contributing to SRC Reports to relevant LSHTM committees; (ii) to co-ordinate other SRC business activities specifically relevant to doctoral degrees students, including involvement with relevant committees or working groups; (iii) to signpost individual doctoral degree students to LSHTM support services for welfare matters (e.g. potentially including finances, health, disability or personal matters); and (iv) to support engagement between doctoral degrees students of all types and the wider student body. 54. Further specific duties of the SRC Vice-President (Taught Programmes) shall include: (i) to co-ordinate SRC business relevant to taught programme students' academic learning opportunities, both those in full-time and part-time study; (ii) to co-ordinate other SRC business activities specifically relevant to taught programme students, both full-time and part-time, including involvement with relevant committees or working groups; (iii) to signpost individual taught programme students to LSHTM support services for welfare matters (e.g. potentially including finances, health, disability or personal matters); and (iv) to support engagement between all types of students. 55. Further specific duties of the SRC Vice-President (Distance Learning) shall include: (i) to co-ordinate SRC business relevant to distance learning students' academic learning opportunities; (ii) to co-ordinate other SRC business activities specifically relevant to distance learning students, including involvement with relevant committees and working groups; (iii) to signpost individual distance learning students to appropriate University of London and LSHTM services for welfare matters (e.g. potentially including finance, health, disability or personal matters); (iv) to support engagement between all types of students and in particular to help forge positive links between distance learners and distance learners & London based students. Duties of programme and Department representatives 56. The duties of student representatives elected at programme or department level shall include: (i) to liaise with and foster communication amongst the students they represent; (ii) to help develop the SRC's position with regard to the student interest; (iii) to liaise with and where appropriate support the SRC Executive; (iv) to attend SRC General Meetings and participate in other relevant SRC activities; and (v) to take part in LSHTM committees and any SRC committees or groups as appropriate. Duties of representatives on committees 57. Student representatives appointed to LSHTM committees or affiliated external organisations are expected to attend all notified meetings, and provide written reports to such committees on behalf of SRC where requested. The SRC Vice-Presidents for Taught Programmes and Doctoral Degrees may be asked to contribute to such reports as appropriate. Reps on committees may also choose to provide a written report to SRC, via relevant Executive Officers, on any matter which they feel has been inadequately addressed by a committee or in relevant minutes. Committee reps may likewise make verbal reports to formal SRC meetings. Rights of student representatives 58. The SRC may give indemnities to representatives acting on its behalf, particularly Executive Officers acting in their role as Trustees, and purchase indemnity insurance accordingly; with the intention of indemnifying any loss suffered when acting in good faith on SRC business. MEETINGS AND ACTIVITIES OF THE SRC Conduct of formal SRC meetings 59. Formal meetings of the SRC, namely General Meetings, meetings of the SRC Executive and any Constitution Review Group (see paragraph 7), shall be conducted in accordance with this Constitution and with Standing Orders agreed by the SRC to support effective conduct of business. Quora for such meetings shall be set out in the Standing Orders. 60. The SRC President shall by default be the Chair of formal SRC meetings, but this responsibility may be delegated, or assigned in the absence of the President by a quorate meeting of the SRC Executive. Meetings may only be convened by an appropriatelydesignated Chair and with appropriate advance notification to all relevant parties. 61. Standing Orders should support appropriate and workable mechanisms for the participation of students primarily based away from LSHTM premises. Where a member cannot participate directly in a formal meeting, they may give another student or member of that meeting written authority to attend and vote on their behalf, and written proxy votes shall be accepted (except regarding election or appointment of representatives in which case proxy voting in not permitted). Proxy representatives who are not otherwise members of a meeting may observe and discuss, but may not vote upon, new business upon which they have not been delegated. 62. Minutes shall be taken for all formal SRC meetings, circulated to all eligible members of that meeting, and made available to all students via the SRC website in a timely fashion. SRC General Meetings 63. General Meetings shall be the ultimate decision-making body of the SRC, subject to decisions of the Executive in their capacity as Trustees of the SRC. 64. General Meetings should normally be convened at least termly, in each of the Autumn, Spring and Summer terms; and may be convened more frequently. Relevant members shall normally be given at least one month's advance notice; any meetings called at shorter notice shall be deemed Extraordinary General Meetings. 65. All elected Representative members and Executive Officers shall be eligible to participate and vote at General Meetings. All other SRC members may attend formal meetings as observers but shall not be eligible to vote, save where Standing Orders permit appropriate observers to express their opinions (e.g. by voting on resolutions that may then be formally ratified by a vote of Representative members and Executive Officers). SRC Executive meetings 66. Meetings of the SRC Executive shall be scheduled by the SRC President, and should normally take place at least twice in the Autumn and Spring terms, and once in the Summer term. 67. Representative members may attend SRC Executive meetings as observers. Other SRC members may attend as observers by invitation. Committees, working groups, clubs and societies 68. SRC may appoint committees or working groups to undertake particular activities or address any matter relevant to the student interest. SRC may also affiliate with, and financially support, clubs or societies formed by members to pursue any lawful interest that falls within the purview of SRC. SRC FINANCES Budget and accounts 69. The SRC budget shall be set on an annual basis by the Planning & Finance Committee of the LSHTM. 70. Accounts shall be kept by the SRC Vice-President (Finance & Operations) and shall be consolidated with the LSHTM's accounts. The SRC accounts shall be reconciled and audited by LSHTM not less than once per year. 71. In line with LSHTM procedure, the financial year shall end on 31 July, and all financial statements shall be made available to the newly elected SRC each October. 72. The SRC Executive shall ensure that expenditure during their term of office does not exceed the budget for the financial year which overlaps with the majority of that term of office. At the end of the financial year, planned expenditure by the outgoing SRC Executive for the early part of the next financial year shall be notified to the Secretary by the SRC Vice-President (Finance & Operations). The Secretary may place a cap on such expenditure to ensure that an adequate budget remains for the incoming SRC Executive during that next financial year, i.e. their main term of office. No significant allocation of the SRC budget for any financial year should normally be made until the SRC Executive for that year has been elected; any exceptions to this should be agreed with the Secretary. Allocation of Resources 73. The financial affairs of the SRC shall be conducted in accordance with LSHTM guidelines and regulations at all times. Students or staff who have any concerns about this should report them to the Secretary, and also where appropriate to the SRC VicePresident (Finance & Operations). 74. If the Secretary believes that any proposed payment from the SRC may be inappropriate, they may instruct the Finance Director not to make that payment pending an investigation. The Secretary or Finance Director or their nominee(s) shall normally liaise with the SRC Vice-President (Finance & Operations) to resolve any such issue but they may refer the matter to the Student Complaints Procedure or Student Disciplinary Procedure if the facts of the case warrant it. The Treasurer of LSHTM should be informed if the matter is referred to a formal procedure. 75. The SRC may allocate resources for specific activities undertaken under the authority of the SRC Executive, to committees or working groups within LSHTM whose formation SRC has ratified, or to clubs or societies with which SRC has affiliated. The SRC Vice-President (Finance & Operations) shall be responsible for ensuring that the allocation of such resources is carried out fairly and in accordance with the Standing Orders. 76. Funds may not be allocated to groups of staff or people outside LSHTM, other than funds raised by the SRC for its charitable purposes. FREEDOM OF SPEECH, COMPLAINTS AND DISCIPLINE Freedom of Speech 77. Under section 43 of the Education (No. 2) Act of 1986 LSHTM must take steps as are reasonably practicable to ensure that freedom of speech within the law is secured for members, students and employees of LSHTM and for visiting speakers and to balance this with its duties to protect the safety of staff and students. If the SRC or an officer of the SRC considers that there are any grounds for believing that meetings could give rise to difficulty in securing freedom of speech or the safety of a speaker, it shall be duty-bound to inform the Secretary, or in their absence the Academic Registrar, without delay, in accordance with the LSHTM's Code of Practice on Freedom of Speech. SRC Complaints Procedure 78. Complaints against the SRC or individuals acting on its behalf shall be dealt with promptly and fairly. Complaints should be made through the LSHTM Student Complaints Procedure. Discipline 79. Misconduct of a non-academic nature by a member of the SRC shall be dealt with under LSHTM's Disciplinary Procedure except in the case of bullying or harassment where LSHTM's Anti-Bullying and Harassment Policy should be used. DATE OF THIS CONSTITUTION Date this constitution was last updated and approved: 27 June 2019 Date this constitution was last subject to review on behalf of LSHTM Council: 16 May 2019 Date this constitution is next due to be subject to review on behalf of LSHTM Council: May 2024 Annex 1 - Students' Representative Council Standing Orders Students' Representative Council Standing Orders Made under authority of the SRC Constitution Status of Standing Orders SO-1. These Standing Orders are made under authority of the SRC Constitution. They may be amended by an SRC General Meeting with the formal support of at least two-thirds of Representative members and Executive Officers (present or voting by proxy), based on the prior recommendations of a Constitution Review Group established in line with the provisions of the Constitution. Conduct of formal SRC meetings SO-2. A schedule of dates for planned formal meetings should be set annually by the SRC Executive, normally by early in the academic year, and made available to all students via the SRC website. This should be kept updated if meetings are moved, added or cancelled. SO-3. The agenda and papers for any formal meeting shall be circulated in advance, normally by email at least one full week prior to the meeting, to all members eligible to vote. SO-4. All elected representatives are expected to attend meetings of which they are members eligible to vote. Observers may speak with the permission of the Chair but shall not vote. SO-5. Voting, except where otherwise stated, shall be by show of hands and the vote will be carried by a simple majority of voting members. SO-6. Where a member cannot participate directly in a formal meeting, they may give another student or member of that meeting written authority to attend and vote on their behalf regarding notified agenda items. Such proxy delegation should normally be notified by the member in advance to the Chair and Secretary of the meeting, along with apologies for non-attendance. Written proxy authority may be provided in signed hardcopy, email or even text message; but if the Chair cannot establish to their satisfaction that it is genuine, they may refuse to accept it. Once accepted, proxy representatives may observe and discuss but may not vote upon new business upon which they have not been specifically delegated. SO-7. If a meeting is not quorate, it shall not have the status of a formal SRC meeting, but the outcomes of any deliberations undertaken may be put forward for ratification at a subsequent formal meeting. SO-8. Minutes shall be taken for all formal SRC meetings, approved in draft by the Chair, and made available to all students via the SRC website as well as being circulated by email to all members of the relevant meeting within one month. Draft minutes should be formally ratified at the beginning of the next such meeting, and duly replace the earlier draft on the SRC website. SRC General Meetings SO-9. SRC General Meetings shall be scheduled by the SRC President, and should normally take place at least termly, in each of the Autumn, Spring and Summer terms. SO-10. Representative members and Executive Officers other than the President can prompt General Meetings to be held, through submission of a written or emailed request signed by at least five Representative members and/or Executive Officers to the SRC President and copied to the Vice-President (Taught Programme Communications & Activities). A General meeting must be called within two weeks and held within one month of such a request, unless those requesting it agree to a later timescale. If the SRC President does not call such a meeting within two weeks of a request, those requesting it are authorised to call and convene it. SO-11. Any SRC member may submit agenda items for an SRC General Meeting, by notification in writing not less than ten days before the meeting to the SRC President as meeting Chair or Vice-President (Taught Programme Communications & Activities) or Vice-President (Doctoral Degree Communications & Activities) whichever is acting as meeting Secretary. Submissions from Representative members shall be automatically added to the agenda; submissions from others shall be added at the discretion of the meeting Chair, or noted in a report from the Chair if not accepted as a main discussion item. The main proposer of an accepted agenda item shall have the right to speak to that item at the meeting. SO-12. The quorum for an SRC General Meeting shall be half the Executive Officers and one-third of the Representative members, in both cases rounding up to the nearest whole number, and including authorised proxy attendees towards the quorum. SO-13. All SRC members may attend SRC General Meetings. However the Chair may restrict the attendance of non-voting members based on room size constraints, e.g. reserving space for voting members and only permitting further attendees on a first-come first-served basis up to the room capacity. SO-14. Representative members and Executive Officers shall have the right to vote. Other members in attendance shall not normally be eligible to vote. At the discretion of the Chair, appropriate observers may be permitted to express their opinions through voting on a specific resolution; and the Chair may then invite Representative members and Executive Officers to formally vote on the same topic as a means to ratify this input. The Chair may determine which categories of members in attendance may contribute in this way, e.g. seeking the input of Ordinary members but not Temporary, Honorary or Staff members. The Chair may also decide not to seek or act on input from observers, e.g. where they believe that the views of the majority of attendees are unlikely to reflect those of the wider student body. SRC Executive meetings SO-15. SRC Executive meetings shall be scheduled by the SRC President, and should normally take place at least twice in the Autumn and Spring terms, and once in the Summer term. SO-16. Executive Officers other than the President can prompt Executive meetings to be held, through submission of a written or emailed request from at least two Executive Officers to the SRC President and copied to the two Vice-Presidents (Communications & Activities). An SRC Executive meeting must be called within one week and held within two weeks of such a request, unless those requesting it agree to a later timescale. If the SRC President does not call such a meeting within one week of a request, those requesting it are authorised to call and convene it. SO-17. Notice of any meeting of the SRC Executive shall be sent to all Executive Officers by not less than seven days before the meeting. An agenda should be circulated by not later than 36 hours before the meeting except under extraordinary circumstances. Meetings which do not meet these criteria shall not be considered as formal SRC Executive meetings and may not make formal decisions on behalf of SRC, unless the full all Executive Officers are present and agree unanimously that this is to be considered as formal SRC Executive meeting. SO-18. The quorum for a meeting of the SRC Executive shall be three members. If the President expects to be absent, they may send apologies and nominate an alternate Chair in advance. In the unexpected absence of the President, and where no alternate Chair has been nominated in advance, the first item of business among other Executive Officers at a quorate meeting shall be to vote in one of their number as Chair for that meeting. SO-19. The Executive Officers are appointed to roles throughout the year and should maintain contact in vacation times to ensure that SRC business is handled appropriately. Any Executive Officer who will be away from the LSHTM for more than one week – whether during or outside term-time – should notify the President in advance about this absence. The President should likewise notify the Vice-President (Finance and Operations) if they themselves will be absent. Constitution Review Group meetings SO-20. The quorum for a formal meeting of a Constitution Review Group, where established, shall be three duly-appointed members. Other SRC committees, working groups, clubs and societies SO-21. The SRC and its Executive have the power to appoint committees or working groups to work on particular objectives, in the interests of the entire student body; for example, production of student yearbooks, organisation of major social events, or more general developmental work regarding issues such as accommodation, facilities, student welfare, career development, communications, social interaction, etc. Such establishment or delegation shall not affect the rights or powers of representation of the SRC, its standing committees or individuals. A record of any delegated powers shall be retained by the SRC President. SO-22. The SRC may affiliate with clubs or societies formed by members to pursue goals consistent with the aims and objectives of the SRC. SO-23. In order to act on behalf of SRC, affiliate with SRC or receive funds from SRC, the formation of SRC committees or working groups or affiliation with clubs or societies must be formally proposed by a Representative member or Executive Officer (which may be done at the request of other students), and ratified by either an SRC General Meeting or the SRC Executive. Relevant bodies may be dissolved or disaffiliated through the same means. SO-24. SRC committees, groups, clubs or societies may include any and all categories of SRC member. Membership of committees or working groups shall be set under authority of either SRC General Meetings or the SRC Executive. Membership of clubs or societies shall be expected to be open to all interested SRC members, notwithstanding that certain such bodies may be intended to support the interests of specific sections of the student population. SO-25. Any restriction of membership (for example, a club for doctoral degree students only) must be specifically agreed by SRC as being appropriate, necessary, and not in breach of SRC or LSHTM's policies against discrimination. Restrictions on participation in activities may only be applied to certain groups in order to fulfil legal, insurance, health & safety and other such duties and requirements. SO-26. Committees, working groups or affiliated clubs and societies must all have a designated Chair and Secretary, plus a Treasurer in cases where they are being authorised to collect and disburse funds on behalf of SRC. Further roles such as Vice-Chairs may also be appointed. (i) Such designated positions should be appointed either from above by SRC in the case of committees and working groups; or in the case of clubs and societies, by election from among their membership – to take place at least annually, with appointments to be reported to the Vice-President (Communications & Activities). (ii) If no individuals can be found to take on such designated positions, then the associated body shall be considered to be suspended from operation or affiliation until such time as these positions can be filled, and should not undertake activities during this time. (iii) SRC may, from time-to-time at its discretion, define official titles for students taking on such designated positions or being appointed as representatives for particular purposes; for example, Part-time Students Representatives, an Equalities Officer, etc. Such individuals shall have appropriate voting rights within the committees, working groups, clubs or societies they are associated with, but shall not have the voting rights of Representative members or Executive Officers unless they have also been elected as such. (iv) All appointments shall be made for a maximum term of one year, after which any extension must be specifically re-approved. SO-27. Chairs of committees, working groups, clubs and societies should conduct their business in line with these Standing Orders and on a broadly similar basis to formal SRC meetings. Secretaries to such bodies should minute meetings where appropriate. The SRC President or SRC Executive may ask the Chair of any SRC committee, working group or affiliated club or society to report on their activities at any time, including to provide a brief written report meeting criteria set by the SRC Executive within one week of any such report being requested. SO-28. SRC Executive Officers may observe any meetings of SRC committees or working groups. All committees or working groups may admit other observers at the discretion of the Chair, although observers shall have no voting rights. Financial Matters SO-29. The allocation of resources to clubs and societies affiliated with SRC shall occur before the end of the Autumn term and shall be made at a special meeting of the SRC Executive. Resources for major SRC-led activities shall normally be allocated at the same time. SO-30. The SRC Vice-President (Finance & Operations) will collect the expenditure plans and resource bids in time for the special meeting of the SRC Executive. Such bids and plans will indicate timing and purpose of expenditure. SO-31. The amount of resource allocated shall be agreed by a majority vote of the SRC Executive and will be reported to the next SRC General Meeting. Details should normally also be posted on the SRC website, unless time-limited confidentiality is appropriate (e.g. if quotes from event venues are being sought and it would not be appropriate to publicly disclose the maximum amount SRC are willing to pay). SO-32. All payments from SRC funds should be authorised by the SRC Vice-President (Finance & Operations) in accordance with LSHTM's Financial Regulations. The Secretary and Registrar will determine expenditure limits beyond which payments must be authorised or co- authorised by a nominated member of LSHTM staff; details about this will be communicated clearly to the SRC Executive each year for inclusion in SRC operating documentation. SO-33. On production of relevant receipts and invoices by appropriate claimants, all payments should be authorised and processed without delay. SO-34. No affiliated club or society may exceed its budgeted allocation, operate a separate bank account or administer funds which are not reported to the SRC Vice-President (Finance & Operations). Performance of Duties SO-35. Complaints about the SRC as an organisation, or individual members acting SRC's behalf, shall be dealt with under the LSHTM Student Complaints Procedure. Separately, the following procedures outline mechanisms for dealing with inadequate or inappropriate performance of duties by SRC members. These procedures will normally be most relevant to the roles of Representative members or Executive Officers. They provide a mechanism for warning or censuring members about their conduct, and removing members from office SO-36. An Elected Representative should be warned if at any time they are failing to perform their duties satisfactorily. Such warnings may be given orally or in writing by a member of the SRC Executive, with the relevant SRC Vice-President (Communications & Activities) notified, depending on whether the representative is on a taught or doctoral programme, in order to maintain an appropriate record. Where such poor performance persists or in cases of serious misconduct, Motions of Censure or No Confidence may be enacted. SO-37. Should any member of the SRC believe that another member is not performing their role appropriately or otherwise is behaving in a manner not consistent with the SRC Constitution and Standing Orders, they may submit a Motion of Censure about that member. (i) The Motion of Censure shall be discussed at a formal meeting of the SRC held in accordance with Standing Orders – i.e. either an SRC General Meeting or an SRC Executive meeting. (ii) All Motions of Censure must be submitted in writing to the relevant SRC VicePresident (Communications & Activities), depending on whether the member is on a taught or doctoral programme, at least ten days before the meeting in which the motion will be debated. Where the Motion refers to one of the Vice-Presidents (Communications & Activities), the Motion shall be submitted to the SRC President. (iii) The Motion of Censure must clearly state the grounds of the complaint, including details of any Standing Orders or procedures that have been breached or infringed. If more than one Motion of Censure is submitted to any meeting, they may be considered as a single motion. (iv) All reasonable steps must be taken to inform the SRC member who is to be subject to the potential Motion of Censure, that such a Motion is likely to be proposed and to notify the individual of the grounds of the complaint and the procedure set out in this document. (v) The member who is being censured may attend the meeting at which the motion is to be discussed and may be accompanied or represented by a friend who will be a student or staff member of LSHTM. The member or friend shall have the right to address the meeting and shall have the right to reply. (vi) The Motion of Censure shall be passed if a majority of eligible voting members present at the relevant meeting (including proxy voters) vote in favour. The member of the SRC subject to the Motion shall not be eligible to vote. Should voting be tied, the SRC President shall have a casting vote; if they are absent or ineligible, the relevant SRC Vice- President (Communications & Activities) shall have a casting vote. (vii) If the Motion is passed, the SRC member will be informed that they have been censured, and any further complaint on the same issue will be dealt with by means of a Motion of No Confidence, as provided in Standing Order SO-38 below. All decisions of a Motion of Censure will be put in writing. SO-38. Should any member of the SRC believe that another member's actions are a serious breach of SRC Standing Orders or Constitution, or where performance has not been rectified as a result of a Motion of Censure, they may apply for a Motion of No Confidence in that member. (i) The Motion of No Confidence shall be discussed at a General Meeting of the SRC held in accordance with Standing Orders. (ii) All Motions of No Confidence must be submitted in writing to the relevant SRC VicePresident (Communications & Activities), depending on whether the member is on a taught or doctoral programme, at least ten days before the meeting in which the motion will be debated. Where the Motion refers to one of the Vice-Presidents (Communications & Activities), the Motion shall be submitted to the SRC President. (iii) The Motion of No Confidence must clearly state the grounds of the complaint, including details of any Standing Orders or procedures that have been breached or infringed. If more than one Motion of No Confidence is submitted to any meeting about an individual, they may be considered as a single motion, but if a Motion of No Confidence and a Motion of Censure are separately submitted, they may be considered separately. (iv) All reasonable steps must be taken to inform the SRC member who is the subject of the potential Motion of No Confidence that such a Motion is likely to be proposed, and to notify the individual of the grounds of the complaint and the procedure set out in this document. (v) The member who is the subject of a Motion of No Confidence may attend the meeting at which the motion is to be discussed and may be accompanied or represented by a friend. The member or friend shall have the right to address the meeting and shall have the right to reply. (vi) The Motion of No Confidence shall be passed if at least two-thirds of eligible voting members present at the General Meeting (including proxy voters) vote in favour. The member of the SRC subject to the Motion of No Confidence shall not be eligible to vote. Where a two-thirds majority is not initially achieved, the SRC President shall have a further casting vote; if they are absent or ineligible, the relevant SRC Vice-President (Communications & Activities) shall have this further casting vote. (vii) If the Motion is passed, the SRC member will be informed in writing and will be suspended from any office held. They may lodge an appeal to the Secretary and Registrar within two weeks. In the event of an appeal, the Secretary will invite comments and evidence from all interested parties and determine an outcome as they see fit. Grounds for a successful appeal to overturn the Motion (which shall result in the member's reinstatement to any office held) might include evidence of bias or procedural irregularities in agreeing the original Motion, or the emergence of new evidence that would be likely to have altered the earlier decision. (viii) Where a Motion of No Confidence has been passed, then after initial suspension from any office held the member will be formally removed from office – two weeks after the Motion in the event that there is no appeal, or otherwise directly after any appeal has been turned down. The individual may likewise then be removed from membership of the SRC if this was proposed and agreed as part of the Motion. SO-39. Motions of Censure or No Confidence pertain to the general interest of the SRC, and related proceedings and their outcomes may be matters of public record available for the awareness of all SRC members. The advice of the SRC President should be sought at an early stage for any issues involving sensitive or personal information about any individual(s); LSHTM's Disciplinary procedures are likely to provide a better means to address such matters, and the President may recommend deferring any SRC Motions until related disciplinary proceedings are complete. SO-40. The SRC President or other authorised Chair of an SRC formal meeting considering Motions of Censure or No Confidence may take appropriate steps to protect the confidentiality of individuals in cases involving sensitive or personal information. This might include, for example, not permitting observers for the relevant section of the meeting and restricting it to eligible voting members only; limiting discussion to the outcome of a prior Disciplinary case and not discussing details of that case; and/or ensuring that meeting minutes uphold appropriate anonymity and simply outline the evidence considered and outcome agreed.
STERLING MERCHANDISING, INC., Plaintiff, Appellant, v. NESTLÉ, S.A., PAYCO FOODS CORPORATION, AND NESTLÉ PUERTO RICO, INC., Defendants, Appellees. No. 10-1925. United States Court of Appeals, First Circuit. September 1, 2011. Daniel L. Goldberg, with whom Alicia L. Downey, Bingham McCutchen LLP, Jeffrey M. Williams, David C. Indiano, Seth A. Erbe, Indiano & Williams, PSC, Kevin J. O'Connor, David J. Gilles, Godfrey & Kahn, SC, and Javier A. Morales-Ramos were on brief, for appellant. Carmine R. Zarlenga, with whom Mayer Brown LLP, Wm. Bradford Reynolds, Erik T. Koons, Howrey LLP, Luis A. Oliver, Roberto A. Cámara-Fuertes, and Fiddler González & Rodríguez, PSC were on brief, for appellees. Before Lynch, Chief Judge, Lipez and Thompson, Circuit Judges. LYNCH, Chief Judge. Sterling Merchandising, Inc., sued Nestlé Puerto Rico, Inc. (Nestlé PR), and a group of Nestlé corporations including Nestlé, S.A., Nestlé Holdings, Inc. and Payco Foods Corporation (Payco). The suit alleges various federal Clayton Act, 15 U.S.C. §§ 1227, and Sherman Act, 15 U.S.C. §§ 1-7, antitrust violations and pendent Puerto Rico law claims stemming from Nestlé PR's 2003 merger with Payco and later activities. Payco had been both Sterling's and Nestlé PR's competitor in the Puerto Rico ice cream distribution market. The district court granted summary judgment on all of the federal antitrust claims on the grounds that Sterling lacked standing because its evidence failed to demonstrate, inter alia, that it had suffered a cognizable antitrust injury. See Sterling Merch., Inc. v. Nestlé, S.A., 724 F. Supp. 2d 245 (D.P.R. 2010). As an alternative holding, the district court also granted summary judgment on the merits of Sterling's antitrust causes of action. Id. The pendent claims were then dismissed. Sterling appeals. We affirm on the ground of Sterling's lack of standing, particularly its failure to show antitrust injury. I. Nestlé, S.A. is the largest ice cream manufacturer in the world and operates in Puerto Rico through its sales and marketing subsidiary, Nestlé PR. Nestlé PR entered the ice cream distribution market in 1998. After Nestlé PR merged with Payco, another ice cream distributor, in June 2003, Nestlé PR and Sterling were the two largest ice cream distributors in Puerto Rico, though there were several other distributors and some retailers bypassed Puerto Rico distributors altogether. Sterling, the smaller distributor, sued the larger, Nestlé PR, alleging Nestlé PR engaged in anti-competitive practices from June 2003 through at least October 2009, when the evidence closed. A. The Pre-2003 Merger Ice Cream Distribution Market in Puerto Rico Sterling was founded in 1993 as a Puerto Rico ice cream distributor. It immediately became the island-wide exclusive distributor of Edy's brand ice cream, the most popular brand in Puerto Rico. Other distributors in the ice cream market included Payco Foods Corporation, and Mantecados Nevada, Inc. In 1998, five years after Sterling's formation, Nestlé PR joined the distribution market by buying Mantecados Nevada's assets. From 1998 until the 2003 merger of Payco and Nestlé PR, the ice cream distribution market in Puerto Rico was competitive, and neither Payco, Nestlé PR, nor Sterling dominated the market. Sterling maintained Edy's as its flagship brand, which Sterling received from the Dreyer's ice cream manufacturing company. In the late 1990s, Dreyer's began giving Sterling a per-unit discount, tying the discount to Sterling's previous-year sales. Before the merger at issue, Sterling and Dreyer's negotiated a $0.75 per unit promotional support for Edy's. Sterling says this was done to improve its position in competing with Payco and Nestlé PR/Nevada. In 2003, Dreyer's also assigned to Sterling its new "Skinny Cow" products. Despite the competitive market and its exclusive distribution rights to Edy's, Sterling's financial performance declined from 2001 until 2003. During that period, Sterling's sales dropped from $8.07 million to $7.01 million. Nestlé PR also suffered from poor financial performance before its 2003 merger. It had roughly $8 million in losses as of May 2002, and sought ways to improve its financial outlook. It contemplated merger, including with Sterling, as a route to profitability, and eventually did merge with Payco. B. The 2003 Nestlé PR/Payco Merger and the Separate Nestlé Acquisition of Dreyer's In June 2003, Nestlé PR acquired 50 percent of Payco, which was only in the distribution business. Nestlé did not acquire the remaining 50 percent of Payco's shares until September 2005. The merger was reviewed by the Puerto Rico Office of Monopolistic Affairs (PROMA), which approved the merger conditioned on particular stipulations, none of which is alleged to have been subsequently breached, and which continue to be effective. For example, one stipulation is that Nestlé may not transfer Edy's to another distributor without the approval of PROMA unless Sterling has, in the interim, acquired distribution rights to either Breyer's or Blue Bunny ice cream. Separately, but also in June 2003, Nestlé, S.A., Nestlé PR's parent, acquired a controlling interest in Dreyer's, the manufacturer of Edy's brand ice cream products. Nestlé, S.A. acquired 100 percent ownership of Dreyer's in January 2006. Sterling has remained Edy's exclusive distributor despite Nestlé, S.A.'s acquisition of Dreyer's. The end result is that Nestlé, S.A. manufactures Edy's, which is the most lucrative of Sterling's distribution products and its flagship brand, while Nestlé PR, Nestlé, S.A.'s subsidiary, is Sterling's largest competitor at the distribution level. C. The Post-Merger Market The merger of Nestlé PR and Payco appears to have had significant costs to the defendant merged companies. Immediately after the 2003 merger, the merged Nestlé PR (including Payco) had an 85 percent market share in the ice cream distribution market; that share fell to 70 percent by 2007. The merged entities have also lost a number of their major exclusive arrangement retail customers to Sterling. Shortly after the 2003 merger, for example, Sterling acquired exclusive rights to distribute ice cream products to Puerto Rico retail customers Grande and Pitusa, both of which were Payco customers prior to the merger. In 2007, Supermercados Econo, Inc., the largest retail seller of ice cream in Puerto Rico and formerly a retail customer of Payco, also signed exclusivity agreements with Sterling and others. Supermercados Econo's agreements have resulted in the merged Nestlé PR losing its sales with Econo stores. Further, the merger itself caused at least one of Payco's product lines, Wells' Dairy Inc.'s Blue Bunny brand, to terminate its distribution agreement with the merged Nestlé PR/Payco on the grounds that the merger constituted a material breach of the Blue Bunny distribution agreement and would, in Wells' Dairy Inc.'s view, negatively affect the distribution of Blue Bunny products. As the district court found, "some products distributed by Nestlé PR/Payco lost market share and access to important locations," and during the first six months of joint Nestlé PR/Payco operations the merged company lost $5 million in revenue to Sterling and other competitors. Id. at 260. That trend has continued beyond the initial six-month period following the merger. By contrast, Sterling's market share and sales, which were stagnant before the Nestlé PR/Payco merger, have significantly improved since the merger. Before the merger, Sterling's net sales had declined from $8.07 million in 2001 to $7.59 million in 2002, and to $7.01 million in 2003. After the merger of its competitors, Sterling's sales rose year over year from 2003 through 2008, at an average of 11 percent a year. Sterling's profits and operating revenue rose commensurately with sales. Both before and after the merger, Sterling acquired distribution rights to other retailers and rights to distribute other brands, including Good Humor, J & J Snacks, Rich's Ice Cream, and Turkey Hill. Puerto Rico is not a market where only a small number of brands are sold. Rather, as Sterling's acquisitions of distribution rights to new brands demonstrate, there are a number of manufacturers of ice cream available to distributors in Puerto Rico. And during this period, on Sterling's own evidence, the overall sales of ice cream products in dollar terms increased in Puerto Rico. Sterling put only limited evidence into the record of its market share, but its expert did acknowledge that "[i]t's grown over the 2003 to the present" time period. The record evidence shows that Sterling's share of the market has risen from 14.7 percent in 2003 to more than 22 percent in 2008. This data also shows a steady increase in Sterling's market share during the entire period of alleged monopolistic behavior by defendants. Sterling's strong financial performance has led it to increase the size of its facilities and upgrade. Since the 2003 Nestlé PR/Payco merger, it has constructed a new warehouse with twice the square footage of its previous warehouse. Due both to the increased size of the facility and to technology upgrades, the new warehouse could increase Sterling's distribution capacity by as much as eight times over the previous warehouse. Sterling has maintained its exclusive distribution agreement with Edy's after both Nestlé PR's merger with Payco, and Nestlé, S.A.'s acquisition of Dreyer's, Edy's manufacturer. In 2004, Dreyer's (already having been acquired by Nestlé, S.A.) reduced Sterling's per-unit discount from $0.75 to $0.60, citing increased costs of raw materials. Also in 2004, Dreyer's took the line of "Skinny Cow" products from Sterling, but not the Edy's brand, and now distributes the Skinny Cow line through Nestlé PR. Faced with the obvious problem that its growing success after the merger makes it difficult to show injury to itself, Sterling alleged that in a but-for-2003-merger world, it would have thrived even more than it did. Sterling presented a two-part injury and damages theory to explain how it would have been even better off absent Nestlé PR's allegedly anticompetitive behavior. First, it alleged that Nestlé PR's post-merger exclusivity agreements with a large number of grocery stores, by foreclosing Sterling from those stores, cost it $21-29 million in sales it otherwise would have made. Second, Sterling argued that absent this market foreclosure, it would have earned higher profits on those sales it actually made because its increased market share would have allowed it to be a more efficient operation. Sterling also alleged it lost sales when Dreyer's took the "Skinny Cow" product line away from Sterling and assigned it to Payco a year after the Nestlé PR/Payco merger, and lost profits on actual sales when Dreyer's reduced its per-unit discount on Edy's products. These allegations are not supported by Sterling's expert's damages model, which does not specifically discuss damages from these alleged violations. II. The district court granted summary judgment on all counts largely because it found Sterling, on the undisputed evidence, had not demonstrated any antitrust injury. As to injury to competition during the post-merger period, the district court concluded the Puerto Rico ice cream distribution market had in fact expanded. Id. The court found no evidence that the Nestlé PR/Payco merger or the merged companies' activities had resulted in restricted output. Nor did the court find any evidence that prices to consumers had in fact been raised in this period, much less that the raise could be tied to illegal anticompetitive behavior. Id. The court noted that no price study had been done by Sterling's experts, and that what little information there was available regarding pricing showed that consumer prices on some products had in fact decreased during the relevant period. Id. The district court found that Sterling's claims of any injury to itself "either by [Nestlé PR's] exclusives or by product price increases" were severely undermined by its "increased profits, sales, and market share" in the post-merger period. Id. at 259. The court concluded that in light of these facts, Sterling could not show that any antitrust injury resulted from Nestlé PR/Payco's behavior. The district court also rejected Sterling's damages model. Id. at 262. That model attempted to extrapolate from Sterling's 42-50 percent market share in two small slivers of the market to the conclusion that Sterling would have had a 42-50 percent market share throughout Puerto Rico absent Nestlé PR's purportedly anticompetitive actions. The court held that the model failed to meet Sterling's burden of proving damages for two reasons. First, the model adopted sub-markets with no exclusive agreements whatsoever as the benchmark for comparison, but this was an inaccurate point of comparison as exclusivity agreements are not per se illegal and have long been a lawful part of the ice cream distribution market in Puerto Rico. Id. at 260-62. Second, Sterling's market share was not anywhere near 42-50 percent before the merger, "and it is unrealistic to posit that the company's sales and market presence would have grown four-fold had the Nestlé PR/Payco merger never occurred." Id. at 262. The court further concluded that even had Sterling shown any injury to itself, it had not shown any antitrust injury, that is, that it was injured by anticompetitive activity and that its injury was "sufficiently direct, nonspeculative, and measurable to the extent that causality is not in doubt." Id. at 258. The court found that Sterling failed to demonstrate that any of the allegedly anticompetitive activity charged by Sterling— purportedly illegal use of exclusivity agreements to excessively foreclose the market, a price squeeze from reducing Dreyer's per-unit discount to Sterling, and allegedly illegal foreclosure from distribution contracts for new Dreyer's products—had been proven to injure Sterling. As to exclusivity contracts, the district court found that they had been used in Puerto Rico since the 1990s, that Nestlé PR's reliance on them had actually decreased in the years after the 2003 merger, [1] and that the agreements themselves did not have any anticompetitive hallmarks such as long duration, below-cost pricing, or excessive foreclosure of the market. Id. at 260-61, 264-66. The court noted that in the postmerger period, Sterling had acquired new distribution rights to new retail markets to which, before the merger, either Nestlé PR or Payco had exclusive access. The court also observed that the entry of additional distributors to the market since the 2003 merger indicated that Nestlé PR's exclusivity contracts have not served to impair the competitive structure of the market. Id. at 264. As to Sterling's claims of a price squeeze after Nestlé PR acquired Dreyer's, the manufacturer of Edy's, the district court found that while Sterling's concerns were "legitimate from a business point of view, they do not involve any overt anticompetitive act" because the per-unit cost to Sterling had not "significantly increased." Id. at 261. It further reasoned that sales volume had increased and consumer prices stayed "stable," "strongly suggesting that the competitive structure of the market has not been harmed, thus precluding antitrust injury." Id. As to the allegations that new Nestlé PR/Payco products had been denied to Sterling, the district court found Sterling could not show any "tangible damages" because it had expanded its sales and increased its market share following the merger despite the fact that it "was not in rapid expansion before the merger." Id. The court further reasoned that, in any event, Nestlé PR had no legal duty to offer its brands, such as the "Skinny Cow" line, to Sterling. Id. at 270. It also observed that Sterling had not been terminated as a distributor of Edy's brand ice cream even after Nestlé PR acquired Dreyer's and became Edy's manufacturer. Id. at 271-72. Nor had Nestlé PR taken "any steps to make distributing Edy's unprofitable for Sterling." Id. at 272. Finally, the court also rejected Sterling's monopolization and attempted monopolization claims under § 2 of the Sherman Act on the merits because Sterling had failed to show, as it must, either that Nestlé PR wielded monopoly power, or that there was a "dangerous probability" that Nestlé PR would acquire such power. Id. at III. Our review of the grant of summary judgment is de novo, taking all facts and reasonable inferences in the light most favorable to Sterling, the nonmoving party. See White v. R.M. Packer Co., 635 F.3d 571, 575 (1st Cir. 2011). Sterling argues that its evidence sufficed to show that Nestlé PR has put a "stranglehold" on the Puerto Rico ice cream distribution market by: (1) acquiring its former competitor, Payco; (2) entering into "strategically deployed exclusivity contracts" that lock up lucrative and geographically efficient grocery stores albeit without foreclosing more than 30 percent of the market; and (3) acquiring Dreyer's, the manufacturer of Sterling's star product line, and causing Dreyer's to reduce from 75 cents to 60 cents the discount it once gave Sterling on its wholesale price. Sterling argues these practices have "harmed interbrand competition" and also "injured Sterling by foreclosing it from sales it would have made in the absence of exclusive dealing contracts and increasing Sterling's input and operational costs" by reducing the wholesale discount it once received and "forcing route structure inefficiencies." Sterling insists it has demonstrated antitrust injury because it would have done even better for itself than it has were it not for the merger, the removal of a portion of Dreyer's wholesale discounts on Edy's products, and Nestlé PR's post-merger exclusivity arrangements. Sterling argues that in such a but-for world, purchasers would have been offered more choices in more locations at more competitive prices, and Sterling would have gained more market share. Sterling also argues that it would have been able to use more efficient delivery routes, thereby lowering its per-unit costs. [2] Sterling attributes its actual increased sales to the fact that Wells' Dairy Inc.'s Blue Bunny product and distribution line was "driven out" of the market after the Nestlé PR/Payco merger, which has benefitted Sterling in the short term. [3] Nestlé PR responds that Sterling has failed to show either that it had suffered any injury or that Nestlé PR's allegedly anticompetitive actions had caused such injury. Nestlé PR cites the lack of evidence of injury to competition or consumers, Sterling's post-2003 financial performance, the evidence of Sterling's entry into outlets previously controlled by Payco, the merged Nestlé PR's declining use of exclusivity agreements, and the unrealistic and speculative economic forecast Sterling used as its but-for scenario. Nestlé PR also argues that whatever Sterling might show about the effect of Nestlé PR's actions on Sterling, the case law requires Sterling to show that its loss comes from acts that reduce output and/or raise prices to consumers. Sullivan v. Nat'l Football League, 34 F.3d 1091, 1096-97 (1st Cir. 1994). Nestlé PR points out that while Sterling claims in its amended complaint that consumers saw "increased retail prices and constricted retail options," it never actually produced evidence to support either reduced output or increased prices to consumers. Sterling's expert, Dr. Overstreet, acknowledged in testimony that he had done no analysis of consumer pricing, or of any potential causes of any increased prices, preventing Sterling from proving that any increased price either existed or resulted from anticompetitive conduct by Nestlé PR. Nor did Sterling produce any evidence of reduced output. In fact, Nestlé argues, there was evidence to the contrary of increased output and reduced prices. The Supreme Court has articulated a six-factor test that governs whether a plaintiff has standing to bring an antitrust action. The relevant factors are: (1) the causal connection between the alleged antitrust violation and harm to the plaintiff; (2) an improper motive; (3) the nature of the plaintiff's alleged injury and whether the injury was of a type that Congress sought to redress with the antitrust laws ("antitrust injury"); (4) the directness with which the alleged market restraint caused the asserted injury; (5) the speculative nature of the damages; and (6) the risk of duplicative recovery or complex apportionment of damages. RSA Media, Inc. v. AK Media Grp., Inc., 260 F.3d 10, 14 (1st Cir. 2001) (quoting Serpa Corp. v. McWane, Inc., 199 F.3d 6, 10 (1st Cir. 1999)); see also Associated Gen. Contractors of Cal., Inc. v. Cal. State Council of Carpenters, 459 U.S. 519, 53745 (1983). "Although we technically balance the six factors to determine if standing is appropriate, this Court has emphasized the causation requirement." RSA Media, 260 F.3d at 14 (citation omitted). Additionally, "the absence of `antitrust injury' will generally defeat standing." Id. Sterling has not satisfied these tests and particularly has not shown antitrust injury. The plaintiff bears the burden of proving antitrust injury. Brunswick Corp. v. Pueblo Bowl-O-Mat, Inc., 429 U.S. 477, 489 (1977). Antitrust injury is "injury of the type the antitrust laws were intended to prevent and that flows from that which makes defendants' acts unlawful." Id. The injury should be "the type of loss that the claimed violations . . . would be likely to cause," id. (alteration in original) (quoting Zenith Radio Corp. v. Hazeltine Research, Inc., 395 U.S. 100, 125 (1969)), and should therefore "reflect the anticompetitive effect either of the violation or of anticompetitive acts made possible by the violation," id. Plaintiffs must show not only that they were injured as a result of the defendant's actions and that those actions constituted an antitrust violation, but also that their injury is the type of injury the antitrust violation would cause to competition. A competitor may suffer injury even when there is no injury to competition or to consumers, and so lack standing. Even if a competitor is hurt because the merger of its rivals makes them more efficient or able to compete more aggressively, that harm is not an antitrust violation, and the competitor lacks standing. See 2 Areeda & Hovenkamp, Antitrust Law, ¶ 348a, at 387 (2d. ed. 2000). Further, unlike consumers, competitors have incentives to bring antitrust suits for purposes which are anticompetitive, for example to induce the defendant competitor to moderate their competition. Id. As a result, there is reason for courts to be "properly skeptical of many rivals' suits, particularly when the practices are not obviously `exclusionary.'" Id. Injury to competition is "usually measured by a reduction in output and an increase in prices in the relevant market." Sullivan, 34 F.3d at 1097 (emphasis in original); see also Stamatakis Indus., Inc. v. King, 965 F.2d 469, 471 (7th Cir. 1992) ("The [Supreme Court's] antitrust injury doctrine . . . `requires every plaintiff to show that its loss comes from acts that reduce output or raise prices to consumers.'" (quoting Chi. Prof'l Sports Ltd. P'ship v. Nat'l Basketball Ass'n, 961 F.2d 667, 670 (7th Cir. 1992))). The overriding theme of Sterling's case is that, as a result of its merger with Payco, Nestlé PR has monopoly power in the Puerto Rico ice cream distribution market, and has exercised that power. What the undisputed facts demonstrate is that, together, Payco and Nestlé PR had an 85 percent share of the distribution market at the time of their 2003 merger, but that the market share of the merged entity has since fallen to 70 percent. This was not surprising; Nestlé PR's ice cream distribution division had been suffering heavy losses, and hoped the merger would give it viable ice cream distribution business. Still, a 70 percent market share is considerable. Nonetheless, we conclude, as did the district court, that Sterling has not shown the market has suffered a reduction in output or an increase in consumer prices. It has not shown an impairment of competition or antitrust injury from the sum of its theories. Sterling failed to provide evidence that consumer prices increased during the relevant period. Its main economic expert, Dr. Overstreet, asserted, without evidentiary support, that Nestlé PR's acquisition of Payco allowed it to "maintain prices above . . . levels that likely would be found in a more competitive market." Dr. Overstreet testified, however, that he did not undertake an analysis of consumer ice cream prices in Puerto Rico, and he stated that there is "probably some dearth of consistent and reliable information about it." Sterling's attempt to show increased prices to consumers was unsupported by basic evidence such as price studies for the Puerto Rico ice cream market, and is unavailing. [4] In fact, the evidence suggests that, if anything, consumer prices decreased during the relevant period. Evidence suggests that both Sterling and Blue Bunny adopted a strategy of reducing prices in order to entice retailers to break away from [Nestlé PR's] exclusive contracts. While there was no evidence offered of what happened to retail prices islandwide, there is reason to believe consumers benefitted from these price wars. And independent evidence at least shows that, in some supermarkets, the retail cost of Edy's was lowered. Further, the evidence is that, while inflation in Puerto Rico averaged 11.9 percent annually between 2003 and 2007, the consumer prices for both Blue Bunny and Edy's ice cream were lower in 2007 than they were in 2001. The evidence regarding output is similar. Sterling did not set forth any evidence from which an inference can be drawn that there was a reduction in output within the relevant market during the relevant period, let alone a reduction attributable to Nestlé PR's alleged violations, or that Sterling consumers were "forced to choose between less preferred brands or visit[] another store" as a result of anti-competitive actions. The lack of evidence of antitrust injury in the form of either increased consumer prices or reduced output is consistent with the lack of evidence that Sterling itself has been negatively affected by Nestlé PR's purported violations. It is axiomatic that antitrust laws are concerned with protecting against impairments to a market's competitiveness and not impairments to any one market actor. See Brooke Grp. Ltd. v. Brown & Williamson Tobacco Corp., 509 U.S. 209, 224 (1993). It is also true that "an antitrust plaintiff's post-violation successes do not necessarily preclude compensation for damages proximately caused by an antitrust violation." Pierce v. Ramsey Winch Co., 753 F.2d 416, 436 (5th Cir. 1985). Nonetheless, that Sterling's sales, profits, and market share have increased during the relevant period provides further indication that no antitrust injury exists here. [5] Sterling tries to sidestep these deficiencies by arguing that the types of harm it alleges suffice as alternatives to the classic evidence of antitrust injuries. However, the cases Sterling cites as recognizing alternate types of antitrust injuries actually discuss behavior that would obviously result in higher prices and lower output. See JTC Petroleum Co. v. Piasa Motor Fuels, Inc., 190 F.3d 775, 778-79 (7th Cir. 1999) (total denial of an essential input, in service of a cartel that would raise prices and reduce output); Engine Specialties, Inc. v. Bombardier Ltd., 605 F.2d 1, 12-15 (1st Cir. 1979) (termination of an exclusive distributorship by competitors who had conspired to divide a retail market between them, which is per se illegal behavior designed to raise prices and reduce output). This case is nothing like the cases cited. Even had Sterling made an adequate showing of harms to competition through increased consumer prices or reduced output, Sterling would have to show those market impairments were the result of antitrust violations in order to demonstrate antitrust injury. But Sterling has failed to show that any of Nestlé PR's conduct violates antitrust provisions. We first reject Sterling's argument that Nestlé PR's exclusive dealing agreements have impaired competition in the market or caused any injury to Sterling. Because vertical exclusive dealing agreements "can achieve legitimate economic benefits (reduced cost, stable long-term supply, predictable prices), no presumption against such agreements exists today." Stop & Shop Supermarket Co. v. Blue Cross & Blue Shield of R.I., 373 F.3d 57, 65 (1st Cir. 2004). Given their capacity to enable markets to operate more efficiently and benefit consumers, such agreements are not subject to per se treatment, but are instead subject to rule of reason analysis. Tampa Elec. Co. v. Nashville Coal Co., 365 U.S. 320, 327 (1961); Stop & Shop Supermarket, 373 F.3d at 62; 11 Areeda & Hovenkamp, Antitrust Law, ¶¶ 1802-07 (2d. ed. 2005). "Indeed, courts tend to be skeptical of such claims because it is not in the long-term interest of the company that grants the `exclusive deal' to drive out of business competitors of the grantee." Stop & Shop Supermarket, 373 F.3d at 66. The rule of reason calculus requires that Sterling make a burdensome showing that (1) the agreements in question involved the exercise of power in a particular economic market, (2) that this exercise impaired the competitiveness of the market, and (3) that those impairments "outweighed efficiencies or other economic benefits." Id. at 61. Sterling's argument fails under this test for a number of reasons. As a practical matter, in applying the rule of reason calculus to exclusive dealing arrangements, "foreclosure levels are unlikely to be of concern where they are less than 30 or 40 percent," and while high numbers do not guarantee success for an antitrust claim, "low numbers make dismissal easy." Id. at 68. It is undisputed that Nestlé PR/Payco's rates of market foreclosure through exclusivity arrangements with Puerto Rico retailers rose to a high of 30.8 percent for a single year, 2005, and have otherwise remained below 30 percent. Significantly, the Nestlé PR/Payco agreements are almost all of one or two year duration, and there is turnover. "Short contract terms and low switching costs generally allay most fears of injury to competition." 11 Areeda & Hovenkamp, Antitrust Law, ¶ 1802, at 94. Sterling points to Nestlé PR's five-year, 90 percent exclusive contract with Ralph's as support for its claim. But that agreement is not entirely exclusive; it allows other distributors at least limited access. In any event, its duration is aberrational, and is on its own insufficient to sustain Sterling's claim. "It is not easy to think of a rule of reason analysis that does not depend on showing adverse effects on competition in a properly defined relevant market." Stop & Shop Supermarket, 373 F.3d at 69. Sterling has not shown that Nestlé PR's exclusive agreements have yielded adverse effects on competition. Sterling and Nestlé PR and other distributors compete to obtain such exclusivity agreements with retail vendors; such agreements have been present in the Puerto Rico market since at least the 1990s. Sterling was able to win over several of Nestlé PR's largest customers, including the large chains Grande and Pitusa, and in 2007, the largest retail seller of ice cream, Supermercados Econo, Inc., switched distributors and defendants lost all of their sales in those stores. It is also significant that there are other avenues of distribution available, and new competitors entering the market. And, as noted, Sterling's own market share has increased during the relevant market period. There is no evidence that the challenged exclusivity agreements impair competition, nor that any such impairment outweighs gained market efficiencies. See E. Food Servs., Inc. v. Pontifical Catholic Univ. Servs. Ass'n, 357 F.3d 1, 9 (1st Cir. 2004) (rejecting distributor's antitrust claim regarding competitor's exclusive agreements because distributor failed to show "that so many potential outlets are foreclosed to it or other competitors by long-term exclusive dealing contracts or other tactics that survival or new entry is infeasible"). As to Dreyer's price support for Edy's, Sterling provides no authority supporting its argument that Dreyer's was required to maintain Sterling's $0.75 per-unit discount in perpetuity simply because Dreyer's had been purchased by Nestlé, S.A. There is no basis to conclude that Dreyer's would have continued the discount in perpetuity, whether or not it was acquired by Nestlé. Sterling attempts to analogize its case to JTC Petroleum to impose a stricter duty on Dreyer's now that it is a Nestlé subsidiary. But in that case the defendant successfully prevented the plaintiff's suppliers from selling it any of the needed input. See JTC Petroleum, 190 F.3d at 778-79. The $0.15 reduction in Sterling's discount is hardly analogous. Dreyer's stated legitimate business reasons not to continue this temporary arrangement. And as the district court pointed out, the net present price of Edy's to Sterling is 10 percent less than it was in 2000, despite an annual inflation rate that averaged 11.9 percent between 2003 and 2007. Further, we have previously noted that "once a firm [like Nestlé PR] has integrated vertically into distribution by acquiring one or more existing distributors [like Payco], it may reduce costs by dealing only with its wholly-owned distributors. A distributor terminated for this reason might certainly suffer injury-in-fact, but it would not suffer antitrust injury as long as there were alternative sources of the product." [6] Serpa Corp., 199 F.3d at 11. (quoting 2 Areeda & Hovenkamp, Antitrust Law ¶ 381c, at 114 (Supp. 1999)) (internal quotation marks omitted). Given that, it is difficult to conceive how it could be illegal for Dreyer's to reduce a negotiated $0.75 per-unit discount to $0.60. This rationale disposes of Sterling's next argument as well: there is no antitrust violation lurking in Nestlé, S.A.'s reassignment of certain Dreyer's product lines from Sterling to Nestlé PR. Our conclusion that Sterling has failed to show it has suffered the requisite injury to maintain this suit also encompasses its monopolization and attempted monopolization claims under § 2 of the Sherman Act. To prevail on its monopolization claim, Sterling must show that Nestlé PR (1) has monopoly power in the Puerto Rico ice cream distribution market, and (2) "has engaged in impermissible `exclusionary' practices with the design or effect of protecting or enhancing its monopoly position." Coastal Fuels of P.R., Inc. v. Caribbean Petroleum Corp., 79 F.3d 182, 195 (1st Cir. 1996) (quoting Hovenkamp, Federal Antitrust § 6.4a (1994)) (internal quotation marks omitted). Whether a defendant has monopoly power depends on the defendant's "ability to lessen or destroy competition" in the relevant market. Id. at 196 (quoting Spectrum Sports, Inc. v. McQuillan, 506 U.S. 447, 456 (1993)). Despite Nestlé PR's significant market share, Sterling has failed to demonstrate Nestlé PR has such an ability, or that it has engaged in impermissible practices causing the required injury. If anything, the undisputed facts—that Nestlé PR's own market share is decreasing, that Sterling's market share is steadily on the rise, and that consumer prices have not increased—evidence the opposite conclusion. Sterling nonetheless argues there are high barriers to entry which enhance Nestlé PR's ability to engage in market foreclosure. Although distribution businesses do not commonly involve high barriers to entry, Sterling says many exist here, including: the cost of establishing a Direct Store Delivery system; the substantial capital required to purchase trucks and freezers, particularly because ice cream products must be kept at minus 20 degrees Fahrenheit; and the difficulty of establishing route density. Sterling acknowledges that there have been new entries to distribution of ice cream in Puerto Rico, but says the new businesses, such as Palm Industries, Inc., are not successful. However, there is other evidence of successful new entries. As the district court noted, Gianni New York, LLC, has entered the market since Nestlé PR's 2003 merger with Payco, distributing to Supermercados Amigo, Inc., one of the largest supermarket chains in Puerto Rico, as well as to two other large chains, Wal-Mart and Supermercados SuperMax. Also, retailers can import ice cream products directly from the United States, bypassing distributors. Both the United States military bases in Puerto Rico and Supermercados Econo, Inc. have adopted that practice. And some suppliers of ice cream in Puerto Rico have their own distribution operation, helping to ensure consumer access and choice. Regarding the attempted monopolization claim, Sterling "must prove (1) that the defendant has engaged in predatory or anticompetitive conduct with (2) a specific intent to monopolize and (3) a dangerous probability of achieving monopoly power." Spectrum Sports, 506 U.S. at 456. Sterling alleges that Nestlé PR's market share, coupled with its corporate parent's control of Edy's brand ice cream, Sterling's largest product line, create a dangerous probability that it will achieve monopoly power. But where a plaintiff remains profitable and in fact has expanded its market share since the allegedly anticompetitive conduct has begun, it faces an uphill battle in proving such a dangerous probability exists. See Springfield Terminal Ry. Co. v. Canadian Pac. Ltd., 133 F.3d 103, 110 (1st Cir. 1997) (rejecting attempt to monopolize claim on basis of plaintiff's strong financial performance). Under our circuit law, attempted monopolization claims are "presumptively implausible" where, as is the case here, "the challenged conduct has been in place for at least two years and the remaining market remains robustly competitive as evidenced by ongoing entry, profitability of rivals, and stability of their aggregate market share." Id. (quoting Areeda & Hovenkamp, 3A Antitrust Law ¶ 807f, at 36061). That rule applies here. More than six years have passed since the Nestlé PR/Payco merger, and Sterling has been unable to establish any injury to itself or the competitiveness of the market. [7] We add that there was no abuse of discretion in the district court's striking of untimely sections of Sterling's expert's report. See Macaulay v. Anas, 321 F.3d 45, 51-53 (1st Cir. 2003) (finding no abuse of discretion where district court excluded "supplemental" expert report after close of lengthy discovery period). IV. Summary judgment was properly granted. We affirm. [1] Rates of market foreclosure by Payco exclusive accounts rose from 28.2 percent in 2004 to 30.8 percent in 2005, but declined to 29.4 percent in 2006 and 19.5 percent in 2007; the agreements were mostly for one to two years. Sterling argued that foreclosure rates were higher than these figures in certain sub-regions of Puerto Rico. The district court rejected this attempt at "gerrymandering of markets . . . to artificially show high levels of foreclosure" given that Sterling had identified the relevant market as the entirety of Puerto Rico in its complaint. Sterling Merch., Inc. v. Nestlé, S.A., 724 F. Supp. 2d 245, 265 (D.P.R. 2010). does not develop the argument or cite to evidence to support this allusion to predatory pricing, and did not adequately raise this argument to the district court. [3] Sterling also attributes its financial performance to the fact that the pendency of both this litigation and an investigation of Nestlé by the Department of Justice has caused Nestlé PR and its subsidiaries to "restrain themselves from unleashing the full brunt of their power to completely destroy competition." At oral argument, Sterling raised for the first time the argument that the real danger of Nestlé PR's conduct is the injury that might come to pass in the future, whether or not it has suffered injury now, such as to entitle it to injunctive relief. No such argument was raised in the appellate briefs or in the district court. We decline to address this new argument that Sterling need not show antitrust injury to obtain injunctive relief. This argument has been doubly waived. See Cortés-Rivera v. Dep't of Corr. & Rehab., 626 F.3d 21, 27 (1st Cir. 2010). [4] At oral argument, Sterling pointed for the first time to evidence that purportedly shows consumer ice cream prices in Puerto Rico increased during the relevant period. Sterling had not cited these documents in its appellate brief. In any event, they do not show consumer prices increased. Sterling points to deposition testimony of its president, which indicates that Sterling had, at one time in 2006, increased prices by 15 percent to some of its retailers. But Sterling's president explicitly stated that the increase was limited, and that he "held pricing back at key retailers through `roll backs.'" In any case, there is no evidence that the limited number of price increases to retailers were ever passed on to consumers. Sterling also points to a July 24, 2003 email from a Payco officer that opaquely refers to aligning Nestlé PR prices with Payco prices following the 2003 merger, but this evidence does not show such a price increase actually occurred, and again speaks only to prices to retailers, not consumers. The only evidence Sterling cites that actually relates to consumer prices is a chart detailing pricing of various ice cream brands at Econo supermarkets from June 2003 until August 2006. But that chart shows consumer prices remained relatively constant during the three year period. [5] Despite its increased sales, profits, and market share, Sterling argues it suffered damages because it would have earned far more were it not for Nestlé PR's exclusive agreements. It points to its 42 percent and 50 percent market share in retail stores that have no exclusive agreements as plausible benchmarks for what its market-wide performance would be in the absence of exclusive agreements. But this damages model assumes that the proper "but-for" market is one without any exclusive agreements. That assumption is erroneous, as these agreements are often efficient and pro-competitive, have been in use in Puerto Rico since before the merger, and, as discussed below, are not illegal in this case. In a market devoid of any exclusivity agreements, Sterling may perform better, but Sterling is not entitled to such a market. [6] Alternative sources exist here. The parent company of Nestlé PR is Nestlé, S.A. The major competitor of Nestlé, S.A. on the manufacturing level is Unilever, which has used Sterling as a distributor in Puerto Rico during some of the time period at issue. We note that the Puerto Rico Office of Monopolistic Affairs (PROMA) approved the 2003 Nestlé PR/Payco merger upon Nestlé PR's agreement to seek PROMA's approval before transferring the distribution rights to Edy's ice cream (but not any other Dreyer's brand) from Sterling to another competitor unless Sterling had, in the interim, acquired distribution rights to either Breyer's or Blue Bunny ice cream. [7] Given our conclusions, we need not consider the statements of Nestlé PR's officers that Sterling argues evidences Nestlé PR's specific intent to monopolize. About Google Scholar - About Google - My Citations ©2011 Google
Edited by: Yong Teng, Augusta University, United States Reviewed by: David Jon Gordon, The University of Iowa, United States Alan Craft, University of Newcastle, Australia Correspondence: Giada Del Baldo firstname.lastname@example.org Specialty section: This article was submitted to Cancer Metabolism, a section of the journal Frontiers in Oncology Received: 07 January 2020 Accepted: 30 March 2020 Published: 28 April 2020 Citation: Di Ruscio V, Del Baldo G, De Pasquale MD, De Vito R, Miele E, Colafati GS, Deodati A, De Ioris MA, Tornesello A, Milano GM and Mastronuzzi A (2020) Ectopic ACTH Secretion in a Child With Metastatic Ewing's Sarcoma: A Case Report. Front. Oncol. 10:574. doi: 10.3389/fonc.2020.00574 Ectopic ACTH Secretion in a Child With Metastatic Ewing's Sarcoma: A Case Report Valentina Di Ruscio 1,2 , Giada Del Baldo 1 , Maria Debora De Pasquale 1 , Rita De Vito 3 , Evelina Miele 1 , Giovanna Stefania Colafati 1 , Annalisa Deodati 1 , Maria Antonietta De Ioris 4 , Assunta Tornesello 5 , Giuseppe Maria Milano 1 and Angela Mastronuzzi 1 1 Department of Paediatric Haematology/Oncology, IRCCS Bambino Gesù Children's Hospital, Rome, Italy, 2 Department of Paediatric, Sapienza University of Rome, Rome, Italy, 3 Department of Pathology, Bambino Gesù Children Hospital (IRCCS), Rome, Italy, 4 Department of Paediatrics, Bambino Gesù Children Hospital (IRCSS), Palidoro, Italy, 5 Oncology Hospital Vito Fazzi, Lecce, Italy Ectopic ACTH syndrome is rare in pediatric age. Sarcomas that cause Ectopic ACTH Syndrome (EAS) are even more uncommon. Currently, only three cases of EAS caused by Ewing' sarcoma have been reported. We detail a 10-year-old boy with Cushing's syndrome symptoms caused by ectopic ACTH production by a metastatic Ewing's sarcoma of the right ischio-pubic and ileo-pubic branches. The rapid appearance of cushingoid symptoms, with signiﬁcant weight gain, acne, hirsutism, and hypercortisolism were implications of ectopic ACTH production as paraneoplastic Cushing's Syndrome. The very high levels of ACTH and non-suppression at the high dose dexamethasone test conﬁrmed the clinical suspicion. We underline the possibility EAS was caused by an ACTH-secreting tumor, including soft tissue sarcomas. Keywords: Ewing's sarcoma, paraneoplastic syndrome, Cushing Syndrome, ACTH, pediatric oncology INTRODUCTION Paraneoplastic Cushing's syndrome (CS) is an unusual cause of hypercortisolism due to ectopic ACTH secretion by non-pituitary mass (1). Ectopic ACTH-producing tumors rarely occur in children, with < 1% of all adolescents with CS (2). Many cases of ACTH-secreting ectopic neuroendocrine tumors are reported in literature (3, 4). In most patients, the tumors secrete corticotropin-like peptides and/or corticotropin releasing factor (CRF)-like peptide, which stimulate cortisol hyperproduction (4). In adults, the most common tumors causing ectopic ACTH Syndrome (EAS) are bronchial neuroendocrine tumors, carcinoid of thymus, pancreatic carcinoma and neural tumors (5). In pediatric age, the tumors that most frequently cause an EAS are neuroblastomas and neuroendocrine neoplasms, while in adolescents, are carcinoid tumors, both sporadic and in the context of multiple endocrine malignancies (6). Soft tissue sarcomas causing EAS are uncommon (7, 8). We report a case of a child with EAS due to metastatic Ewing's sarcoma. CASE REPORT A 10-year-old boy presented to our institution with a history of rapid weight gain (8 kilos in the past 4 months), recent onset widespread acne, hirsutism, depression, and muscle weakness. His height was −0.87 SDS, weight +0.54 SDS and body mass index (BMI) SDS was +1.21. During the 1 physical examination we observed facial plethora and fullness, lower limb edema, dorso-cervical fat pad ("buﬀalo hump"), hirsutism, obesity and hypertension (BP 135/80 mmHg, > 99 ◦ pct). Blood tests showed fasting hyperglycemia (180 mg/dl) and high levels of ACTH and plasma cortisol according to circadian rhythm (at 00.00 am: ACTH 34,1 pg/ml, range 0– 42, cortisol 63,84 mcg/ml, range 4–22, at 8.00 a.m.: ACTH: 62,7 pg/ml—cortisol: 84,96 mcg/dl). We performed a highdose suppression test with 8 mg of dexamethasone, without suppression of adrenal axis. A signiﬁcant glycosuria was revealed by a single urine spot. High levels of free urinary cortisol was detected in a 24-h urine collection ( > 510 mcg/24 h). Ultrasonography and abdominal magnetic resonance imaging (MRI) showed bilateral surrenalic hyperplasia with pseudonodular appearance of the upper portion of left adrenal gland. During the ﬁrst few days after admission, the patient developed several epileptic ﬁts with hypotony, paresthesia of the left upper arm and generalized hypertonia, that required antiepileptic therapy. Brain MRI showed a small lesion in the right occipital region, without signiﬁcant mass eﬀect, and another lesion in the right temporal region; the pituitary gland appeared normal (Figure 1). Within a few days, an intense lombar pain appeared. Due to the suspicion of a osteoporotic vertebral fracture, we decided to perform a total spine radiography which identiﬁed a lesion of the right ischio-pubic and ileo-pubic branches. A total body computerized tomography (CT) scan showed an inﬁltrative localization of the right ischio-pubic and ileo-pubic branches. A bone scintigraphy conﬁrmed multiple secondary bone localizations (vault and skull, skull-base, spine, several ribs, sternum, left scapula, pelvis, both femurs, and the right tibia) (Figure 2). A biopsy of the mass conﬁrmed Ewing's Sarcoma with EWS/FLI-1 gene fusion (9) diagnosis (Figure 3). The bone marrow biopsy showed a secondary localization of tumor. The patient was subsequently enrolled on the ongoing national protocol of the Associazione Italiana di Ematologia ed Oncologia Pediatrica (AIEOP) ISG EW2 for metastatic Ewing's sarcoma (10). After the ﬁrst course of chemotherapy, the ACTH and cortisol blood levels normalized (cortisol 4,65 microgr/ml, ACTH 37,3 pg/ml), and the clinical signs of hypercortisolism almost completely disappeared. In the subsequent 2 months, the neurological symptoms became worse, with daily epileptic seizures, severe hypotonia and left hemiparesis. The brain CT scan showed a progressive disease correlated by abnormal ACTH levels (50.9 pg/ml; Figure 3). We decided to switch to a second line therapy, with two courses of high-doses ifosfamide. Unfortunately, 4 months later, the patient died for progressive metastatic disease. DISCUSSION Cushing's syndrome is uncommon, especially in children, with an overall prevalence of 2–5 new cases per million people per year, 10% concerning pediatric age (2, 11). Symptoms of Cushing's disease in children may be diﬀerent from that observed in adults. Usually, patients show signiﬁcant signs of hyper-cortisolism and protein hyper-catabolism, such as obesity, hypertension, osteoporosis with fractures, hypertrichosis, infections, peripheral neuropathy and psychiatric disorders (12). Generally, the metabolic alterations are more evident, such as hypokalemia, hyperglycemia and metabolic alkalosis. CS is classiﬁed into ACTH-independent and ACTHdependent causes. The ACTH-indipendent CS is mainly related to iatrogenic causes, excessive administration of exogenous cortisol, or adrenal glands alterations (hyperplasia, adenoma, or carcinoma). ACTH-dependent CS may be caused by a pituitary adenoma secreting ACTH (a speciﬁc condition known as Cushing's disease) (13), that is the most common endogenous cause, but also by a surrenalic adenoma or carcinoma, or an ectopic ACTH production (EAS). The term EAS was proposed by Liddle in 1963; it was based mainly on observation of patients with small cell lung cancer (SCLC). Since then, scientiﬁc research describes paraneoplastic CS in association especially with bronchial neuroendocrine tumors, thymic neuroendocrine neoplasms, thymoma but also Wilms tumor (14, 15), clear cell renal sarcoma, pheochromocytoma (16), neuroblastoma (17, 18), oncocytic renal carcinoid (19), clear cell sarcoma and carcinoid tumor arising in the duodenum (20, 21). In ∼10–20% of cases, we are unable to discover the underlying primary tumor, and the cause of EAS remains unknown (22). Scientiﬁc writings express EAS as the main cause in a few percentage of pediatric CS (7), ∼10%, (23, 24) and it is even rarer among paraneoplastic syndromes (PS) (Table 1). In children with EAS, the most frequent tumors are bronchial or thymic, but also oncocytic renal carcinoid (17) and a carcinoid tumor arising in the duodenum, Wilms tumor (14, 15), adrenal neuroblastoma (18), clear cell sarcoma have been reported. PS usually develops in a restricted percentage of patients with tumors (5). There are various mechanisms underlying PS. Frequently, tumors induce auto-immunity or immune complex production; in a few cases, they may produce biologically active peptides such as growth factors, enzymes, unidentiﬁed humoral factors or, as in our patient, hormones such as ACTH (14). A diagnostic workup for the screening of Cushing' syndromes (paraneoplastic or not) consists of several steps. The Endocrine Society guidelines recommend after a proper clinical examination and routine laboratory tests, a 24 h free urinary cortisol dosing, a late night salivary cortisol test and a dexamethasone suppression test (DST) as the ﬁrst examinations (20). Since arriving at our institution, the patient showed several symptoms and signs of Cushing's syndrome, such as proximal muscle weakness, modest changes in fat distribution, with dorso-cervical fat pad, systolic hypertension, rapid weight gain and widespread hirsutism (7). The laboratory ﬁndings showed hypernatremia and hypokalemia, indicating mineralocorticoid eﬀects of extreme hypercortisolism. Blood cortisol was elevated, such as the free urinary level; the circadian rhythm was interrupted, suggesting the diagnosis of CS. The dexamethasone suppression test did not reduce the blood cortisol level and the 24-h urinary 17-hydroxycorticosteroid, conﬁrming the diagnosis of EAS (7). In fact, a high dose of dexamethasone usually exerts negative feedback on pituitary neoplastic ACTHproducing cells, but not on ectopic ACTH-producing cells or adrenal adenoma (12). As the second step, a CRH stimulation can be performed and it may be helpful in order to distinguish between a pituitary or ectopic cause, because CRH receptors are only expressed on the pituitary gland (25). The imaging evaluation should include not only a brain MRI to detect pituitary tumors and a PET/TC using 18F-FDG or 68 Ga-labeled somatostatins analogs (26), but also total body CT scans to allow a complete patient' staging. We decided to perform ﬁrst an ultrasonography and abdominal magnetic resonance imaging (MRI) on our patient, showing bilateral surrenalic hyperplasia with pseudonodular appearance of the upper portion of left adrenal gland. During the ﬁrst days of admission, a brain MRI was carried out, due to the sudden appearance of neurological symptoms, with several epileptic ﬁts, hypotony, paresthesia of the left upper arm and generalized hypertonia. The MRI showed two small lesions in right occipital and temporal region and the subsequent total body CT scan identiﬁed a mass inﬁltrating the right ischio-pubic and ileo-pubic branches. A ﬁne needle biopsy of the mass established the diagnosis of Ewing' sarcoma. These results supported the TABLE 1 \| Causes of EAS. These drugs include ketoconazole, mitotane, metyrapone, and aminoglutethimide (27). Despite several collateral eﬀects, such as nausea, hepatotoxicity, and hypogonadism, ketoconazole is usually the most tolerated (22); instead, metyrapone, which results in eucortisolemia in 50% of patients, may cause hirsutism. Mifepristone, which competes with the glucocorticoid receptor, has recently shown excellent results in both clinical and laboratory data (27). Mitotane, with its cytotoxic eﬀect on adrenocortical cells, can be used for as long term therapy and in double or triple combinations with other drugs (25). Antihypertensive agents and diuretics are other therapeutic options (27, 28). empirical hypothesis of a paraneoplastic Cushing' syndrome caused by EAS of Ewing's tumor cells. For what concerned therapy, in literature, aside from surgical and medical treatment of the underlying disease, there are many ﬁrst-line pharmacologic options for paraneoplastic CS. The large part of these drugs inhibits steroid production. Other treatments include somatostatin analogs (octreotide, lantreotide e pasireotide). They have an antiproliferative and an antisecretory eﬀect, but with a high risk of resistance on long term therapy. In case of severe hypercortisolemia, a surgical approach is suggested when medical treatments fail (22). Our patient did not received a pharmacological therapy for hypercortisolism and its symptoms, except of an antihypertensive agent for systolic hypertension. After the start of the 4 chemotherapy, we detected a signiﬁcant recovery of the circadian cortisol rhythm, a reduction of circulating ACTH levels and free cortisol in urine spot, and a rapid normalization of blood pressure values; thus strongly consolidated that the source of the EAS was the tumor. Respect to classic CS, in EAS, the duration of the symptoms is < 6 months (7). As in our patient, it is usually associated with a worse prognosis, due to the aggressiveness of the underlying disease. Nowadays, only three cases of EAS syndrome caused by an Ewing' sarcoma among pediatric patients are reported in literature. The ﬁrst case report described a 12-year-old girl with CS caused by Ewing's sarcoma of the tibia secreting CRHlike peptide. Symptoms and biochemical ﬁndings of Cushing's syndrome regressed after surgery (7). The second case reported was a 9-year-old girl with a history of rapid weight gain, acne and acanthosis of neck skin (8). Laboratory ﬁndings conﬁrmed the suspicion of CS. Abdominal ultrasound and abdomen MRI revealed a large retroperitoneal mass. The biopsy conﬁrmed the Ewing sarcoma diagnosis. The patient received combination chemotherapy with vincristine, adriamycine, cyclophosphamide and radiotherapy (8). After ten courses of chemotherapy in 6 months, abdominopelvic MRI revealed a reduction in the tumor and a surgical performed. Cushing's syndrome disappeared after 6 months of treatment (8). The third case reported a 9-year-old boy with a long history of an increasing mass on the left distal thigh, weight gain, acne and acanthosis nigricans (29). He showed the typical clinical signs of CS. Blood pressure levels was high. At laboratory tests, they evaluated electrolytes alterations, metabolic alkalosis and high levels of serum cortisol and ACTH. Low and high dose dexamethasone suppression tests failed (29). MRI of hypothalamus-pituitary region was normal. The biopsy of the thigh mass was consistent with Ewing Sarcoma. The patient received standard chemotherapy with Vincristine, Doxorubicin, and Cyclophosphamide (29). The ﬁnal outcomes of the ﬁrst two patients are unknown, whereas the third patient died of sepsis 5 days after start of chemotherapy. In our report, the fourth known case to date, we detailed the history of a 10-year-old boy with several signs and symptoms of Cushing's syndrome. A high dose of dexamethasone failed to suppress the high cortisol levels, thus suggesting an ectopic origin of hypercortisolism. We performed a brain MRI for the sudden appearance of neurological symptoms, which showed two small lesions in right occipital and temporal region. The total REFERENCES 1. Van Dorpe I. Abstracts presented at the 20th AnnualCongress of the Belgian society of internal medicine. Acta Clin Belgica. 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OXFORD INNOVATION: COVID-19 RISK ASSESSMENT (EDITION 7.2)(effective 1 September 2021) Health and Safety Representative: Rob Wyatt, Operations Director This Risk Assessment is designed to identify the risks appropriate to Oxford Innovation Limited (OI) and detail everything reasonably practicable to control those risks, recognising that we cannot completely eliminate the risk of COVID-19. HAZARD: COVID-19 Coronavirus RISK: Transmission & spread of COVID-19 Coronavirus CONSEQUENCE: Infection, illness and death RISK RATING: HIGH \| Likelihood \| \| \| \|---\|---\|---\| \| \| 1 \| 2 \| \| \| Minor injury; minor damage to property/equipment \| Over 7-day injury (RIDDOR); damage to property/equipment \| \| 1 Unlikely to occur \| LOW (1) \| LOW (2) \| \| 2 Likely to occur \| LOW (2) \| MEDIUM (4) \| \| 3 Extremely likely to occur \| MEDIUM (3) \| HIGH (6) \| Risk prior to control measures: Extremely likely to occur (3) x severity is death (3) = Risk score of 9 (HIGH RISK) Risk post-implementation of control measures: Unlikely to occur (1) x death (3) = Risk score of 3 (MEDIUM RISK) This Risk Assessment applies to: ALL Employees & Employers working within the Oxford Innovation's managed and leased Innovation Centres ("the workplace"). This includes but is not limited to: Clients, Customers, Visitors, Agency Workers, Contractors, Cleaners, Suppliers and Delivery Drivers. 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The control measures relevant to each Innovation Centre are detailed in centre-specific risk assessments, determined by this Risk Assessment and based on the government's "COVID-19 Secure" guidelines. OI's Risk Assessment has been approved by the Managing Director. On 19 July HMG confirmed that businesses no longer need to display a COVID-secure notice. The control measures set out in this Risk Assessment (RA) will be monitored remotely by the OI Operations Director and the Compliance, Quality and Health & Safety Manager, in conjunction with centre teams. Centre RA will be peer-reviewed through OI's Centre Management Team, where any feedback, including from customers and clients, will be considered. Any changes will be escalated to OI's Senior Management Team and where appropriate to the Management Board. The RA will be updated accordingly and clients and customers informed within a reasonable period of a change being agreed. \| Those likely to be at risk \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| \|---\|---\|---\|---\|---\| \| ALL \| Objective: To support a safe return to the workplace. \| OI’s aim is to keep all centres operational and accessible, whilst maintaining a safe environment for all staff and customers. Its position remains: to follow HMG guidance in achieving our aim and to work jointly with our clients in adapting it to comply with any local policy. All staff are encouraged to test regularly for COVID-19 in accordance with the OI guidance published on 8 April 2021, i.e. all staff wishing to be tested, either at home or at a test site, should be offered the flexibility to do so: regular asymptomatic testing to manage personal risk and protect others, particularly those who are not fully vaccinated; and regular rapid testing for those returning to or visiting different workplaces. \| OI Board \| Ongoing \| \| STAFF \| Objective: To support those who are at a higher risk of infection and/or an adverse outcome if infected. \| • A signed health declaration is required from all staff prior to returning to the workplace. Those who are clinically vulnerable will also be required to complete a personal risk assessment prior to returning to work • Support and advice will be provided on mental health and wellbeing from line managers and HR for all persons in these categories. This may include telephone support \| Head of HR Head of HR Head of HR \| 1 April 27 May Ongoing \| 2.2 People who need to self-isolate 3 \| Those likely to be at risk \| \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\|---\| \| STAFF \| \| Objective: To stop people physically coming to work, when government guidance advises them to stay at home \| • It remains a legal requirement for people to self-isolate if they test positive or are told to do so by NHS Test and Trace • We will ensure that all workers who must self-isolate are able to work from home if they feel well enough to do so, and provide the appropriate equipment to enable them to do so • A Travel Quarantine Restrictions Policy and a Self-Isolation Policy has been promulgated to all staff. Both are available in the OI QMS \| All Head of HR \| Ongoing July & 7 October \| \| \| \| 2.3 Equality in the workforce \| \| \| \| \| \| \| STAFF \| \| Objective: To make sure that nobody is discriminated against. \| • We will ensure that we understand and take into account the particular circumstances of those with protected characteristics • We will involve and communicate appropriately with workers whose protected characteristics might either expose them to a different degree of risk, or might make any measures we are considering implementing inappropriate or challenging for them • We will consider whether we need to put in place any particular measures or adjustments to take account of our duties under the equalities legislation • We will make reasonable adjustments to avoid disabled workers being put at a disadvantage and will assess the health and safety risks for new or expectant mothers • We will ensure that the steps we take do not have an unjustifiable negative impact on some groups compared to others, e.g. those with caring responsibilities or religious commitments \| Head of HR \| 1 June \| \| \| Those likely to be at risk \| \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| \| Complete \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| • We will ensure that our Risk Assessment is in line with our Equality, Diversity and Inclusion Policy & Procedure \| Ops Manager \| 29 May \| \| \| \| \| 2.4 Ventilation \| \| \| \| \| \| \| \| ALL \| \| Objective: To use ventilation to mitigate the risk of aerosol spread of COVID-19 in enclosed spaces. Ventilation into the building should be optimised to ensure the maximum fresh air supply is provided to all areas of the facility wherever possible. Ventilation systems should provide a good supply of fresh air. \| Heating Ventilation and Air Conditioning • Most air conditioning systems will not need adjustment, however, advice can be sought from the heating ventilation and air conditioning (HVAC) engineers or advisers • Ensure all HVAC units are serviced and maintained as detailed in the Compliance Toolkit • Where centralised systems are in place, check the functionality (with contractor/engineer) to see if air is distributed between rooms or contained within each room. Re-circulation of air between spaces, rooms or zones occupied by different people should be avoided • Any HVAC system that normally runs with a re-circulation mode should be re-set to run on full outside air where this is possible • In the case of any systems serving a single space, partial re-circulation of air within that space, such as through a local fan coil unit, is less of a concern as the primary objective is to maximise the air exchange rate with outside air and to minimize the risk of any pockets of stagnant air • Open windows and doors frequently to encourage ventilation where possible and ensure ventilation grilles are kept clean • Monitor and manage filters in accordance with the manufacturer’s instruction • Operate the ventilation system when there are people in the building \| CMs and ACMs \| Ongoing \| \| \| \| Those likely to be at risk \| \| Recommended government guideline \| \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| Customer Offices • Customers should be reminded to take all reasonable steps to monitor the health, conduct and safety of their own staff, customers, visitors and contractors • They must comply with the Health & Safety at Work Act 1974, which requires employees to take reasonable care for the health and safety “of yourself and other people at work” • Encourage a ‘return clean’ and daily cleaning of workspace and desk areas • Encourage a clear-desk policy \| All staff All \| Ongoing Ongoing \| \| \| \| 3.2 Meetings \| \| \| \| \| \| \| \| ALL \| \| Objective: To reduce transmission through enhanced hygiene in the workplace. \| \| • Use remote working tools to avoid in-person meetings or limit the numbers involved in in-person meetings • Provide hand sanitiser in all meeting and conference rooms and clean before and after use • Hold meetings outdoors or in well-ventilated rooms whenever possible • Avoid sharing pens, documents and other objects \| CMs & ACMs \| Ongoing \| \| \| \| 3.3 Common Areas \| \| \| \| \| \| \| \| ALL \| \| \| Objective: \| Cafes \| \| \| \| \| \| \| \| To ensure increased \| \| \| \| \| \| \| \| \| hygiene in the \| \| \| \| \| \| \| \| \| workplace. \| \| \| \| \| \| Those likely to be at risk \| \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| • HMG continues to encourage businesses to display QR codes for customers to check in using the NHS COVID-19 app, to support NHS Test and Trace Kitchens, Kitchenettes and Tea Points • Encourage “kitchen etiquette”: o don’t hog or linger o clean hands, utensils and equipment before and after use, as set out in the OI Cleaning Specification (5.1) o wipe down touch points before & after \| \| \| \| \| \| 3.4 Accidents, security and other incidents \| \| \| \| \| \| \| ALL \| \| Objective: To prioritise safety during incidents. \| • All COVID incidents should be recorded on Activ • People providing assistance to others should pay particular attention to sanitation measures immediately afterwards, including washing hands • Emergency evacuation plans are to be held in the e-reception iPad and sent to contractors and visitors once registered • Display updated Emergency Evacuation Plans in all meeting rooms and at key locations throughout common areas, and by call emergency call points The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013 (RIDDOR) In cases where: \| CM or ACMs \| As necessary \| \| \| Those likely to be at risk \| \| Recommended government guideline \| \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| • an unintended incident at work has led to someone’s possible or actual exposure to COVID-19 • a worker has been diagnosed as having COVID 19 and there is reasonable evidence that it was caused by exposure at work • a worker dies as a result of occupational exposure to COVID-19 the HSE must be informed of “a dangerous occurrence or a case of disease” to comply with RIDDOR (The Reporting of Injuries, Diseases and Dangerous Occurrences Regulations 2013). It remains a legal requirement for people to self-isolate if they test positive or are told to do so by NHS Test and Trace. Update the COVID-19 scenario paper, What happens if, and the COVID-19 Positive aide memoire, last published on 2 November 2020. (Both are available in the OI QMS) \| Deputy MD \| 26 July 2021 \| \| \| \| 4. Managing your customer, visitors & contractors \| \| \| \| \| \| \| \| \| 4.1 Manage contacts \| \| \| \| \| \| \| \| ALL \| \| \| Objective: \| • Revise visitor arrangements to ensure hygiene, e.g. where physical signing-in is the norm • The layout and configuration of reception areas must protect CEAs and staff on duty at all time • Leave plexiglass barriers in situ as a precautionary element of protection, ensuring they are cleaned and disinfected as often as is appropriate • Restrict access to the e-reception iPad - to CEAs or person on duty \| All \| Ongoing \| \| \| \| \| \| Minimise the \| \| \| \| \| \| \| \| \| number of \| \| \| \| \| \| \| \| \| unnecessary visits to \| \| \| \| \| \| \| \| \| the workplace and \| \| \| \| \| \| \| \| \| make sure people \| \| \| \| \| \| \| \| \| understand what \| \| \| \| \| \| \| \| \| they need to do to \| \| \| \| \| \| \| \| \| maintain safety. \| \| \| \| \| 9 9 \| Those likely to be at risk \| \| Recommended government guideline \| \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| o Entrances and exits o Meeting rooms o Immediately adjacent to WCs o Common areas o Common area doors that cannot be left open o Delivery areas o Reception and waiting areas o Communal printers Use signs / posters at these locations to maintain awareness of: o how to wash hands well o washing hands frequently o avoiding touching face o coughing or sneezing into a tissue which is binned safely, or into crook of arm if a tissue is not available If possible, provide paper towels as an alternative to hand dryers in handwashing facilities. Monitor waste collections and provide more facilities / more frequent rubbish collection if required. \| CM or ACMs \| \| \| \| \| 5.3 WCs, changing rooms & showers \| \| \| \| \| \| \| \| ALL \| \| \| Objective: \| • Provide hand sanitisers outside WCs • Clean according to the OI Cleaning Specification (5.1) \| ACMs \| Ongoing \| \| \| \| \| \| To minimise the risk \| \| \| \| \| \| \| \| \| of transmission in \| \| \| \| \| \| \| \| \| WCs, changing \| \| \| \| \| \| \| \| \| rooms and showers. \| \| \| \| \| \| Those likely to be at risk \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| Complete \| \|---\|---\|---\|---\|---\|---\| \| \| persons working in a shared laboratory. \| • All lab customers must submit a Risk Assessment (if 5 employees or more) or complete a Risk Assessment questionnaire (if 4 employees or fewer), as a pre-requisite of their business returning to or continuing to operate in an Innovation Centre • All Risk Assessments are to be approved by the appropriate Lab Technician • Restart and test specialist equipment, which may have been unused for a longer than usual period of time • Determine the required cleaning process for expensive equipment that cannot be washed down, designing protection around machines and equipment • Designate exclusive entry/exits points and provide handwashing facilities or hand sanitisers at an adjacent point \| Safety Committee \| and subject to Customer RA \| \| 9. Communications and training 9.1 Returning to work \| Objective: \| \| \|---\|---\| \| To make sure all \| \| \| workers understand \| \| \| COVID-19 related \| \| \| safety procedures \| \| \| and furloughed staff \| \| \| make a \| gradual \| \| return to work over \| \| \| the summer. \| \| 9.2 Ongoing communications and signage \| Those likely to be at risk \| Recommended government guideline \| OI response to risk \| Action - by whom? \| Action by when? \| \|---\|---\|---\|---\|---\| \| ALL \| Objective: To make sure all workers are kept up to date with how safety measures are being implemented or updated. \| All staff, including those furloughed, are invited to the Managing Director’s regular (usually monthly) call for an update on OI’s response to the pandemic. Those without OI IT equipment have been provided with a license enabling them to access Microsoft Teams from their own devices, if furloughed. To keep OI staff, customers and clients informed and involved. In the case of IC staff, this sometimes will be daily but mostly every week via dedicated Microsoft Teams channel and through weekly meetings of the CMT. \| All Deputy MD \| Ongoing Ongoing \| Where to obtain further guidance HMG Recovery Strategy (COVID Road Map): https://www.gov.uk/government/publications/covid-19-response-spring-2021 Guidance for employers, employees and businesses: working safely during COVID-19: Offices, factories and labs - Working safely during coronavirus (COVID-19) - Guidance - GOV.UK (www.gov.uk) APPENDIX A - DEFINITIONS
Comparing Student and Non-Student Reporting Behavior in Tax Compliance Experiments James Alm, Tulane University; Kim M. Bloomquist, Internal Revenue Service; and Michael McKee, Appalachian State University L aboratory experiments have been increasingly used to examine various issues in tax compliance. The use of laboratory experiments in economics began in the early 1960s with the establishment of a well-defined framework for experimental work by Smith (1976, 1982), and laboratory methods are now widely accepted as a methodological approach in the analysis of theory and policy, especially of behavioral economics. For comprehensive surveys of experimental methods, see Davis and Holt (1993) and Kagel and Roth (1995). Tax compliance is an area that seems especially amenable to laboratory experiments, given limitations in empirical approaches based on field data. As discussed in more detail later, theoretical models are not able to incorporate fully, appropriately, or tractably many factors deemed relevant to the individual compliance decision; also, these modeling efforts can benefit from the behavioral insights obtained through laboratory investigations that illuminate many of the factors relevant to the individual compliance decision. Empirical studies of tax compliance using field data are plagued by the absence of reliable information on individual compliance decisions: it is difficult to measure—and measure accurately—something that by its very nature people want to conceal, and it is difficult to control in econometric work for the many unobservable factors that may affect the compliance decision. In contrast, laboratory methods allow many factors suggested by theory to be introduced in experimental settings. Also, experiments generate precise data on individual compliance decisions, which allow econometric estimation of individual responses in ways that are simply not possible with field data. Indeed, laboratory methods have examined a wide range of factors in the compliance decision, factors that have not proven amenable to either theoretical analyses or empirical analyses with field data. However, laboratory studies of compliance are also sometimes viewed with some skepticism. The most common criticism of experimental investigations of tax compliance behavior is that the student subjects typically used in experiments may not be representative of taxpayers. Undergraduates may have little experience with filing tax returns, and their economic and demographic backgrounds may differ from that of taxpayers. It is this issue that we examine here. We present evidence that relates directly to the use of student subjects. In particular, we compare the experimental responses of student subjects to the experimental responses of non-student subjects, in identical experiments; that is, do students behave differently than non-students in identical experiments? These data are generated from a series of experiments conducted as part of an Internal Revenue Service (IRS) funded research program, in which student subjects and non-student subjects participated. We examine the mean levels of compliance, the frequency distribution of compliance rates, and the econometrically estimated behavioral responses. While we find that the mean levels of compliance of students are not always the same as non-students, the behavioral responses of students in laboratory experiments to policy innovations are largely the same as non-students in identical experiments. Also, the frequency distributions of individual compliance rates are virtually identical for students and non-students. (Note that in other work we compare experimental data versus non-experimental data from the National Research Program of the IRS, in an attempt to answer whether students in experiments behave differently than non-students in naturally occurring settings. These other results address explicitly the issue of generalizing from experiments to the naturally occurring world (e.g., the "external validity" of tax compliance experiments). These results are not presented here, but these comparisons also indicate largely similar patterns. See Alm, Bloomquist, and McKee (2011) for a detailed analysis of all student versus non-student and experimental versus non-experimental comparisons.) Our results largely confirm that the observed behaviors of student and non-student subjects are qualitatively and quantitatively similar. The Uses and Misuses of Experimental Economics Experimental economics involves the creation of a real microeconomic system in the laboratory, one that parallels the naturally occurring world that is the subject of investigation and one in which subjects (usually students) make decisions that yield individual financial payoffs whose magnitude depends on their decisions. The essence of such a system is control over the environment, the institutions, the incentives, and the preferences that subjects face. Of these, control over preferences is particularly crucial. As emphasized by Smith (1976), "[s]uch control can be achieved by using a reward structure to induce prescribed monetary value on actions." Why use experimental methods? On some level, the use of experimental methods derives from a fundamental problem with economics. Like other sciences, economics is based on the development of theory and on the ability of that theory to explain observed activities. However, unlike some other sciences, especially the natural sciences, economics faces substantial difficulties in empirically testing the predictive power of its theories using data from the naturally occurring world. Given the dizzying array and complexity of forces that operate in market (and non-market) systems, economists can never be quite certain that they are "holding constant" the many factors that may be driving individual choices, so that they can focus on the "true" driving factors that are the object of empirical testing. Methods for achieving such identification have become increasingly sophisticated over time, especially with the use of so-called "natural experiments" and "controlled field experiments". Even so, there are few instances in which such identification is uncontroversial. There are of course numerous avenues for testing the predictions of economics, aside from experimental methods, including the use of naturally occurring field data, hypothetical choices, natural experiments, and controlled field experiments. Even so, experimental methods have often been a common approach, and economists have increasingly begun to emulate the methods of natural scientists by conducting carefully controlled laboratory experiments. Economics generally and public economics specifically have profited from the use of laboratory experiments, for several reasons. Econometric data on research questions obtained from the naturally occurring world can be unreliable, can fail to show the variation or distinctions of interest, or can fail to provide sufficient identification to discern "cause and effect". Indeed, in some cases data simply cannot be assembled outside the laboratory because the real world setting of relevance does not exist. For its part, theoretical analyses often cannot incorporate fully, appropriately, or tractably many relevant factors. What can experiments do? Unlike standard theoretical work, experiments are not as constrained by the same degree of simplification required in analytical studies, which allows the impact of numerous factors not amenable to theoretical work to be examined precisely and unambiguously in a controlled environment. Unlike traditional empirical work based on naturally occurring data, experiments generate data under settings in which there is control over extraneous influences. Laboratory experiments also provide a controlled environment that allows one to examine the mechanisms of interest, as well as the changes in these environments and institutions, in isolation from each other. Given the limitations of theoretical and econometric work, there are, we believe, compelling reasons for the use of experiments, as an additional (and not as the only) methodological tool, in large part because laboratory experiments give a researcher the twin advantages of control (including data generation and replicability from this control) and flexibility. However, despite the demonstrated usefulness of experimental methods, there are sound reasons for caution in interpreting and generalizing experimental results. Perhaps the most common criticism of experimental economics is that the student subjects typically used may not be representative of taxpayers (Levitt and List, 2007). Although there is now much evidence that the experimental responses of students are seldom different than the responses of other subject pools (Plott, 1987), there are no comparisons of student versus non-student behavior in the specific context of tax compliance. It is this issue that we examine here. Some Simple Comparisons of Students and Non-students in Identical Experiments We consider the responses of student subjects versus non-student subjects in identical experiments. These comparisons are based upon results in Alm, Cherry, Jones, and McKee (2010, 2011) who conducted experiments designed to investigate the compliance behavior of individuals under various policy initiatives. In both studies the subject pool consisted of both students and non-students (e.g., university staff and faculty), and we report here a comparison of students and non-students in these different experimental settings. The first setting investigates the effects on tax reporting of the provision of information services by the tax agency in an environment in which subjects may not know with certainty their true tax liability. The second setting introduces positive inducements via social programs as an incentive to truthfully report tax liabilities; these social programs include an income tax credit (in which receipt requires that the subject must file a tax return) and unemployment benefits (in which benefits are a positive function of past reported taxes). We first discuss the experimental design of these experiments, and then we present the comparison of student versus non-student responses in order to answer the question of whether students behave differently than non-students in identical experiments. The experimental setting implements the fundamental elements of the voluntary reporting system of the individual income tax in most countries. Participants earn income by performing a task, and they self report tax liability to the tax authority. At the time of reporting only the individual knows his or her true level of tax liability, and the subject can choose to report any amount from zero on up. An audit occurs with an announced probability, and any unreported taxes are discovered. If the participant has underreported the tax liability, then both the unpaid taxes and a penalty are collected. This process is repeated over a number of rounds each representing a tax period. Participants are informed that they will be paid their after-tax earnings at the end of the experiment, converted from lab dollars to U.S. dollars at a fixed and announced conversion rate. Participants are informed, with certainty, of the audit probability, the penalty rate, and the tax rate. The tax rate is set at 35 percent for all sessions; the penalty rate is also fixed for all sessions at 150 percent (i.e., the participants must pay unpaid taxes plus a penalty of 50 percent of unpaid taxes if audited). The audit probability is varied once within the session, and the participants are told that there is zero probability of audit if no tax form is filed. There is no public good financed by the tax payments in order to focus subject attention on the tax setting. Into this setting, various policy innovations are introduced in the different studies of Alm, Cherry, Jones, and McKee (2010, 2011). A first set of experiments investigates the effects of taxpayer information services on compliance decisions (Alm, Cherry, Jones, and McKee, 2010). Here the tax reporting decision is "complicated" through the introduction of uncertainty regarding the true tax liability, and then information services are provided by the "tax administration" that partially or fully resolve the uncertainty, thereby allowing subjects to compute more easily their tax liabilities. Complicating factors include both a tax deduction (a reduction in taxable income) and a tax credit (a reduction in tax owed, comparable to the U.S. Earned Income Tax Credit), each of which is conditional upon filing. The tax deduction is set at 15 percent of income, and tax credit is introduced in which the credit starts at a given level and declines at a stated rate as income increases. These factors complicate the tax reporting decision. Also, the exact levels of the deduction and the credit are, in some settings, uncertain to the taxpayer at the time of filing, and this uncertainty adds an additional level of complications. These uncertainties on the credit and the deduction are implemented via mean-preserving spreads (with a uniform distribution) in each, where the participants are informed of the means of the allowed credit and deduction and the ranges for each. When information services are provided, information is complete, accurate, and costless to the participant. A more direct set of positive inducements is investigated in Alm, Cherry, Jones, and McKee (2011). Here positive inducements for filing are introduced in several alternative treatments. In one treatment tax credits are introduced that are available to participants but only to those who file a tax return. In a second treatment a "social safety net" (e.g., unemployment replacement income) is present in which individuals face some probability of unemployment but also in which unemployment replacement income may be provided, with any benefits again conditional upon past filing behavior. There is a known probability of unemployment, and, if the individual becomes unemployed and earns no income, then they are unemployed for two periods. Unemployment replacement income is received only if the individual has filed a tax return in each of the two previous periods. Other features of the experimental design are identical to Alm, Cherry, Jones, and McKee (2010). Table 1 summarizes the experimental design of Alm, Cherry, Jones, and McKee (2010, 2011), with the top panel showing the information services design and the bottom panel showing the positive inducements design. Treatment T1 provides a baseline setting that entails no uncertainty and no tax authority information. The second treatment (T2) introduces tax liability uncertainty, in which participants face uncertainty regarding their allowed deduction and tax credit. The third treatment (T3) entails the same uncertainty as in the second treatment, but introduces the option of resolving the uncertainty by receiving information from the tax authority; that is, participants in this treatment are able to click on a button to reveal the true levels of the deduction and the tax credit. In Table 2, treatment T4 establishes a baseline with no positive inducements. In T5 a tax credit is introduced, and in T6 an individual may be able to collect income benefits while unemployed. The unemployment benefits are based on the average filed earnings for the previous two periods. Thus, an individual who chooses to not file can earn no benefits. See Alm, Cherry, Jones, and McKee (2010, 2011) for a detailed discussion of the experimental designs. Table 1. Experimental Treatments Information Services \| Tax Liability Uncertain? \| Information Service Provided? \| \| \|---\|---\|---\| \| \| Yes \| No \| \| No \| T1 \| — \| \| Yes \| T2 \| T3 \| Positive Inducement via Social Programs \| Positive Inducements Provided? \| \| \| \|---\|---\|---\| \| No \| Yes, via Tax Credit \| Yes, via Unemployment Benefits \| \| T4 \| T5 \| T6 \| Table 2. Aggregate Results by Experimental Treatment by Subject Pool The dedicated experimental lab consists of 25 networked computers, a server, and software designed for this series of experiments. Sessions were conducted at a major state university, using both students and staff as participants. Recruiting was conducted using the Online Recruiting System for Experimental Economics (ORSEE). The participant database was built using announcements sent via email to all students and staff. Participants were invited to a session via email, and were permitted to participate in only one tax experiment, although other experimental projects are ongoing at the time and participants may have participated in other types of experiments. Only participants recruited specifically for a session were allowed to participate, and no participant had prior experience in this experimental setting. Methods adhere to all guidelines concerning the ethical treatment of human subjects. Of most importance, participants included both students and non-students, thereby allowing one aspect of the external validity of experiments to be examined: do students behave differently than non-students in identical experiments? Students were recruited from the pool of undergraduate students at a U.S. public university. Non-students were recruited from faculty and staff at this same university. The student portion of the subject pool covered a very broad range of year in studies and major, and no single major exceeded 8 percent of the pool. The staff pool was similarly diverse, covering all levels of support staff, non-academic professional staff, and faculty. Also, the compensation varied for students versus non-students. For students the rate was 80 lab dollars to 1 U.S. dollar; faculty and staff participants received a higher exchange rate to reflect their higher outside earnings, with a conversion rate of 50 lab dollars to 1 U.S. dollar. Earnings averaged $18 for student subjects. The average payoffs for faculty and staff were $28. Four hundred forty nine individuals participated in a session in one of the two sets of experiments. In the sessions designed to investigate the role of tax information services on reporting (T1 through T3), there were 131 subjects, 54 percent of whom were students. In the sessions designed to investigate the effects of positive inducements (T4 through T6), there were 318 subjects (68 percent were students). Table 2 reports the aggregate figures for reporting behavior only by treatment and by subject group. Treatments T1 – T3 concern the taxpayer information services design. These aggregate numbers indicate that uncertainty concerning tax liability results in lower reporting compliance rates but that providing information that resolves the uncertainty increases reporting. With tax liability uncertainty, the overall reporting compliance rate is 0.621 (T2), which is statistically lower than the 0.673 rate without uncertainty (T1). Further, reporting compliance significantly increases when information services are provided in the uncertain setting (T3), or 0.704 versus 0.621. When these aggregate levels of compliance are broken down by subject type, we see some differences by subject type in reporting compliance rates. In T1, the mean reporting compliance rate of staff is higher (0.795) than the reporting compliance rate of students (0.618), a difference that is statistically different. Similarly, the mean compliance rates of staff versus students are also different for the other two treatments, T2 and T3, although in these latter two treatments students report at higher rates than staff. However, despite the somewhat different levels of compliance of the two subject pools, the changes in compliance rates in response to the treatment effects are similar in both pools of subjects. Comparing T2 and T3, we observe that the changes in compliance rates in response to the information services treatments are similar in magnitude and sign. For both subject pools, the provision of information that resolves tax liability uncertainty leads to an increase in the mean reporting rate, by 8.6 percentage points for staff and by 7.9 percentage points for students (or T3 versus T2). The introduction of uncertainty has different effects on these responses by subject pool (or T2 versus T1), reducing reported income for staff and increasing reported income for students; even so, the change in mean compliance rates for students is not statistically significant in these two treatments. The positive inducements treatments demonstrate a similar pattern. Treatment T4 provides the baseline setting for the investigation of the tax reporting effects of positive inducements. When looking at all subjects combined, the provision of the tax credit (T5) and unemployment benefits (T6) leads in both cases to higher tax reporting relative to T4. Also, both the student subjects and the staff subjects respond positively to the positive inducements. From the results in Table 2, it appears the staff responses to these inducements are greater than for the student subjects, but the qualitative treatment effects results are similar. Also, the frequency distributions of individual compliance rates are virtually identical for students and non-students in the uncertainty sessions and in the positive inducements sessions. It should be noted that there are several significant differences between the subject pools, and a simple comparison of means does not hold these differences constant. For example, the different pools are compensated at different rates, with staff compensated at roughly twice the rate of student subjects. Also, the average ages of the two groups are different, with the average age of staff exceeding 30 years and the average age of students slightly exceeding 20 years. There are other differences between the pools as well. To hold constant these differences, we use a conditional analysis at the individual level to re-examine the initial impressions from the aggregate data. For the entire sample, staff only, and students only, we estimate the effects of various subject features and design parameters on reporting behavior, while holding other factors constant. Our basic specifications estimate individual reporting of each subject by round as a function of subject demographic characteristics (e.g., subject age, subject sex, subject own preparation of tax returns, subject claimed as a dependent on parental tax returns), subject variables that change by round (e.g., income, accumulated earnings, audit probability), and session characteristics (e.g., indicator variables that signify the presence of uncertainty about tax features, of agency-provided information, of a tax credit that the subject can claim on filing a tax report, or of a safety net that (partially) makes up for income lost due to unemployment). We estimate these specifications using Tobit estimation procedures. These detailed econometric results are not presented here, but they confirm even more strongly our initial impressions from the aggregate data. In particular, we see that the changes in compliance behavior of the two groups are quite similar, as measured by the estimated coefficients on the policy innovations, even if the average levels of compliance differ as in Table 2. Conclusions Our results indicate that the experimental behavior of students is often—although not always—similar to the experimental behavior of other subject pools. Although the levels of compliance may differ between student and non-student subjects in identical experiments, the changes in compliance behavior of these pools largely parallel each other, especially when potentially confounding influences are controlled in a regression framework. Further, the frequency distributions of individual compliance rates for students versus staff are very much the same. Other results that compare experimental data versus non-experimental data from the National Research Program of the IRS also indicate largely similar patterns. Again, see Alm, Bloomquist, and McKee (2011) for complete discussion and analysis of all results. In sum, our results are consistent with other experimental studies that demonstrate that student and nonstudent subjects behave and, especially, respond similarly. Indeed, our evidence is consistent with the broader notion that there is also no reason to believe that the cognitive processes of students are different from those of "real" people, at least in the context of tax compliance and in the comparison of changes in behavior. References Alm, James, Kim M. Bloomquist, and Michael McKee (2011). "On the External Validity of Tax Compliance Experiments." Tulane University Working Paper. New Orleans, LA. Alm, James, Todd Cherry, Michael Jones, Michael McKee (2010). "Taxpayer Information Assistance Services and Tax Reporting Behavior." Journal of Economic Psychology 31 (4): 577-586. Alm, James, Todd Cherry, Michael Jones, Michael McKee (2011). "Social Programs as Positive Inducements for Tax Participation." Tulane University Working Paper. New Orleans, LA Davis, Douglas D. and Charles A. Holt (1993). Experimental Economics. Princeton, NJ: Princeton University Press. Kagel, John H. and Alvin E. Roth, eds. (1995). The Handbook of Experimental Economics. Princeton, NJ: Princeton University Press. Levitt, Steven D. and John A. List (2007). "What Do Laboratory Experiments Measuring Social Preferences Reveal About the Real World?" Journal of Economic Perspectives 21 (2): 153-174. Plott, Charles R. (1987). "Dimensions of Parallelism: Some Policy Applications of Experimental Methods." In Laboratory Experimentation in Economics: Six Points of View, edited by Alvin E. Roth, 193-229. New York, NY: Cambridge University Press. Smith, Vernon L. (1976). "Experimental Economics: Induced Value Theory." The American Economic Review Papers and Proceedings 66 (2): 274-279. Smith, Vernon L. (1982). "Microeconomic Systems as an Experimental Science." The American Economic Review 72 (5): 923–955.
Inter-Parliamentary Institutions & Arctic Governance Michał Łuszczuk The participation of inter-parliamentary institutions in the processes of international cooperation, especially in the processes of regional governance in almost all parts of the world, has been expanding in the last few decades. The Arctic region too can be praised for the existence of a number of such entities, such as the Conference of Arctic Parliamentarians, the Barents Parliamentary Conference, the Nordic Council and the West-Nordic Council. This paper aims to provide, for the first time, a comparative analysis of the activities of these bodies in regards to their participation in the Arctic governance system, focusing in particular on the relations and links between the inter-parliamentary institutions and the Arctic Council. The paper ends with a reflection on the forthcoming role of such institutions in the future development of multidimensional cooperation among Arctic and non-Arctic nations as well as the threat of a possible democratic deficit in the Arctic. Introduction One of the manifestations of the changes taking place in the Arctic over the last few years is the transformation of regional governance understood as structures of authority that manage collective regional problems (Elliott & Breslin 2011). The number of its participants has increased, the range of subjects of cooperation has expanded, and the the rules and mechanisms that constitute it have been refined (Pelaudeix 2015; Exner-Pirot 2012; Graczyk & Koivurova 2014; Molenaar 2012). Although the foundations of the governnance strutures, where the Arctic Council plays a central role, were shaped at the turn of the 1980s and 1990s, its subsequent functioning is generally quite highly rated in terms of normative design and institutional preformance (Young 2005; Koivurova & VanderZwaag 2007). For example, according to some authors, "(B)y international standards, the Arctic region has been a leader by constantly pushing the edges of governance innovation" (Poelzer & Wilson 2014: 183). One of the most important patterns of this 'governance innovation', has been the considerable participation of non-state actors in regional cooperation, and especially a unique status granted to indigenous people in the Arctic Council (AC) (Koivurova 2010; Young 2009; Duyck 2012; Stępień 2013; Graczyk 2011). However, due to many political developments taking place in the Circumpolar North since 2008, when the Illulisat Declaration (Ilulissat Declaration 2008) was issued, and especially the growing interests of non-Arctic actors in the region, the position and role of non-state actors has been Michał Łuszczuk is a Post-Doctoral Fellow at Jan Kochanowski University in Kielce and Assistant Professor in the Department of International Relations, Maria Curie Sklodowska University in Lublin. challenged by pressures from the Arctic national governments (Koivurova et al. 2015; Steinberg & Dodds 2015; Ingimundarson 2014; Duyck 2012; Graczyk 2011). If this expanding trend of intergovernmentalism within Arctic cooperation continues – and the significance of the Arctic grows further both globally and nationally – then indeed, "defining political community and legitimate participation in Arctic governance" is becoming increasingly important, as suggested in the Arctic Human Development Report II (Poelzer & Wilson 2014: 185). Furthermore, it may lead to questions about the plurality of the regional governance, about its democratic legitimacy and accountability, and finally, a debate on lack of respect for the rules of democracy in the Arctic governance – a subject that is sometimes raised in regard to other intergovernmental institutions (Bernstein 2011; Grigorescu 2015; Zweifel 2006). In fact, such voices and concerns have appeared in the past, in the early 1990s, e.g., when the Nordic Council's Parliamentary Conference was organized in Reykjavik from 16 to 17 August 1993 (Samstag 1993). Or maybe such concerns are exaggerated or not fully justified? Maybe Arctic regional governance should not be criticized, taking into account the indigenous peoples' organizations exceptional consultation rights as Permanent Participants in connection with the AC's negotiations and decision-making process (Koivurova & Heinämäki 2006) and the development of indigenous internationalism (Loukacheva 2009)? Or maybe the presence of regional inter-parliamentary organizations and non-governmental organizations as Observers in the Arctic Council provides sufficient protection against such objections? While the issue of the role of the indigenous peoples' organizations in Arctic governance has been discussed in several other places (Koivurova & Heinämäki 2006; Duyck 2012; Loukacheva 2009; Wilson & Øverland 2007; Martello 2008), this article aims to address the problem of democratic accountability within Arctic governance by means of assessing the impact and significance of the regional inter-parliamentary organizations operating in the Circumpolar North. Rooted in the ongoing discussion on the development and role of inter-parliamentary institutions (Cofelice 2012; Cutler 2013; Kissling 2011), the present study will take a functional approach to this question, taking into consideration the activities of inter-parliamentary institutions operating in the Circumpolar North. The first section will set the general context, highlighting the progressive recognition of the interparliamentary organizations and their importance in regional governance, as well as the particular challenges relating to their roles. The second section will outline the cases of the four organizations: the Nordic Council, the West-Nordic Council, the Conference of Arctic Parliamentarians and the Barents Parliamentary Conference, touching on their differing backgrounds, scopes of tasks, and relationship to the Arctic Council, which remains the central cooperation forum in the region. Finally, the results of the analysis will be discussed and prospects for further development of the Arctic regional governance will be considered. International parliamentary institutions in contemporary international relations Among the many signs of change in the modern-day international community, it is useful to highlight the gradual structural bifurcation in levels of governance. In other words, international relations today are a stage where two worlds coexist or even overlap – one state-centric, the other composed of transnational actors (Pietraś 2009). As Pietraś suggests, "Although both 'worlds' are integral components of the same international reality, there are many distinctive qualities that characterize each of them, underlining the structural hybridity of entities in the international realm" (Pietraś 2009: 32). This hybridity, coupled with ever more intensive transboundary relations, redefines and restructures interactions between states, 'imposing' and accelerating the development of mechanisms governing the international arena (Pietraś 2007). Some interesting consequences of this evolution include an increasingly 'saturated' international political scene and a progressive blurring of boundaries and borders, of differences between the intrastate and the interstate domain (Łoś-Nowak 2013: 49). Furthermore, Surmacz indicates that "a change in the distribution of power in international relations [resulting from the aforementioned processes] has resulted in parallel changes in the diplomatic realm," which in turn has led to "the modern diplomatic community [becoming] akin to a series of interactions among both state and non-state actors representing interests that are organized both territorially and non-territorially, implementing both official and unofficial forms of diplomacy" (Surmacz 2013: 9). One example of this relatively new situation is the increasingly dynamic expansion of the international dimension in the activities of different national parliaments (Torbiörn 2007; Puzyna 2007), which Florczak-Wątor and Czarny believe has made "international cooperation input from parliaments a common phenomenon in the world today" (Florczak-Wątor, Czarny 2012: 45). The goal of this part of the paper is to synthesize fundamental conceptual approaches surrounding this modern-day development trend in international relations, highlight its versatility, and especially move toward a clearer notion of the processes behind the creation and operation of inter-parliamentary institutions. Before delving into the structural characteristics of the international community that underlie the growing involvement of legislative bodies in creating foreign policy, it bears establishing that "a parliament is a … body organized under a state that is a legitimate subject of international law and, as such, engages in international legal relations with other similar subjects" (Florczak-Wątor, Czarny 2012: 45). While this formulation could be considered a response to any potential questions as to the legitimacy and legal foundations for such activity on the part of parliamentarians, it is at once only a starting point for further clarifying discussion. Jaskiernia, for instance, asks, "How do we treat these activities of representatives of national legislatures in the realm of foreign affairs – as instances of 'parliamentary diplomacy' or beyond?" (Jaskiernia 2013: 166). In pursuing the answer to this question it is worth noting at the outset that, for several decades now (though the specifics vary by country), "parliaments no longer limit themselves to making foreign policy, but also expand into executing it" (Florczak-Wątor & Czarny 2012: 45; Malamud & Stavridis 2011). As far as the extent of control over this area of policymaking is concerned, the clout and capacity of national parliaments have indeed increased. Returning to the question of what exactly is the international activity of parliamentary institutions (often called 'parliamentary diplomacy' (Stavridis 2002)), the answer does not seem to be entirely straightforward, partly as a result of the diversity of forms and goals of engagement (Šabič 2008). As far as forms of engagement go, we distinguish cooperation on the level of (1) houses of parliament operating in pleno, (2) the chairs or speakers of these bodies, (3) parliamentary committees, and (4) bilateral parliamentary groups (Florczak-Wątor & Czarny 2012: 52). Puzyna has offered a different typology, according to which six types of entities can be distinguished within the scope of inter-parliamentary cooperation: (1) conferences or assemblies with the participation of parliamentary leaders and/or Speakers; (2) inter-parliamentary assemblies or other forums; (3) conferences or meetings of leaders or parliamentary envoys from associated standing committees; (4) inter-parliamentary organizations, associations, or official meetings among individual parliamentarians; (5) meetings of the General Secretaries of parliamentary offices or secretariats; and (6) meetings and networks composed of employees of secretariats or parliamentary offices (Puzyna 2007, p. 40). The first three of these can pertain to both bilateral and multilateral relations. The primary objectives of the international engagement of national legislatures include: (1) exploration and acquisition of information on international partners; (2) exchange of knowledge and experiences between the parliaments of different states and mutual improvement; (3) developing a network of contacts between parliamentarians and the elaboration of shared policy positions on the international arena (Florczak-Wątor & Czarny 2012: 54). In Weisglas and de Boer's estimation, the growing engagement of international parliamentarians also serves to strengthen three key aspects: (1) the legislature's control over the activity of its respective government, (2) the democratic legitimization of intergovernmental institutions, and (3) maximum representation of voter interest (Weisglas & Boer 2007). Torbiörn goes so far as to state that parliamentary groups are an 'oxygen tank' in some international organizations (Torbiörn 2007: 32). Jaskiernia looks at the issue from a different angle, suggesting that members of national parliaments who take part in inter-parliamentary debates might sometimes exhibit a greater tendency toward following their own guiding principles in their stated opinions – but this does not always lead to "attenuation of conflicts, which often require a more pragmatic approach" (Jaskiernia 2013: 185). With respect to the geographical range of the cooperation spearheaded by international parliamentary institutions, we distinguish five varieties thereof: global, intercontinental, continental, interregional, and regional (Florczak-Wątor & Czarny 2012: 59). Florczak-Wątor and Czarny correctly point out that multilateral parliamentary cooperation: [I]s by definition general and broad, not specialized. It cannot simply be reduced to collaboration among parliaments and parliamentarians in one given domain of social life in each country. This is a result of the powers and competencies conferred to the legislative of each country in the wide realm of social issues. Irrespective of this, we generally encounter a degree of consistency in the level of priority attached to specific topics in specific forms of cooperation, as it is rather difficult to spontaneously undertake only the problems that are relevant in a given moment" (Florczak-Wątor & Czarny 2012: 59–60; Puig 2004). Two more categories of cooperation can be distinguished by analyzing the international activity of different national parliaments: prescribed (when the activity stems from the provisions of an international treaty defining the participants' roles in a given international entity) and optional (when the activity stems from the sovereign decisions of the parliamentarians) (Florczak-Wątor & Czarny 2012: 60). In presenting this typology, it is also worth noting that inter-parliamentary cooperation can be self-generated (autonomous) or complementary (incorporated into the operations of a given organization) (Florczak-Wątor & Czarny 2012: 60). It can also be either consistent and institutionalized or temporary and provisional (Florczak-Wątor & Czarny 2012: 61). As shown above, the evolution of the international activity of parliamentary institutions is a highly complex process, which renders its evaluation difficult and the effectiveness of the institutions themselves problematic (Supranational parliamentary and interparliamentary assemblies in 21st century Europe 2007; Supranational parliamentary and interparliamentary assemblies in 21st century Europe 2007; Šabič 2008: 261). At this juncture, I will focus on the most important of the many currents that come under this 'transnational parliamentarianism' (Marschall 2007) – one which manifests itself in international parliamentary institutions, otherwise known as parliamentary assemblies. Its origins can be traced to the creation of the Inter-Parliamentary Union in 1899, though it was not until the 1940s and 1950s that it entered the phase of dynamic growth in which it remains today (Tedoldi 2014). The 1980s and 1990s saw a significant increase in the overall number of parliamentary assemblies, which derived both from the end of long-standing Cold War rivalries and from accelerated European integration (Herranz 2005) coupled with the march of globalization. Marschall points out that modern-day parliamentary assemblies, despite their European heritage, exist across the world, and will continue to proliferate even more dynamically outside of Europe in tandem with increasing regionalization and democratization (Marschall 2007: 3-4). Today, two of the basic qualities of parliamentary assemblies are the fact that they are composed of delegations from different national parliaments, and the fact that they pursue a consistent and institutionalized agenda, typically outlined in a charter or statute. Many parliamentary assemblies lift institutional approaches (e.g. in structure or manner of operation) that work effectively on the national level (Marschall 2007: 12). A large majority of assemblies are affiliated (though in different ways) with intergovernmental organizations, and many of them additionally form an integral part of the structures of other transnational institutions (Marschall 2007). This 'tethering' has an important effect on the range of issues they undertake, the effectiveness of their policy decisions, and the sway they hold over decision processes on both the national and international level. Marschall clarifies, however, that the real clout of parliamentary assemblies is manifested in their contribution to the development of multilevel parliamentarism (Marschall 2007), which is gaining importance in governance as it is envisioned by modern international relations (Jancic 2014; Crum, Fossum 2009). To round out these considerations on the various forms of international activity of parliamentary institutions, it should be noted that the legislatures of the Nordic countries have always played an active role in their development (Götz 2009, 2005). Close collaboration among the Nordic parliaments has been ongoing since the end of the 19 th century, and in 1907 this collaboration was formalized in the form of the Nordic branch of the Inter-Parliamentary Union, known as the Nordic Inter-Parliamentary Union (Piotrowski 2006b). Subsequent phases of this collaboration enabled the creation of new institutions (Schouenborg 2012; Fasone 2013), including those that later get engaged in the Arctic region. Inter-parliamentary organisations in the Arctic In the Arctic, regionalization does not take place like it does elsewhere, hampered by the transcontinental nature of the region, low population density, sparse infrastructure, and its landscape of endless sea and ice (Łuszczuk 2013; Knecht 2013). These difficult conditions did not, however, prevent the states of the region from establishing inter-parliamentary cooperation in the Arctic immediately after Cold War rivalries started to fade. This process began among the Scandinavian countries, but subsequently spread to other corners of the Arctic (though with the Nordic countries still in a clear dominant role). The so-called 'Scandinavian Parliament' (Piotrowski 2006b: 107) has been a crucial component in the process of tightening cooperation among the countries of Northern Europe. Its initial incarnation was the Nordic Inter-Parliamentary Union, which first convened in 1907. It was under this entity that the countries decided, in 1951, to breathe life into the idea of a 'pan-Nordic parliament' (parliamentary council) composed of parliament members from individual Scandinavian countries as well as representatives of their respective governments. Further work on this project led to the adoption of a statute for a new Nordic Council. The subsequent evolution of the Council increased the number of participating countries (since 1970, the five Nordic countries have opened participation in sessions of the Nordic Council to include representatives from local parliaments in the Faroe and Åland Islands, while Greenland was invited in 1983) as well as ever greater diversity in the subject matter, but also had a structural-institutional aspect (e.g. in the creation of the Nordic Council of Ministers in 1971) (Piotrowski 2006a; Nowiak 2001). The results of the Nordic Council's activity (both positive and negative) as well as the vast swathes of territory it covered paved the way to the creation of another inter-parliamentary assembly in 1985 – the West Nordic Council. At the same time, changes in geopolitical conditions in the region contributed to the diversification of contacts and connections within the region, eventually bringing about the establishment of the Conference of Arctic Parliamentarians in 1993. However divergent the range and, in particular, the method of operation of each of these North Europeandominated parliamentary institutions, each of them has, in its own way, expanded its level of engagement in Arctic issues in the first two decades of the 21 st century. The Nordic Council Given that the genesis of the modern Nordic Council is strictly tied to the international engagements of parliamentarians from individual Scandinavian countries, it should not come as a surprise that, from the outset and until the creation of the Nordic Council of Ministers in 1971, the primary operational body of the Nordic Council was the parliamentary assembly (Piotrowski 2006a). The group of 87 delegates from eight national parliaments and governments make up its current incarnation, though governmental representatives are not given the right to vote. The assembly traditionally convenes annually for regular sessions (5-10 days in the capital of each successive member state), with additional special sessions organized when necessary. The delegates are arranged in their seats alphabetically by last name, and each of them is entitled to one vote. The parliamentary assembly of the Nordic Council passes non-binding recommendations and statements addressed to national governments and the Nordic Council of Ministers; the sessions typically feature debates on issues raised by the governments that make up the Nordic Council. Representatives of the Nordic Council are at once delegates to the Baltic Sea Parliamentary Conference, the Barents Parliamentary Conference (BPC), and the Conference of Arctic Parliamentarians. The Nordic Council's interest in the Arctic region, which after all represents a considerable portion of their collective land mass and territorial waters, was not initially a key area of focus for the Council, whether at the external or the internal level. At most, it fell into broader operations and policy initiatives such as environmental protection or fomenting forms of regional cooperation in the Arctic (e.g. through providing an initial stimulus for the creation of the CPAR) (Bohlin 2010: 28). For all the activity described above, the Nordic Council only initiated its Arctic Cooperation Programme in 1996 and has been systematically expanding it since then in organizational, 1 financial, 2 and functional (areas of interest) terms (Stokke 2007). It should be clearly noted here that the chief body responsible for the Nordic Council's engagement in the Arctic is the Nordic Council of Ministers, which has held Observer status with the Arctic Council since 2000. In this case, the role of the parliamentary assembly of the Nordic Council is to provide support to the Council of Ministers via active participation in drafting successive versions of the Arctic Co-operation Programme during the assembly's special sessions 3 as well as practical input into the debates held during the Arctic Council's conferences on the Arctic region. 4 It is possible that one way in which the Nordic Council's parliamentarians could get further involved in the near future could be in creating a common Nordic strategy for the Arctic; the intent to do so was accepted by the Presidium of the Nordic Council in 2013 (Nordic Council 2013). Furthermore, the Nordic Council may have an important input in the future pathways of parliamentary diplomacy in the Arctic. 5 In this respect, Annika B. Rosamund suggests an interesting scenario where the Nordic Council could play the role of a mediator between the Arctic Council and the European Union (Bergman Rosamond 2011: 26). This development seems relatively plausible given that cooperation between the different parliamentary assemblies (NC, EP, and CPAR) has been ongoing and free of major complications for the last several years (European Parliament 2009; Ojanen 2004). The West Nordic Council The West Nordic Council was founded in 1985, during a meeting in Nuuk, as the West Nordic Parliamentarian Council of Cooperation. It is composed of representatives from Iceland and two autonomous territories of the Kingdom of Denmark: Greenland and the Faroe Islands. According to Nielsson, the factors that came into play in the decision to create the Council included, on the one hand, the ever-greater sovereignty of the Danish territories, and on the other, the myriad similarities that linked these three countries, strewn as they are across the wide expanse that divides Europe and North America (Nielsson 2014; Eyþórsson & Hovgaard 2013). It is pertinent to add that the political, economic, and sociocultural ties between the other Nordic countries and Iceland, Greenland, and the Faroe Islands gradually unraveled in the post-war period, which at once generated aspirations among them to play a more independent, self-representing role, perhaps not yet on a fully international level, but at least insofar as Nordic cooperation was concerned. One argument that supports this assessment is the agreement signed between the Nordic Council and the West Nordic Council on the terms of cooperation between these two assemblies (Nordic Council 2006); other authors point out the reluctance and distrust of these countries towards the European Union (Bailes 2014). In 1997, the Council was renamed the West Nordic Council, its statute was revamped and expanded, and the mechanisms of cooperation were extended from just the sociocultural to the political and economic spheres (Nielsson 2014). Today, the West Nordic Council encapsulates its objectives in five points: (1) to promote West Nordic (or North Atlantic) interests; (2) to protect and preserve the resources and culture of the North Atlantic and support West Nordic governments in promoting their interests, beyond such vital concerns as resource management and pollution; (3) to sustain and expand West Nordic intergovernmental cooperation; (4) to cooperate with the Nordic Council and act as an intermediary in overall Nordic cooperation; and (5) to act as a parliamentary intermediary for other West Nordic organizations, participating in parliamentary cooperation across the Arctic region (West Nordic Council 2015). The Council is made up of 18 members (6 delegates from each country), and its focus and direction are indicated by a three-member presidium augmented by the Council secretariat, based in Reykjavik. The West Nordic Council convenes twice a year – once for a general plenary session, which elects the presidium for a one-year term, and once for a special session dedicated to a topic considered important to the interests of the West Nordic community. These assemblies typically produce joint recommendations, which are then conveyed to the parliaments of the three member states for discussion, and eventually find their way to the governments of each. Nielsson points out that the recommendations made by the West Nordic Council in recent years have touched on a variety of issues, though many of them had a distinct Arctic dimension, e.g. issues of resources and transportation, environmental protection, or international relations (Nielsson 2014). The issue of greater participation in cooperation on matters pertaining to the Arctic was taken up by the West Nordic Council relatively late, namely at in the early 2010s (Hovgaard & Eythórsson 2013). In 2012, following a scientific conference on the geopolitical conditions surrounding West Nordic cooperation, the Council adopted a resolution that encouraged the governments of the three countries to promote cooperation in matters of the Arctic as well as evaluate the possibility of designing a common Arctic strategy. Several months later, during the Council's session in Narsarsuag, Greenland, the parliamentarians decided to prepare a tentative analysis of this issue. The conclusions were as follows: (1) a common West Nordic Arctic policy would strengthen regional cooperation and bolster the West Nordic states' international standing; (2) economic cooperation gives these three countries promising perspectives, and should be geared toward an eventual free trade agreement as well as a common economic zone; and (3) the West Nordic countries should jointly strive for international support for their plans, e.g. by attracting foreign investors. The issue of a common strategy on the Arctic and the reinforcement of the relative standing of the three West Nordic countries was a subject of debate during the 2014 session of the West Nordic Council, which took place in Reykjavik in mid-September 2014 (Ryggi 2014). As a result, the Council communicated a request to the governments of Iceland, Greenland, and the Faroe Islands to develop such a strategy (Konradsdóttir & Nielsson 2014). This matter has been also expected to top the list of topics of discussion at the next session of the West Nordic Council in 2015 (Ryggi 2014). It would appear that the spheres of operation that could create a foundation for a common Arctic policy among these three countries include: extraction of energy resources, natural resource management, development of transport infrastructure, and the promotion of tourism. A real step in the direction of strengthening the position of the West Nordic countries in Arctic cooperation was the West Nordic Council's petition for Observer status with the Arctic Council, made in August 2013. The Conference of Arctic Parliamentarians (CPAR) Another of the institutions selected for this analysis – but one focused strictly and exclusively on the Arctic region as a whole – is the Conference of Arctic Parliamentarians (CPAR), which takes place every two years (Puig 2008: 99). Its roots can be found in the conference organized by the Nordic Council in Reykjavik on August 17, 1993 (The Nordic Council's International Conference for Parliamentarians on Development and Protection of the Arctic region 1993). The announcement made after the conference had declared the creation of a new body – the Standing Committee of Parliamentarians of the Arctic Region. The Committee began operations in September 1994; its members met three or four times a year to discuss the current situation in the region as well as to evaluate the impact of previous announcements and resolutions promulgated by the Conference. The first role of the Committee was to support the initiative to create the Arctic Council. 6 Once this formally occurred in 1996, the Standing Committee took the role of an Observer entity (formally from 1998). The members of the Standing Committee also function jointly to represent Arctic interests as Observers in the Barents Euro-Arctic Council (BEAC) (Langlais 2000: 28). In 1999, the Committee drafted and recognized its own overall rules and regulations, and the rules of the Conference were also laid out (Langlais 2000: 29). Meetings of the Conference are attended by delegations from the parliaments of the eight Arctic states as well as the European Parliament, while the proceedings also feature input from 'Permanent Representatives' of organizations that represent the indigenous peoples of the Arctic as well as envoys from different international organizations or Observer countries of the Arctic Council. In recent years, both the Conference and the Standing Committee are clearly involving themselves in deliberations on shipping, education and social development, as well as climate change in the Arctic. In the Declaration of the participants of the 11 th (and most recent) Conference, which took place on September 9-11, 2014 in the Canadian town of Whitehorse, a number of additional areas of interest were indicated, including: (1) infrastructure for balanced development, (2) management models and decision processes, (3) economic development, resource extraction, and building potential in the High North, and (4) new challenges in environmental protection in the Arctic. A summary evaluation of the roles and capabilities of the Conference and the Standing Committee of Parliamentarians of the Arctic Region, we must inevitably note that while these institutions indirectly enjoy indirect popular legitimacy and a 'social mandate' in Arctic affairs, their role in the Arctic Council is largely limited to that of observers, not inspirers, pacesetters, or commanders. One expression of this relatively weak position is the proposal to organize meetings of the Conference not every two years, but annually, which would allow greater flexibility and clout in its relations with the Arctic Council. The fact remains, however, that relations are sometimes strained, difficult, and hardly congenial, as evidenced in the barring of Senior Arctic Officials (SAO) from participating in the Conference in March 2014 (CPAR 2014). It seems that this is not only a symptom of the 'intergovernmentalization' of cooperation in the Arctic, but also a sign of narrowing possibilities of open debate on the future of the Arctic through the vehicle of the Arctic Council. The Barents Parliamentary Conference Although cooperation in the Barents Euro-Arctic Region has developed since 1993 primarily on two levels – intergovernmental (Barents Euro-Arctic Council – BEAC) and inter-regional (Barents Regional Council – BRC) – it also encompasses the interparliamentary dimension, as each BEAC chairmanship organizes a Barents Parliamentary Conference (International Barents Secretariat 2015; Hasanat 2010). Because the chairmanships run on two-year periods, the parliamentary conference takes place biennially. The participants of the Conference can be elected members of local and regional as well as national and indigenous peoples' assemblies in the Barents Region (International Barents Secretariat 2015). At their meetings, the representatives focus on "topical issues and practical aspects of cooperation for further consideration by national and regional executive bodies" (International Barents Secretariat 2013). These debates are usually concentrated around such topics as: health and social well-being, the rights and traditional livelihoods of indigenous peoples, environmental protection, and strengthened cooperation in the region in the realm of culture, education, and economy (Barentsobserver 2009). The first meeting of the Barents parliamentarians – called also the Barents Forum – was held in Kirkenes in 1997. Interestingly, although the first conference was organized in 1999 in Alta, the following one was held six years later, in 2005, in Bodø. During the 6th Barents Parliamentary Conference, which took place in April 2013 in Harstad, Norway, "the parliamentarians decided to include representatives from the Barents parliamentary cooperation in the delegations to the BEAC ministerial meetings and to the meetings at the Regional Council and Committee levels" (International Barents Secretariat 2013). They also recommended that the national and regional governments of the Barents region strengthen the ties between the intergovernmental entities as well as their corresponding parliamentary assemblies and bodies (Barents Parliamentary Conference 2013). This development does not denote any immediate and significant change of position of the Conference in the cooperation structures of the Barents region. It still remains a forum of debate, although in some documents it is also named as one of "the two key forums for Arctic interparliamentary cooperation" (Thórdarson & Gallagher 2013). Since the Barents region is a sub-region of the Arctic, virtually all discussion taking place during the Conference meetings are relevant for the Arctic. At the same time, without any standing body, the Barents Parliamentary Conference has no formal and working relations with the Arctic Council, and the representatives of the latter are just participants of the conferences. According to Ari Sirén, former Head of the International Barents Secretariat: In spite of the fact that political issues are not dealt with by the Barents Cooperation, a political instrument in the form of biennial parliamentary conferences is nevertheless significant. Taking into consideration the increasing international role of Arctic cooperation the parliamentarians from member states could perhaps discuss Barents-related issues more often. Brainstorming is, after all, needed when coming up with good idea (Sirén 2012). Conclusions To summarize the findings and reflections presented in this paper, firstly, there are many differences in the foundations and level of engagement of the four assemblies in cooperation on matters of the Arctic. The institutions in question were formed at different stages of development of Arctic cooperation, while for two of them – the Nordic Council and the West Nordic Council – the Arctic region became only one of many areas of interest, and did not even gain immediate priority when the respective Councils were created. The Conference of Arctic Parliamentarians represents the opposite case, where exclusively Arctic issues were in the spotlight from the outset. The Barents Parliamentary Forum's attention is focused mainly on a part of the European sector of the Arctic region; moreover, its activities have reflected the ups and downs of the Barents cooperation. This complex situation of the four institutions under scrutiny here has its impact on the differential degrees of activity of the different assemblies with respect to issues affecting the region, as well as their different roles in the Arctic governance system. One interesting feature of all four institutions is their openness to mutual contact, collaboration, and effectively warmer relations. This supports the notion that parliamentary diplomacy in the Arctic is an attractive and dynamic form of regional cooperation that elicits great interest from its participants, with the willing engagement of individual parliamentarians as the glue that binds them together. Finally, out of the four assemblies, only the Standing Committee of the Conference of Arctic Parliamentarians possesses the authority to contribute to the proceedings of the Arctic Council as an Observer; the West Nordic Council is only in the process of petitioning for this status, while neither the Nordic Council nor the Barents Parliamentary Forum seem interested in applying for it. The varying degree of participation of each of the institutions in Arctic cooperation does not indicate any vital role of the 'Nordic dimension' in ensuring their continued success and activity. What is more, a breakdown of the motivations underlying each institution creates the impression that only the Nordic Council is truly interested in chiseling out common Nordic responses to questions affecting the Arctic. At the same time, it is difficult to estimate the extent to which its resolutions and recommendations have even a marginal, indirect effect on the operations of the Arctic Council. Jointly, they may constitute a step towards a common Nordic strategy on the Arctic. With respect to the West Nordic Council, it is possible to draw the conclusion that it does not simply promote the 'West Nordic lobby' or detached positions benefiting the West Nordic nations, but rather genuinely protects the interests of its member states in the Arctic. At the same time, in many cases the key areas of operation of these four assemblies with regard to the Arctic are similarly perceived and managed. In analyzing these four parliamentary assemblies and their cooperation in the Arctic as a proxy for the roles these kinds of institutions play in contemporary international relations, three issues are worth pointing out. First, they are indeed 'messengers' voicing the opinions and interests of publics, and as such, they can ensure the democratic legitimacy of decisions made on a supranational level, often regarding transborder issues. The weight of democratic legitimacy in the overall process, however, is a separate issue. Second, through their familiarity with many pertinent issues from a practical perspective, parliamentarians working in inter-parliamentary institutions can have valuable inputs infused with a unique understanding of international relations, and useful for making optimal decisions. Third, it is in evidence that parliamentary diplomacy is now a mature phenomenon – one inscribed in the mechanisms of contemporary international relations – and its further development may make for an interesting 'counterweight' to inter-governmental diplomacy on the one hand, and different modern-day forms of 'paradiplomacy' on the other. Acknowledgments This study was funded by a grant from the National Science Center (NCN), in conjunction with funding for a post-doctoral research internship, based on decision no. DEC2012/04/S/HS5/00172. Notes 1. For example, an Advisory Expert Committee was established in 2002, comprising Nordic members of the Arctic Council and envoys from the autonomous territories (Nordic Council of Ministers 2015a). Defining the specifics of the Programme and the evaluating its results are the responsibility of the Nordic Working Group on Sustainable Regional Development in the Arctic (Nordregio 2015). 2. The funds allocated by the Programme in 1996 amounted to 1 million Danish crowns; in 2009, it was 8 million; and today it stands at 10 million (Nordic Council of Ministers 2015b). Since 2009, the research institute Nordregio has been in charge of managing the Programmes. 3. This was the case in 2012, during a special session that was held on March 23, in Iceland (Nordic Council 2012). Another debate of this kind took place at the 66 th Session of the Nordic Council in late October 2014, in Stockholm ( Nordic Council 2014). 4. The Nordic Council has already organized several conferences and seminars on Arctic issues, including "Common Concern for the Arctic" in 2008, "Arctic – Changing Realities" in 2010, and "An Arctic Agenda" in 2011. 5. One interesting example of cooperation among the parliamentary assemblies is the fact that the Arctic Co-operation Programme for 2009 was consulted with the Sami parliaments (Bergman Rosamond 2011: 25). 6. 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THE INFLUENCE OF HUMAN RESOURCES AND THE IMPLEMENTATION OF INCLUSIVE EDUCATION IN PUBLIC SECONDARY SCHOOLS – KENYA Bibiana Ruguru Ireri (Sr.) Department of Education, Communication, Administration and Planning Corresponding Author email@example.com Department of Education, Communication, Administration and Planning Co-Author: Dr. Madrine King'endo . firstname.lastname@example.org Department of Education, Communication, Administration and Planning Co-Author: Prof. Simon Thuranira: email@example.com Department of Education, Communication, Administration and Planning ABSTRACT Kenyan constitutions mandate schools to adopt; design and implement programmes that support inclusive education. Despite the inclusive education policy, disability remains a major course of exclusion in public secondary schools in Kenya. The study evaluated the influence of human resources on the implementation of inclusive education in Kenyan schools. The study employed mixed method research design which uses both qualitative and quantitative methods. Purposive sampling technique was used to select 201 respondents from 18 extra-county and county public secondary schools that had enrolled learners with physical disabilities. Quantitative data was collected using questionnaires while qualitative data was collected through interviews and focus group discussions. A t-test was used to test the significance and determine whether to reject or accept the study hypotheses. An analysis of the findings indicated significant relationships between human resources and implementation of inclusive education. The Linear Model showed a moderate positive correlation between human resources and inclusion. The model further showed that human resources accounted for some variation towards the implementation of inclusive education. Creating an inclusive school to respond to learner diversity is a complex process with many interrelated elements. The schools should to have a collaborative approach by creating back-up partnerships with parents, the community and disability associations. Hence, there is a need to mobilize the human resources in order to overcome physical barriers that hinder access and participation for learners with special education needs Keywords: Practices; Policy; Inclusive; Education; Human; Resources 1.0 INTRODUCTION Building inclusive schools remains one of the biggest challenges facing education system worldwide (Mitchell, 2015). Inclusion remains a complex and contentious issue as the development of inclusive practices in schools is not well understood (Ainscow, 2005; Anastasiou & Kauffman, 2012; Winzer & Mazurek, 2017). Inclusive education affects not just in principle and the nature of education provided for students with special education needs, but it calls into questioning the broader aims of education, the purpose of schools, the nature of the curriculum, approaches to assessment, and schools' accommodation to diversity. The way in which regular schools respond to students with disability can be a measure of quality education for all students (UNESCO, 2015). Weber and Ruch (2012) argue that a good school is good for all students and work for the achievement of all learners. However, there are practices related to school systems and individuals that work against the development of good inclusive practices. Effective school practices can create an inclusive environment that can give every learner fair access and participation to education. This calls for a need to modify the school practices and the environment to accommodate to learner diversity, (Rickert, 2010; Agarwal & Chakravarti, 2014). The concept of inclusive education dates back to the 20 th century, with many countries striving to adopt and develop education for learners with physically challenges. The movement towards inclusive education for learners with special learning needs began in the 1960s (Forlin, 2005). The United Nations has made influential declarations regarding inclusive education, such as the Convention against Discrimination in Education (1960) that mandated persons with disability to access education without discrimination. The declaration on the Rights of Disabled Persons (1975), guaranteed the respect and dignity of the persons living with disability and the Convention on the Rights of the Child (1989), endorsed the right of every child. Similarly, the World Conference of 1990 (Jomtien Declaration) in Thailand, set goals of Education for All (EFA), which was reaffirmed in the Dakar Framework of 2000 in Senegal. Subsequently, the Salamanca Statement and Framework of Action on Special Needs Education in Spain (UNESCO, 1994), adopted the principle of inclusion and provided a major impetus for inclusive education. The Salamanca Statement is arguably the most significant international document in the field of special education (Budlender, 2015). The major recommendation of Salamanca Statement was that every child with special learning needs has a right to access education in the neighbourhood school. The governments were required to give priority on their policy, legal and budgetary provision to restructure the education system to cater for learner diversity (UNESCO, 2015) Subsequently, there has been considerable efforts by many nations to work on their educational policies and practices towards the inclusive education, although questions arise on its efficacy and efficiency (Kalyanpur, 2014; Mukhopadhyay, 2015). While several countries' legislations and policies appear to be committed to inclusive education, practices in schools may not meet this rhetoric (Mitchell, 2005). The evidence underpinning inclusive education in African countries is weak and fragmented (Howgego, Miles & Myers, 2014). Inclusive education is marred with inaccessible environments, lack of reasonable accommodation, negative attitudes, discriminatory application and admission procedures, lack of disability policies and choices, disadvantage students with disabilities in Africa (Chataika, Mckenzie, Swart & Cleophas, 2012). Kenya is among the African countries that has made remarkable advances in the pursuit for inclusive education (Nungu, 2014). The government has embraced and supported the practice of inclusive education by domesticating various international agreements in its laws (Njoka et al., 2012). The policy framework (Republic of Kenya, 2012), recommended that all secondary schools adopt, design and implement programs that implement inclusive education. In spite of inclusive education policy, disability remains a major course of exclusion in schools. According to Doyle & Giangrec (2013), successful implementation of inclusive educational programs requires the involvement and the support from all the stakeholders. The Kenyan Basic Education Act of 2013 mandates that the school Board of Management should be adequately committed as their role is crucial in the implementation of education programs including inclusive education policy. Therefore the study evaluated the influence of human resources towards the implementation of inclusive education in public secondary schools in Kenya With the implementation of these inclusive education policies, a major responsibility of the Ministry of Education is to achieve universal access to education and training for all learners including those from disadvantaged and vulnerable communities (Ojiambo, 2009). This was reaffirmed by the Basic Education Curriculum Framework Kenya, (2017), that mandates that school practices ought to enable the learner have equal access to education, actualize a variety of opportunities and identify the students' learning needs, talents and potentialities. However, there is scarce literature on the effectiveness of school based practices towards the implementation of inclusive education. Therefore, an evaluation of the influence of human resource would not only prepare a level ground to accommodate learner diversity but also to guide them in their goal to attainment of Kenya Vision 2030 by providing a globally competitive quality education and training to all her citizens thus contributing to the progress of learner achievement (Government of Kenya, 2007) Policies adopted in education frameworks for promoting inclusive education mandate schools to provide a safe and accessible environment, flexible curriculum, provide adequate and skilled teachers as well as enroll more exceptional students in all the learning institutions (Republic of Kenya, 2004; 2009; 2012). In spite of the policy, disability continues to be one of the primary causes of educational marginalization, creating a large number of students who remain out of school. Action at national and international levels to address exclusion has been delayed by lack of aggregated data needed to assess, monitor and advance the inclusion of students with disabilities in regular schools (Saebones, 2015). Therefore, the study evaluated on the influence of human resources towards the implementation of inclusive education in Kenyan schools 2.0 LITERATURE REVIEW Transforming school vision into strategies requires additional information and skills, in which teachers and school managers must be trained (Lynch, 2011; Bagree & Myers, 2011). Professional development raises staff confidence for implementing inclusive strategies. Similarly, a change of attitudes can motivate the staff to come up with initiatives that can overcome barriers to implementation of inclusive education. Provision of resources is vital for the success of special needs education services. Resources play a significant role in the provision of special needs education services in schools. Unfortunately, the limitation of resources remains a barrier in many schools in developing countries. It is therefore, advisable to intensify strategies and activities to ensure resource allocation (Villac, 2016). In order to provide such support, the roles and responsibilities of all stakeholders involved ought to be clearly spelt out in contracts or agreements (Lacey, 2000; Frattura and Capper, 2007 The quality of teachers and their teaching have the greatest impact and influence on educational outcomes. Teachers need certain conditions to implement inclusive education practices and support (Watkins, 2007). In order to provide such support, the roles and responsibilities must be clearly set out in service agreements (Lacey 2000, Frattura and Capper, 2007). Effective, inclusive schools have emphasized the collective participation of teachers; non-disabled learners and other key stakeholder to enable learners with disabilities receive the necessary support. Human resources are significant in transforming schools to become inclusive Researchers have continuously identified one of the greatest barrier to the inclusion of students with special learning needs in developing countries is a lack of human, material and financial resources (Ainscow & Sandill, 2010; Claiborne et al., 2011). This is because practitioners and policy makers within the education systems lack adequate knowledge to implement inclusive education. Of particular concern is that there is a severe shortage of academic staffs, adequately trained to improve the quality of inclusive education in Africa (UNESCO, 2010). In addition, the status and working conditions of academic staff in many African countries, make it difficult for them toimplement inclusion. In this regard, Walton and Lloyd (2012) point out that the effective training of teachers on how to meet diverse learning needs is one of the major challenges facing the implementation of inclusive education in Kenya and other African countries Social model of disability recognizes that all learners have diverse needs and at the same time have equal rights to access and participate in all spheres in the society including education system. It recognizes that social perceptions, attitudes, institutions and policies all can be modified to respond to learner diversity and access to equal opportunities of disabled people (Ahmad, 2015). Cook and Polgar (2015) argue that the school contextual components that include physical, social, cultural and institutional mechanisms have been designed to cater for the education of able-bodied learners. The buildings, highly structured curriculum, teachers and the environmental background, were structured and prepared to handle non-disabled learners. The school beliefs, rituals and values that give the school its identity were socially constructed. These values and beliefs are highly upheld and easily influence the school activities and perceptions which influence the behaviour of its members towards learners with special education needs (Hendricks, 2016). The concepts of structures, systems, and practices are dominant in the social theory of disability. These school systems and practices can perfectly facilitate learners with disabilities to participate fully in the learning process. However, when the systems are not modified and restructured to provide an enabling environment, they become disabling practices to learners with disabilities. Among the practices of policy are the human resources, whom, when not trained and prepared to handle special education issues, can pose as real barriers to the implementation of inclusive education. The social model of disability propagates that any barrier that hinders learners from accessing and participating in the learning process is really disabling. Schools are best avenues that can demonstrate implementation of inclusive education. This can be implemented by eliminating all disabling barriers related to human resources, to enable learners with disabilities to thrive and exploit every opportunity. This way, the school provides high quality education to all, view differences as a resource and responds constructively to the special needs of all learners. Similarly, such a school ensures that inclusive education practices are embedded in their vision, mission and initiatives 3.0 METHODOLOGY OF THE RESEARCH The study employed mixed methods research designs, in order to analyze the practices of policy towards the implementation of inclusive education in schools (Johnson and Onwuegbuzie, 2007; McMillan & Schumacher 2006). Quantitative data enabled the study to apply statistical tests and derive important facts on the practices of policy in order to make an informed conclusion. Qualitative data enabled the study to obtain data from the real experience of what students with disabilities go through during their learning process. The population of the study included 42 county and extra-county schools. Purposive sampling was used to select 18 schools that had enrolled learners with physical disabilities. A sample of 201 respondents, consisting of teachers, non-disabled students and learners with physical challenges were used for the study Descriptive statistics tables were used to analyze quantitative data by use of frequencies and percentages. Hypothesis testing was carried out via the Analysis of Variance (ANOVA) and t-tests. The data was analyzed using the Statistical Package for Social Sciences (SPSS) version 20. All the interviews and focus group discussions were transcribed and organized into meaningful categories and the themes that were identified were presented in a narrative form (Frankfort-Nachmias & Nachmias, 2008). RESULTS AND DISCUSSIONS 4.0 Introduction The research findings were organized according to the responses derived from the questionnaires, interviews and focus group discussions. The researcher visited 18 county and extra-county schools and gave out 120 questionnaires to the teachers, of which 100 (83.3%) questionnaires were fully filled and returned. 4.1 Teachers Training on Special Education The data on teachers' qualification on special needs education is represented on Table 1 Table 1: Teachers' Additional Training and Qualification on Special Needs Education The results in Table 1, shows that the majority of teachers (81%) have not been trained in any special needs education apart from the teacher's professional qualification, while 11% had short courses on special education. A small proportion of 5% and 3% respectively had in-service and diploma certificates. This implies that the greatest number of teachers lack skills in special education needs. To confirm this, Wachira (2012), asserts that factors' influencing the implementation of inclusive education policy in Kenya was largely lack of the skills and knowledge on special education needs. . 4.2 The Physically Challenged Learners Enrolled in Schools The study sought to establish the number of physically challenged students who were admitted in secondary schools. The information was represented in Tables 2and 3 Table 2: Teachers report on learners with physical challenges currently enrolled in the school Table 3: Teachers report on learners with physical challenges, previously enrolled in the school The results in Table 2 show that 70% of teachers felt that majority of schools had admitted 1 or 2 learners with disabilities. Further, 16% of participants reported that some schools had admitted between 3 and 5 students while 14% of participants showed that all the other schools did not have learners with physical challenges. This report implies that there are very few learners with physical disabilities, who are enrolled currently in public secondary schools in Kenya Majority (59%) of the teachers in Table 3 revealed that many schools had previously enrolled between 1 and 5 learners with physical disabilities, while, 5% of the sampled teachers indicated that only a few schools had admitted between 6 and 10 such students in the past. Further, 4% of the respondents felt that an insignificant number of schools had admitted more than 10such students in the past. A significant number of teachers (32%) indicated that several schools had never admitted learners with physical disabilities. This information was crucial because the study could only have been possible when there were schools which had currently or previously admitted learners with disabilities 4.3 Human Resource and the Implementation of Inclusive Education in Schools Provision of adequate and well trained human resources in special education skills is important in order to remove barriers that hinder the implementation of inclusive education. The study sought to examine the teachers' perceptions on the adequacy and the availability of human resource towards the implementation of inclusive education in schools. The results were summarized in the Table 4 Table 4: The Influence of Human Resource and the Implementation of Inclusive Education in School Data presented in Table 4 shows that 95% of sampled teachers felt that employment of teachers with special education skills in secondary schools was not done by the government and only 5% of the respondents indicated that it was moderately done. Further, 54% of the participants revealed that non-disabled students moderately offer positive support to the physically challenged students while 27% of sampled teachers felt that non-disabled learners adequately support them. Only 19% ISSN: 2313-3759 www.ijsrit.com of teachers felt that they did not offer any support to the learners with disabilities. This study further, wanted to find out whether, learners with disabilities were elected in the student council as prefects. Majority of respondents (52%) indicated that the students were sometimes elected as prefects, while 38% stated that learners with disabilities were not included at all. Only 10% of teachers felt that the learners with disabilities were always elected as prefects. Finally, responses of teachers on staff refresher courses on inclusive education revealed that almost all teachers (87%) felt that such courses were not provided at all. Further, 13% of the respondents indicated that refresher courses were moderately offered at the school level. It is worth nothing that none of the schools adequately offered refresher courses on inclusive education to the teachers 4.4 Regression Diagnostics Regression diagnostics involved testing linear regression model assumptions: Normality, Linearity, Homoscedasticity and Multicollinearity. For the linear regression model to be valid, there has to be an inherent linear relationship between independent and the dependent variables, the regressionstandardized residuals have to be normally distributed, there should be constant variance of the standardized residuals along the corresponding predicted values and the independent variables should not be significantly correlated with each other. Prior to testing the four regression assumptions, the study removed outliers in order to remove extreme biased data. To remove the outliers, Mahalanobis distance, Centered Leverage distance and Cook's Distance statistics were used to look for extreme data. Using 'Select Cases' command in SPSS, the cases which had distance values above the aforementioned cutoff points were not selected for further linear regression analyses The school practices as independent variables and the implementation of inclusive education as the dependent variables were subjected to the linear regression diagnostics. For normality test, the Shapiro-Wilk's, P-value = 0.027, was less than 5% hence the data was not normally distributed. However, at 1% significance level, the data was normally distributed; the p-value of Shapiro-Wilk was 0.971. According to Ghasemi and Zahedias, (2012), a statistic approaching unity indicates sufficient normality in a data set for carrying out a linear regression assumption. For homoscedasticity, the observed p-values of Breusch-Pagan and Koenker were 0.315 and 0.213 respectively both greater than 5%, hence no heteroscedasticity. For linearity, in ANOVA, the pvalue was 0.000 < 0.05 hence significant linear relationships between dependent and independent variables. Finally, for multicollinearity; the VIF value was 1.317 < 5 and Tolerance was 0.760 > 0.5 indicates lack of collinearity amongst the independent variables Table 5: Model Summary for the Influence of Human Resources and Implementation of Inclusive Education \| R \| R Square \| Adjusted R Square \| \|---\|---\|---\| \| 0.360 \| 0.130 \| 0.093 \| Table 5, shows a moderate positive correlation between the influence of human resources and implementation of inclusive education with a correlation of 36.0 percent. The coefficient of determination (R Square) shows that 13.0 percent variations in the implementation of inclusive education were due to variations in the human resources. Table 6: ANOVA for the Influence of Human Resources and Implementation of Inclusive Education \| Model \| Sum of Squares \| df \| Mean Square \| F \| p-value \| \|---\|---\|---\|---\|---\|---\| \| Regression \| 174.949 \| 4 \| 43.737 \| 3.535 \| 0.001 \| \| Residual \| 1175.49 \| 95 \| 12.374 \| \| \| \| Total \| 1350.44 \| 99 \| \| \| \| Table 6 shows that the p-value was 0.001, less than 0.05 hence concluding that there was a significant linear relationship between the human resources and the implementation of inclusive education Table 7: Regression Coefficients for the Influence ofHuman Resources and Implementation of Inclusive Education \| Model \| Unstandardized \| \| Standardized \| t \| P- \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| Coefficients \| \| Coefficients \| \| value \| \| \| \| B \| Std. \| Beta \| \| \| Lower \| \| \| \| Error \| \| \| \| Bound \| \| (Constant) \| 14.122 \| 1.802 \| \| 7.839 \| 0.000 \| 10.547 \| \| Human resources \| 0.365 \| 0.104 \| 0.335 \| 3.518 \| 0.001 \| 0.159 \| Table 7 shows the results from regression analysis where human resources were the independent variable while implementation of inclusive education was the dependent variable. The unstandardized beta coefficient shows the increment of implementation of inclusive education with respect to the marginal increment in human resource. The regression equation of the linear regression analysis is: Where; Y – Dependent variable (Implementation of Inclusive Education) X 1 – School Resources e – Regression error term 4.5 Discussions From the study it is evidently clear that the government has not been employing special education teachers in public secondary schools in Kenya. This implies that most teachers in secondary schools lack the skills to handle learners with special education needs. This means that teachers use a lot of time trying to visualize on how to handle issues related to special education needs. In contrast, Meder ((2017), assert that teachers ought to have the time, support, and training to provide a high-quality education based on the student's individual needs. The need for teachers possessing both knowledge and the ability to teach students with special education needs is more critical today than ever before, especially now that such students learn in mainstream schools. In response, Ainscow & Sandill, (2010), suggest that in order to ease the burden, educational leaders would be ISSN: 2313-3759 www.ijsrit.com advised to encourage inclusive learning processes and to foster capacity building among the staff to enable them respond to learner diversity. Clayton et al., (2010), further suggests that schools ought to have sufficient designated staff members with appropriate skills and experiences to provide specialist support and advice to students with learning needs. The study findings revealed that non-disabled learners interacted positively with the students living with disabilities to the point of offering needed support. This was supported during focus group discussions, on the theme of working together. One focus group reported that in their school there was peer teaching to uplift the academic performance of weak students. The study results also revealed that there were a few students who found it difficult working with learners with physical disabilities. To affirm this, McCurdy & Cole, (2014) assert that peer support programs in schools create crucial benefits through social and adaptive behavior skills. Consistent with this notion, Riester-Wood, (2015) asserts that peer supports can be a powerful resource for helping learners with disabilities to be academically and socially successful. In affirmation, Asmus et al., (2017) assert that peer support activities and peer networking are valuable interventions that involve identifying and training learners with life skills necessary for future living The majority of teachers (52%) felt that learners with disabilities were sometimes included in the prefect body. This implies that most schools give such students, equal opportunities to be selected in the student council. This was confirmed by all focus group that students are not segregated from being prefects. The only problem is that they are not strong enough to convince other students to elect them. This type of campaigns puts them off due low self-esteem. It is apparent from results that teacher refresher courses on basic principles of handling learners with special education needs are not considered as a priority to several schools. According to the Ministry of Education frameworks of 2009, inadequate capacity of teachers to manage learners with special educational needs in regular schools remains an impediment to the implementation of inclusive education in Kenya. Citing research evidence on the significance of teacher training on handling learners with special education needs, Chiner & Cardona, (2013), point out that teacher training in special education needs can influence teachers' attitudes towards inclusion. Consistent with this, Oswald & Swart, (2011), assert that training of teachers become more positive in the inclusion of students with disabilities and in helping them with coping mechanisms. Inclusion represents a significant departure from traditional educational practice on special schools and integrated systems of learning. Pre-service and in-service training becomes a driving force that pushes teachers to develop the educational skills and techniques that can assist students with diverse needs Conclusion Allocation of adequate and skilled human resources is essential for the purpose of removing barriers to learning and ensuring full inclusion of students with disabilities. Teachers, non-disabled learners and other stakeholders ought to work collaboratively in order to facilitate the implementation of inclusive education. The role of each stakeholder is very significant in the modifying and restructuring of the schools. Appropriate use of key stakeholders especially teachers, can powerfully facilitate the elimination of challenges that they encounter during the teaching and learning process. Therefore, it is paramount for the government to employ trained teachers who can empower non-disabled learners and other stakeholders to support learners with disabilities Recommendations 1. Teachers are significant stakeholders in any learning institution. The government and schools should organize training on special education needs, to facilitate their change of attitudes and approaches on how to handle learners with diversity. The study recommends that short-term training; pre-service and in-service teacher education should be a priority. This will make teachers to have confidence as they execute their duties and responsibilities in the implementation of inclusive practices that support all learners 2. The study revealed that only one percent of teachers are employed in secondary schools have special education skills. The government should deploy teachers with special education skills in schools to make it possible to implement inclusive education. It is unfortunate that the employer has neglected this crucial role of providing schools with the right personnel 3. The role of non-disabled students and other key stakeholders in supporting learners with disabilities cannot be underestimated. The schools should train peer tutors and other key stakeholders to enable them meet the needs of all learners with diverse learning needs 4. The schools should to have a collaborative approach by creating back-up partnerships with parents, the community and disability associations. 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SUPREME COURT OF QUEENSLAND CITATION: Pickering & Anor v McArthur [2010] QCA 341 PARTIES: CARLYLE PICKERING & MAILY PICKERING (plaintiffs/appellants) v JOHN McARTHUR, (defendant/respondent) FILE NO/S: Appeal No 3943 of 2010 DC No 1533 of 2001 DC No 1938 of 2001 DIVISION: Court of Appeal PROCEEDING: General Civil Appeal ORIGINATING COURT: District Court at Brisbane DELIVERED ON: 7 December 2010 DELIVERED AT: Brisbane HEARING DATE: 24 September 2010 JUDGES: Margaret McMurdo P, Chesterman JA and Jones J Separate reasons for judgment of each member of the Court, each concurring as to the orders made ORDERS: 1. The application to adduce further evidence is refused. 2. The appeal is dismissed with costs, including the costs of the application to adduce further evidence. CATCHWORDS: APPEAL AND NEW TRIAL – APPEAL – GENERAL PRINCIPLES – ADMISSION OF FRESH EVIDENCE – IN GENERAL – where the appellants seek leave to adduce further evidence in the form of affidavits – where the respondents oppose the adducing of this evidence under r 766(1)(c) of the UCPR – where appellants argue that the further evidence is necessary to redress the omission of evidence of their efforts to progress the proceedings – whether the further affidavits are relevant – whether the affidavits contained further evidence not discoverable before the hearing – whether the further affidavits are admissible APPEAL AND NEW TRIAL – APPEAL – GENERAL PRINCIPLES – INTERFERENCE WITH DISCRETION OF COURT BELOW – IN GENERAL – JUDGE MISTAKEN OR MISLED – GENERALLY – where the originating claim was filed in 2001 – where the claim by the appellants alleged that the respondent, in his capacity as a masseuse and 'spiritual healer' had caused psychological injury, and in the case of one appellant, had performed unwanted sexual touching – where there is a significant delay between the events and the applications – where there is a delay as a result of the appellants conduct – whether the learned primary judge erred in finding that the appellants delay was not the result of a medical condition – whether solicitors were responsible for delay District Court of Queensland Act 1967 (Qld), s 118(3) Uniform Civil Procedure Rules 1999 (Qld), r 389(2), r 766 Brisbane City Council v Mainsell Investments Pty Ltd [1989] 2 Qd R 204, cited Mulholland v Mitchell [1971] AC 666, cited Thomson v Smith [2005] QCA 446, cited COUNSEL: M J Byrne for the appellants A P J Collins for the respondent SOLICITORS: Hatzis Lawyers for the appellants HWL Ebsworth for the respondent [1] MARGARET McMURDO P: Each appellant filed an application for leave to appeal from an order of the same District Court judge dismissing each appellant's application for leave to proceed and, on the respondent's applications, dismissing each appellant's action for want of prosecution with costs, including costs of the application. The appellants filed an application for leave to appeal under s 118(3) District Court of Queensland Act 1967 (Qld) from those orders. It was agreed at the hearing that this Court should treat those applications as appeals against the orders dismissing each appellant's action. Each appellant also sought leave to adduce further evidence under Uniform Civil Procedure Rules r 766. [2] I agree with the orders proposed by Jones J. [3] CHESTERMAN JA: I agree with Jones J that the appeals should be dismissed with costs, and with his Honour's reasons for proposing those orders. [4] In particular I agree that the appellant's applications to adduce further evidence on the hearing of the appeals should be refused. I would reach that conclusion whether or not special grounds had to be shown for the reception of the recent affidavits. The subject matter of the affidavits amounted to no more than a re-agitation of arguments advanced at first instance, and to the extent that the affidavits deposed to facts those facts could have been proved before the primary judge. [5] His Honour having exhaustively examined the material identified 1 all the factors, pro and con relevant to the exercise of the discretion to allow the actions to proceed, or to be struck out. As Jones J points out the factors were identical in both applications save for an additional factor in Maily Pickering's proceedings. Counsel for the appellants did not criticise his Honour's identification of the relevant factors. He did not submit that any relevant factor had been omitted or that 1 [2010] QDC 90 at [117]. an irrelevant one had been included. Nor was it said that the learned primary judge mistook the relevant law. The appeals can succeed, therefore, only if the results are so unreasonable as to indicate egregious error. [6] That conclusion is not open. The factors identified by the primary judge indicate, strongly in my opinion, that the correct orders were made. [7] Of particular importance is the fact that the determination of negligence alleged against the respondent depends (ignoring all other difficulties) upon what was said between the appellants and respondent on many occasions, some as long as 15 years ago. It is not possible to have a fair trial in such circumstances. 2 It is beyond the reasonable capacity of human memory to recall with accuracy, unaffected by self interest, the terms of such old conversations. [8] The appeals should be dismissed with costs. [9] JONES J: The appellants seek to set aside orders made in the District Court dismissing for want of prosecution their respective claims for negligence and the complementary orders refusing their respective applications for leave to proceed pursuant to R 389(2) of the Uniform Civil Procedure Rules (UCPR). Their Notice of Appeal (lodged by the appellants personally) is framed as an application for leave to appeal the decision pursuant to s 118(3) of the District Court of Queensland Act. The "decision" in fact determined six applications in three separate proceedings. Two of the proceedings were instituted by the respective appellants. The third proceeding instituted by another plaintiff raised identical issues but is not the subject of an appeal. The orders dismissing the proceedings for want of prosecution are final orders in respect of which leave is not required. The respondent raises no objection to the matter continuing as separate appeals against each of the decisions below. I shall for convenience refer to the claimants as "the appellants". [10] The grounds of appeal as stated in the Notice are:- "Provision of fresh evidence: Refuting the Defendant's Affidavit Steps taken refuting the two-year time delay." On the appeal, the principal ground argued was that the learned primary judge failed to give appropriate weight to the appellants' explanations for delay. The learned primary judge, quite properly, dealt separately with each application. The appeal ground is the same for both proceedings and the considerations are identical. In the circumstances the appeals were heard together making separate reference to the facts as necessary. [11] The appellants also seek leave to adduce further evidence in the form of separate affidavits sworn by each of them and filed on 16 June 2010. This application is opposed by the respondent on the basis that "special grounds", as required by R 766(1)(c) of UCPR, have not been shown such as to allow the admission of such evidence. I should deal firstly with the application to admit further evidence. Further evidence [12] Rule 766 relevantly provides:- 2 See HWC v The Corporation of the Synod of the Diocese for Brisbane [2009] QCA 168 at [70] per Fraser JA and [88] to [91] in my reasons for judgment. "766 General powers (1) The Court of Appeal – … (c) may, on special grounds, receive further evidence as to questions of fact, either orally in court, by affidavit or in another way; and… (2) For subrule (1)(c), further evidence may be given without special leave, unless the appeal is from a final judgment, and in any case as to matters that have happened after the date of the decision appealed against." (my emphasis) [13] The respondent points to the curiosity that the rule gives rise to in this case. If further evidence is sought to be led on the appeal against the dismissal of the proceedings for want of prosecution, then "special grounds" will need to be shown. If, on the other hand, the evidence is sought to be led only on the refusal of leave to proceed, special grounds need not be established. The resolution of the appeal will turn on the Court's attitude to the orders dismissing the proceedings. Consequently, special grounds will need to be shown. [14] The appellants argue that the further evidence is necessary to redress the omission of evidence of their efforts to progress the proceedings, to show that delay was caused by their then solicitors, 3 to assert that they did not know of the two year rule and that they were advised that they would not be prejudiced by delay. 4 Put on those bases, the appellants' request faces the initial hurdle that the material was well known and available at the time of the hearing. [15] The Court received the appellants' separate affidavits on the hearing of the appeal but reserved for further consideration the question of whether their contents were admissible under the rule. A perusal of the affidavits show that their contents do not refer to matters occurring after the date of the decision. [16] In his affidavit, the appellant Carlyle Pickering asserts that on 9 November 2009, that is, one day before the hearing, he instructed his solicitor to file an affidavit in response to the respondent's affidavit filed some five days earlier. The issues he sought to raise were identified in an email sent on his behalf by a Mr Doug Pope and intended to be conveyed to counsel 5 . Those issues included a reference to the organisation known as the Inner Energy Centre (IEC) of which the parties were members and to a corporation Justice Through Integrity Pty Ltd which was formed to redress perceived wrongs inflicted on members of the IEC by the respondent. The affidavit dealt with the respondent's subsequent employment, his conduct with respect to former members of the IEC, the cancellation of his membership in other organisations and his allegations of harassment by the appellants and others. The issues of this kind were canvassed in the materials considered by the learned primary judge and were found by him to be irrelevant to the question which he had to decide. He said:- "[62] The significance of much of this material was not apparent. If these proceedings were being pursued for a collateral purpose, namely as an act of revenge on the part of the supporters of the 3 Para 13 Affidavit of Carlyle Pickering – supplementary Appeal book at p 13. 5 Ex "CP3" to the affidavit of Carlyle Pickering filed 15 June 2010. 4 Ibid at p 20 paras [45] and [47]. defendant's former wife for his treatment of her, then it was not necessary to be concerned about dismissing the actions for want of prosecution, as that would mean that the proceedings were an abuse of process of the court, having been brought for a collateral purpose, and should be struck out or stayed no matter how expeditiously they were being pursued. Ultimately counsel for the defendant did not put the matter in those terms. [63] That this particular plaintiff may have been involved in other proceedings against the defendant may in theory be of some relevance in relation to the progress of this matter, since sometimes when there are multiple legal proceedings on foot one is advanced at the expense of others. But no argument was advanced on either side that that was a relevant consideration here. That the defendant feels that the proceedings are motivated by a desire to persecute and harass him is not I think a relevant consideration. Insofar as the defendant complains of stress, concern and hardship associated with the continuation of these proceedings, that is understandable and a relevant consideration in relation to applications of this nature, but otherwise what has happened in relation to other proceedings brought by these plaintiffs and other people against him, or other matters which he seeks to characterise as harassment, are really irrelevant to anything I have to decide." 6 [17] From my review of the material before the learned primary judge, I respectfully agree with his ruling as to irrelevance. The same conclusion applies to the proposed further evidence on this topic. It is simply not relevant. The suggestion that the decision making process may have been tainted by having one set, rather than two sets, of irrelevant evidence does not deserve further comment. 7 [18] The other aspects of the further affidavit to which the court's attention was drawn was a fact that the appellant Carlyle Pickering attended on his then solicitor on six occasions between February – December 2008, 8 that he was unaware of the two year requirement of Rule 389(2) and that his then solicitor removed from her supporting affidavit this detail of his state of knowledge. [19] Since both appellants were represented by solicitors throughout the course of this proceeding, their personal knowledge of the rule was not of any significance in making an explanation for the delay. Until June 2007, the delay was largely explained. The learned primary judge properly focussed on the period of delay thereafter. The supporting affidavit by the solicitor did make reference to the appellants' attendances on her 9 but the only tangible result of those attendances was the taking of another statement and the decision in January 2009 to obtain a fresh report from Dr Quadrio who referred to that statement. The further evidence attempts to show that the appellants' former solicitors bore some responsibility for the delay. Such a suggestion is contrary to the manner in which the case below was conducted. The learned primary judge in respect of each of the applications before him noted that "It was not submitted that the delay was caused by the plaintiffs' 6 Appeal book p 574. 8 Affidavit Carlyle Pickering sworn 15 June 2010 para [15]. 7 Transcript p 1-12/40. 9 Para [61] Affidavit of Laura Neil sworn 13 October 2009. lawyers being dilatory". 10 If there had been any basis for attributing blame to former solicitors one would have expected such a prospect would have been explored by experienced counsel representing the appellants and if appropriate to have been raised in submissions. [20] The further affidavit of the appellant, Maily Pickering, did not detail any new significant fact that was not available at the time of the hearing. Much of its terms descended into argument attempting to re-litigate the issues determined below. In short, there was nothing in the further affidavits which provided any illuminating explanation for delay during the relevant period. In similar vein, the appellants' separate affidavits sworn on 15 April 2010 couched, mainly in argumentative terms, do not advance any special grounds for its admission. [21] The principles upon which further evidence will be received was discussed by the Court of Appeal in Thomson v Smith 11 where Muir JA cited the reasons of Lord Wilberforce in Mulholland v Mitchell 12 :- "I do not think that, in the end, much more can usefully be said than, in the words of my noble and learned friend, Lord Pearson, that the matter is one of discretion and degree. Negatively, fresh evidence ought not to be admitted when it bears upon matters falling within the field or area of uncertainty, in which the trial judge's estimate has previously been made. Positively, it may be admitted if some basic assumptions common to both sides, have clearly been falsified by subsequent events, particularly if this has happened by the act of the defendant. Positively, too, it may be expected that courts will allow fresh evidence when to refuse it would affront common sense, or a sense of justice." [22] Guidance on the exercise of discretion to admit further evidence can also be found by consideration of decisions on preceding rules of court which require firstly that the further evidence could not have been obtained with reasonable diligence for use at the trial: second, the evidence must be such that if given it would probably have an important influence on the result of the case although it need not be decisive: third, the evidence must be such as to be apparently credible. 13 The evidence proffered as further evidence by the appellants does not satisfy the first two of those requirements and no comment is necessary about the third. Such of the evidence that had any relevance, could only bear upon the primary judge's assessment of the explanation. In the main, the evidence touched upon matters that he had properly considered. I would not, therefore, exercise my discretion to receive the further evidence. Background facts [23] The appellant Carlyle Pickering is the father of the appellant Maily Pickering. The appellants filed their respective initial Statements of Claim on 30 March 2001 and 26 April 2001. Notices of Defence to the respective claims were filed on 28 May 2001. [24] The pleadings show that the respondent carried on the business of a massage therapist and that he provided "spiritual healing" services on occasions. He had no 10 Reasons at [111]. See also at paras [81] and [96]. 12 [1971] AC 666. 11 [2005] QCA 446. 13 Brisbane City Council v Mainsell Investments Pty Ltd [1989] 2 Qd R 204. formal qualifications or expertise as a counsellor. Such services as he provided were sought by the appellants between the years 1996 and 1999. In 1999 there was a falling out between the respondent and the appellants and other members of the Inner Energy Centre following allegations against him of improper conduct. [25] The appellant, Carlyle Pickering, alleges that the respondent's counselling of him included persistent advice that he should leave his de facto partner. The appellant accepted the advice and acted upon it by terminating the relationship. As a result the appellant claims he suffered a psychological injury. 14 [26] Maily Pickering alleges that the respondent's counselling of her included persistent and sometimes contrary advice that she should move out of a residence she shared with a flatmate and that her relationship with her father was inadequate. This counselling caused her to become alienated from her father. She further alleges that the respondent engaged in inappropriate behaviour including unwelcome sexual touching. As a consequence she suffered a chronic adjustment disorder and chronic low grade depression. 15 [27] The respondent denies each of the allegations. He denies also that he owed a duty of care or that his counselling was such as to exercise any influence over the appellants or that any psychological injury resulted from his counselling or conduct. [28] The appellants describe the "spiritual healing" in Particulars dated 8 April 2006 as being constituted by:- (a) attempting to heal damage in or improve the emotions, personality or psyche of the person; (b) attempting to assist a person; (c) assisting a person to obtain a fuller understanding of themselves, their attitudes, and approaches to life; … (f) to aid or enable a person to sustain relationships of substance and longevity. 16 The appellants are unable to particularise the dates on which such counselling/spiritual healing occurred. 17 The respondent claims that he did keep clinical records but these were damaged by flood and were subsequently destroyed. [29] The resolution of issues of this kind, obviously give rise to questions of credit based upon what was said at various counselling sessions. There are no clinical records now available to permit even the accurate fixing of the dates of any consultation. Resolution of the factual issues are always difficult in a case of this kind, even when there is no delay. His Honour drew attention to this difficulty in his reasons at paragraph [66]. 18 [30] The learned primary judge makes findings as to the history of the progress of both proceedings. The detail can be observed in the following chronology as it relates to the appellant Carlyle Pickering. The history for the proceeding by Maily Pickering is not materially different. 14 Further Amended State of Claim – Appeal book pp 477-483. 16 Appeal book p 516. 15 Further Amended Statement of Claim – Appeal book pp 485-490. 17 Appeal book p 115. 18 Appeal book p 575. 2001 30 Mar/26 Apr Statements of Claim filed 8 May 2001 Defences filed 28 May Replies 2 Nov Particulars sought 2002 17 Dec Particulars delivered (after delay of 13 months) 2003 26 Jun List of documents served 14 Nov Statement of Loss and Damage served 17 Dec Amended Statement of Claim filed 2004 16 Jan Stay of proceedings until psychiatric examination undertaken 11 May Amended Statement of Claim struck out 11 Jun Application to strike out further amended Statement of Claim 2005 20 Apr Decision on application – 1 paragraph struck out 18 May Further amended Statement of Claim 16 Aug Appeal against refusal to strike out whole claim dismissed by Court of Appeal 23 Nov Defence to further amended Statement of Claim 7 Dec Reply filed 2006 Jan-Feb Particulars sought and delivered May-Jul Discussions on mediation 3 Aug Draft statement of loss and damage to appellant 2007 9 Jan Revised statement of loss and damage sent to appellant 5 Apr Signed statement of loss and damage returned (delivered to Respondent’s solicitors on 16 Apr) 9 May Request for trial date sent to respondent's solicitors 25/26 Jun Trial on charges against respondent ends with nolle prosequi Jul-Aug Unsuccessful settlement negotiations 22 Oct Solicitors confer with psychiatrist (Dr Schoener) 2008 21 Feb Applicant confers with solicitors 1 May Applicant confers with solicitors (Mrs Neil) who advised Commenced preparations to brief counsel 22 May Applicant confers with solicitors 2 Jun Applicant confers with solicitors 30 Aug Applicant confers with solicitors 16 Dec Applicant confers with solicitors for an unsuccessful attempt to Reopen negotiations 2009 Jan Applicant request examination by psychiatrist (Dr Quadrio) 12 Mar Examination by Dr Quadrio 22 Jun Dr Quadrio's report received 18 Aug Application for leave to proceed 23 Oct Application to strike out for want of prosecution [31] This history has to be considered as being a response to events occurring between 1996 and 1999, some 10-13 years prior to the applications. Having commenced the proceeding only shortly before the expiration of the limitation period, the Statement of Claim did not reach its final form until May 2005 and the Statement of Loss and Damage is still not compliant. 19 The delay in providing particulars in 2002 and the lack of progress between 2006 and mid 2007, are significant. Much of the delays resulted from the appellants' failure to attend to particulars or to his statement of loss and damage. The fact that criminal proceedings were on foot, justified the respondent in not signing a Request for Trial but this was no barrier to the appellants preparing for trial. The hearing below [32] The applications for leave to proceed were filed on 18 August 2009. The appellants argued that the applications were strictly speaking unnecessary because two separate steps in the proceeding had been taken within the preceding two years. The conduct relied upon as constituting such steps were the disclosure of tax returns on 18 May 2009 and the provision by way of further disclosure of copies of notices of non-party disclosure on 28 October 2008. The learned primary judge found that neither was a step in the action for the purpose of R 389(2) of the UCPR and that the last step taken as required by the Rules was the appellants' delivery of a request for a trial date. The respondent refused to sign this request whilst criminal proceedings against him were still on foot. The criminal proceedings ceased on or about 25 June 2007 but the appellants did not thereafter pursue the respondent for a response to the request for a trial date. [33] Accepting this as the starting point for the respondent to comply with the request, the learned primary judge found that no step had been taken after that day and consequently the applications for leave to proceed were necessary. [34] The conclusion reached by the learned primary judge is stated in the following terms:- "[117] Broadly speaking the factors favouring allowing the matter to proceed are as follows: 1. If leave is refused, the plaintiff will lose any prospect of recovering damages in respect of the matters claimed. I acknowledge that this is a factor of some importance. 2. There have been no breaches of court orders or directions. 3. Some, though not very much, of the delay has been attributable to factors beyond the plaintiff's control. Reasons paras [37]-[38] Appeal book p 567. On the other hand, there are a number of factors weighing against allowing the matter to proceed: 4. The delay overall has been quite substantial, that is to say, there has been a long time elapsed since the events giving rise to the litigation. 5. The proceeding depends on the resolution of conflicts of oral testimony, about a number of matters extending over a significant period of time. In such circumstances, a delay of this length has made it difficult to conduct a fair trial. 6. There are a number of significant difficulties facing the plaintiff in relation to liability, and if he were successful it appears unlikely that more than a moderate award of damages would be made. 7. There have been lengthy periods when nothing has been done by or on behalf of the plaintiff to carry the proceeding forward, most of this delay being unexplained. 8. For most of the period since the action was commenced the things the plaintiff did were in response to steps taken, requests from or prompting by the defendant. 9. There is no indication that there has ever been any serious attempt properly to prepare the matter for trial or to bring it on for trial. The plaintiff appears willing to wound but reluctant to strike. 10. There has been a clear and prolonged breach of the implied undertaking in r 5(3). 11. It is unreasonable that the defendant has had the continuing threat of this litigation hanging over his head for so long, and he should be entitled to get on with his life and plan his affairs without it." 20 [35] In his separate consideration of Maily Pickering's application, the learned primary judge reached the same conclusions but relied on a further matter, namely, that the plaintiff's "rehabilitation has been impeded by the delay in the action and would probably be further affected by allowing it to continue". 21 [36] The learned primary judge was guided in the exercise of his discretion by a number of well known authorities. 22 What underpins these conclusions is his Honour's detailed analysis of relevant considerations which, apart from delay, included:- * The appellants' prospects of success; 23 * The lack of readiness for trial having regard to the inadequate statement of loss and damage; 24 and * The prejudice to the defendant. 25 No challenge has been made to his Honour's conclusions in relation to the prospects of success and the prejudice. In my view, they are not open to challenge on the 20 Appeal book pp 589-590. 22 Reasons paras [113]–[116] - Tyler v Custom Credit Corp Ltd & Ors [2000] QCA 178; Quinlan v Rothwell [2002] 1 Qd R 647; Brisbane South Regional Health Authority v Taylor (1996) 186 CLR 541; Hall v RH & CE McColl P/L [2007] QCA 182. 21 Appeal book p 592. 23 Reasons paras [68]-[72] Appeal book p 577. 25 Reasons para [82] Appeal book p 579. 24 Reasons paras [37]-[38] Appeal book p 567. material relied upon. The question of readiness for trial is challenged on the basis that it would not take much to complete the work necessary to prepare the case. His Honour was entitled to conclude to the contrary having found "the most remarkable deficiency is that there has been a complete failure to satisfy the requirements of r 547(3)(g)". 26 Explanation for delay [37] On the question of delay, his Honour considered the impact of the psychiatric condition of the appellant Carlyle Pickering on the delay. Carlyle Pickering in his affidavit supporting the application, deposed that – "6. Since the commencement of my claim, my diminished ability to think and concentrate has made it very difficult for me to gather and produce the information required by my solicitors in order to progress my claim. 7. In particular, my personal involvement in gathering information required by my solicitors has caused me a substantial amount of distress due to the fact that doing so results in my having to relive my experience with the Defendant, which ultimately exacerbates the abovementioned symptoms of my injury. 8. Any involvement I am required to have with respect to my legal proceedings also brings about intense feelings of guilt over having introduced my daughter, Maily Pickering, to the Defendant, and the repercussions of their subsequent relationship." 27 [38] The appellants' then solicitor in her affidavit confirmed that he gave instructions to her to this effect 28 but she does not depose that she personally observed any such reduced capacity to concentrate or to gather information. [39] In his reasons, the learned primary judge said:- "[30] … the report noted that the plaintiff does not have much energy (p 4) and that he presents as humourless and intense with a grim and brooding quality, withdrawn interpersonally and with a pervasive sense of pessimism: p 7. Reference was also made to his despairing attitude, and his ongoing depression, despair and bitterness: p 9. Both the plaintiff in his affidavit and Ms Neil in her affidavit speak of his symptoms as including a reduced capacity to concentrate and ongoing indecisiveness, but I cannot find reference to either of these matters in the psychiatrist's report. [31] The plaintiff in his affidavit said that his diminished ability to think and concentrate have made it very difficult to gather and produce the information required in order to progress the claim. He also complained about suffering distress from having to relive his experiences with the defendant for the purpose of gathering information required by the solicitors, and that this provoked intense feelings of guilt over having introduced his daughter to the defendant. He said that as a result he has often been unable to 26 Reasons [37] Appeal book p 567. 28 Para [7] to affidavit sworn 13 October 2009. 27 Appeal book p 62. respond to requests for information from the solicitors as promptly as he could have but for this condition. It is difficult to reconcile what was said in this affidavit with the psychiatrist's statement that he is intensely preoccupied with his dispute with the defendant. However, the plaintiff was not cross-examined on his affidavit. … [118] With regard to the plaintiff's psychiatric problems, accepting at face value what is said in his affidavit, those problems do not explain the great bulk of the delay that has occurred, unless it is because those problems also led him to be reluctant actually to bring the matter on for trial. I suppose that if he finds it distressing to think about the matter for the purpose of gathering information for, or even just putting his signature on, a statement of loss and damage, it is going to be very difficult for him actually to go into the witness box and expose himself to cross-examination. Perhaps his hope was that if the matter dragged on long enough, the defendant would in effect pay him some money to go away. In any event, I do not accept that this is a case where the plaintiff's psychiatric state has meant that the very slow pace of the litigation so far has been the best he could reasonably achieve. On the contrary, I regard the conclusion as irresistible that over an extended period of time there has been no serious attempt to bring the matter to trial or to prepare it properly for trial. 29 (my emphasis) Issues on appeal [40] The appellants identified two points in contending that the learned primary judge erred in drawing his conclusions about the lack of explanation for the appellants' delay - 1. That his Honour erred in holding that there was no reference in the report of Dr Quadrio to the plaintiff's claim of symptoms of reduced capacity to concentrate and ongoing indecisiveness; and 2. That the failure to get the matter ready for trial was due to the dilatoriness of the appellant's then solicitors rather than the appellant himself. [41] As to the first of these, reliance is placed on the contents of Dr Quadrio's report 30 . His Honour noted the opinion of Dr Quadrio as set out in the body of her report and contrasted that with the claims of the appellant referred to in para [29] above. What his Honour overlooked was Dr Quadrio's reference, in the Appendix to her report, to the DSM IV criteria for Major Depressive Episode. What, on its face, appears to be a simple list of standard criteria was, by the use of asterisks, identified as symptoms complained of by the appellant. Included in the list is:- "(8) Diminished ability to think or concentrate, or indecisiveness, nearly every day (either by subjective account or as observed by others)." For the diagnosis of major depressive episode to be made, that symptom, together with four others, are required to be present every day over a two week period. 29 Appeal book p 565 and p 590 30 Ex "LAN1" to affidavit of Laura Neil sworn 13 October 2009 (not included in the Appeal book). [42] There is no evidence of when, or for what period, the episode existed nor how that symptom impacted on the appellant's daily life nor whether he sought treatment for it having regard to the obvious inconvenience it is said to have caused. Dr Quadrio did not record any complaint by the appellant of any difficulty in gathering or producing information. [43] It is easy to understand how the learned primary judge would overlook evidence presented in such an oblique manner. But the question is, whether such an oversight has resulted in any error. It is difficult to know what weight is to be given to symptoms which are identified only in the precise terms of a specific criterion without any detail as to how the symptom impacted on the appellant's daily life. Moreover, though the symptom may have existed for a short period, or periods, it is difficult to conceive that such a symptom would be present over the whole of the extended periods of inaction which characterise the delay in this matter. [44] In the part of the report dealing with the appellant's actual complaints, there is no reference to diminished capacity to think or to indecisiveness. The only equivalent reference is by the words "Mr Pickering is less focussed on work and is not as effective as he used to be". It is difficult to get any clear picture as to the extent to which the appellant's mental state impaired his capacity to provide his solicitor with information. The report, in the list of the documents referred to by Dr Quadrio, mentions a statement by Mr Pickering in December 2008 which indicates that the appellant did have the capacity to give detailed information up to that time. It seems clear from the terms of Dr Quadrio's report that the appellant was still able to engage in work despite significant physical limitations and the fact that he suffered a stroke in 2006. One is left with the impression that whatever impairment the appellant had in his ability to concentrate, it was not so disabling as to prevent his giving appropriate instructions to his solicitors for such a lengthy period of time as is manifested by the delay in this case. His Honour found, correctly in my view, that "There is nothing to suggest that any part of the subsequent delay (after 2007) was attributable to any difficulty in obtaining instructions from the plaintiff". 31 His other findings highlighted above are quite consistent with the evidence and not at odds with the appellant suffering the symptom of diminished ability to think or concentrate for short periods. [45] The oversight by the learned primary judge did not, in my view, constitute an error such as has caused his discretion to miscarry. The discretion is based on a number of considerations of which the explanation for delay is but one part. Those considerations have been clearly articulated in his Honour's Reasons and do not require repetition here. Of most significance, is the conclusion that the delay "has made it difficult to conduct a fair trial". 32 [46] The second issue is the contention that the delay was in the main, or in part, due to the dilatoriness of the appellant's then solicitor. This contention is difficult to maintain. It is, to a large extent, based upon the acceptance of the further evidence which I have determined should not be received but the evidence led below did at least invite a consideration of the solicitors' role in the history of the delay. His Honour found that "the material before me strongly suggests that the plaintiff's solicitors have not ever made any serious attempt to get this matter ready for trial and were not doing so at the time when the issue about delay was pointed out by the 31 Reasons [32] Appeal book 565. 32 Reasons paras [117] and [122] Appeal book p 589 and 592. Powered by TCPDF (www.tcpdf.org) defendant's solicitors". 33 It is clear from this statement that his Honour was critical of the conduct of the solicitors, despite the fact that no submissions were made of "the plaintiffs' lawyers being dilatory". [47] Delay on the part of solicitors is often a relevant consideration in applications of this kind. The weight of such a consideration, amongst other competing considerations, varies considerably depending upon the client's level of sophistication or education, the complexity of the issues and the professional relationship. What is clear in this case is the frequency of contact between the appellants and their then solicitor. Despite that contact the matter did not progress, thus justifying his Honour's finding referred to in the preceding paragraph. I am not persuaded that his Honour's discretion has miscarried by reason of any failure to appreciate the role of the appellant's former solicitors in the progress of their claims. [48] I would, therefore, make the following orders in respect of each appeal: 1. The application to adduce further evidence is refused. 2. The appeal is dismissed with costs, including the costs of the application to adduce further evidence.
Integrated Inspection by the Care Commission and HM Inspectorate of Education of Aileymill Nursery School Inverclyde 18 April 2007 Aileymill Nursery School Auchmead Road Greenock PA16 0JE The Regulation of Care (Scotland) Act, 2001, requires that the Care Commission inspect all care services covered by the Act every year to monitor the quality of care provided. In accordance with the Act, the Care Commission and HM Inspectorate of Education carry out integrated inspections of the quality of care and education. In doing this, inspection teams take account of National Care Standards, Early Education and Childcare up to the age of 16, and The Child at the Centre. The following standards and related quality indicators were used in the recent inspection. Evaluations made using HMIE quality indicators use the following scale, and these words are used in the report to describe the team's judgements: Very good: major strengths Good: strengths outweigh weaknesses Fair : some important weaknesses Unsatisfactory : major weaknesses Reports contain Recommendations which are intended to support improvements in the quality of service. Any Requirements refer to actions which must be taken by service providers to ensure that regulations are met and there is compliance with relevant legislation. In these cases the regulation(s) to which requirements refer will be noted clearly and timescales given. HOW TO CONTACT US If you would like an additional copy of this report Copies of this report have been sent to the headteacher, staff and the education authority. Copies are also available on the Care Commission website: www.carecommission.com and HMIE website: www.hmie.gov.uk. If you wish to comment about integrated pre-school inspections Should you wish to comment on any aspect of integrated pre-school inspections, you should write in the first instance to Kenneth Muir, HMCI, at HM Inspectorate of Education, Denholm House, Almondvale Business Park, Almondvale Way, Livingston EH54 6GA. Our complaints procedure If you have a concern about this report, you should write in the first instance to either: Complaints Coordinator Hazel Dewart Headquarters Care Commission Compass House Riverside Drive Dundee DD1 4NY HM Inspectorate of Education Denholm House Almondvale Business Park Almondvale Way Livingston EH54 6GA If you are not satisfied with the action we have taken at the end of our complaints procedure, you can raise your complaint with the Scottish Public Services Ombudsman. The Scottish Public Services Ombudsman is fully independent and has powers to investigate complaints about Government departments and agencies. You should write to The Scottish Public Services Ombudsman, Freepost EH641, Edinburgh EH3 0BR. You can also telephone 0800 377 7330 (fax 0800 377 7331) or e-mail firstname.lastname@example.org. More information about the Ombudsman's office can be obtained from the website: www.spso.org.uk. A copy of the HMIE complaints procedure is available from the HMIE website at www.hmie.gov.uk or by telephoning 01506 600 258. Crown Copyright 2007 Care Commission HM Inspectorate of Education This report may be reproduced in whole or in part, except for commercial purposes or in connection with a prospectus or advertisement, provided that the source and date thereof are stated. Introduction _______________________________ Integrated Inspection by the Care Commission and HM Inspectorate of Education of Aileymill Nursery School Inverclyde Aileymill Nursery School was inspected in January 2007 as part of the integrated inspection programme by the Care Commission and HM Inspectorate of Education. HMIE carried out this inspection on behalf of both organisations and consulted the Care Commission about its findings. The nursery catered for pre-school children aged three to five years. It was registered for 75 children attending at any one session. At the time of the inspection the total roll was 115. The environment Standard 2 The accommodation comprised of two large playrooms, a room used for physical play and a smaller room used to promote aspects of early maths and discovery. Children were able to move freely between playrooms. The playrooms were bright and had a very spacious feel. Staff had made very good use of all available space to create a very interesting and stimulating learning environment. Children had good access to a wide range of appropriate resources and activities to support their development and learning through play. They had direct access from one of the playrooms to the fully-enclosed outdoor play area. Quality of children's experience Standard 4 & 5 Staff engaged very skilfully with children to support them in their play and ensure they were suitably challenged. They encouraged children to think and question when engaging in an activity. They knew children very well as individuals and were very responsive to individual needs. The learning environment provided children with a great deal of choice and children engaged enthusiastically in planned learning experiences. Children were highly motivated and displayed high levels of concentration during play. The balance between adult-led activities and activities children could choose for themselves was very good. Approaches to assessment and planning were very good. Individual children's profiles were well maintained. Staff systematically gathered a wide range of useful observation and assessment information. Children's needs were discussed on a regular basis and next steps in learning were clearly identified. Staff met weekly to discuss children's interests and plan an appropriate range of learning experiences. Planning was clearly focused on what children were expected to learn. Features of the programmes for children included the following. * The programme for emotional, personal and social development was very good. Children were happy in nursery. Some children had recently started nursery and were very well supported by staff in becoming familiar with established rules and routines. Children displayed a great deal of perseverance when completing puzzles and jigsaws. They were very independent in accessing snack and helping themselves to fruit and milk. Children played very well together and were very caring towards each other. They approached activities with confidence. They had been developing a good understanding of other cultures when learning about the Chinese New Year. * The programme for communication and language was very good. Children had regular access to the well-resourced and comfortable book corner and were learning about the language and layout of books. They used puppets well and enjoyed listening to and being involved in retelling stories. Reference books were well used by children to find out interesting information. Children were enthusiastic in their use of writing tools and used notepads and clipboards in all areas of the nursery. Staff ensured children had many opportunities to recognise their name in print and develop an understanding of letter sounds in their name. Staff provided very good opportunities for children to develop skills in listening and talking in small groups. * The programme for knowledge and understanding of the world was very good. Children confidently used a large touch-screen computer to look at images they had recorded. They used programmable toys to learn about direction and pathways. Mechanical and electronic scales were used well to learn about weight and make comparisons. Children explored the properties of ice in the water tray and were learning about the changing properties of materials. They were learning about the properties of bamboo and other plants. They had been involved in planting activities and were learning about the process of growth. Children were developing an understanding of the importance of recycling. * The programme for expressive and aesthetic development was very good. Children used clay to sculpt and create animals. They used a wide selection of junk and collage materials to create models and express themselves freely. Staff encouraged children to participate in singing and dancing activities daily. Children had fun dancing expressively to Chinese music. They used a good range of high-quality musical instruments freely to explore sound and beat. Children dressed up and took on adult roles in the imaginative play restaurant. They used construction toys and wild animals to develop small world imaginative play. * The programme for physical development and movement was very good. Children were developing good hand control when using scissors, writing tools, puzzles and computers. They enjoyed regular access to both the outdoor play area and the designated physical room. Children took part in a Management Standard 14 short exercise routine and had fun engaging in energetic activity in the outdoor play area. They used a large climbing frame to help develop coordination skills. Children visited a sports centre located next to the nursery on a weekly basis and a visiting specialist promoted gymnastics and dance. Support for children and families Standard 6 Staff provided very good support for children and families. Staff had developed sound relationships with parents and carers. Parents stated in the pre-inspection returns that they found staff to be both supportive and approachable. Parents were kept well informed about life in the nursery through regular newsletters, informative notice boards and daily informal contact. Effective procedures were in place to support children as they moved on to primary school. The nursery had developed close links with a number of primary schools and a well-developed transition programme was in place. Documents detailing children's progress were shared with parents and receiving primary schools. Regular parent workshops helped staff explain the work of the nursery and aspects of the curriculum. The nursery provided very good support for children requiring additional help with their learning. There were well-established links in place with a number of external support agencies such as speech and language therapy and other specialists. Staff were very familiar with the use of individualised educational programmes and worked closely with parents and visiting specialists in forming these. The headteacher provided very good leadership. She demonstrated a high degree of professional knowledge and had established very good relationships and clear lines of communication with parents, children and staff. She was committed to the continuous development of the nursery and provided strong leadership for learning. The highly effective and dedicated staff team worked very well together to provide high-quality experiences for children. A systematic approach to staff development which helped identify training requirements for individual staff was established. Staff had access to a wide range of training opportunities to help support their role within the team. Regular staff meetings provided useful opportunities for staff to raise any issues or concerns. Staff were familiar with the role of the Scottish Social Services Council and its Codes of Practice. They were aware of their responsibilities in protecting children and all were suitably trained in child protection. All staff were involved in evaluating the work of the nursery and in identifying key areas for improvement. An appropriate development plan was in place and key targets such as improving children's access to information and communications technology were being addressed. The headteacher closely monitored children's progress in all areas of their development and learning. A systematic and rigorous approach to monitoring all aspects of the provision was embedded in practice. Key strengths Other Issues Response to recommendations or to requirements made at previous inspection At the last Care Commission inspection there were no recommendations and no requirements. Recommendations for improvement * Maintain the high quality of provision, and continue to develop areas as identified within the school improvement plan. Care Commission Officers and HM Inspectors have asked the pre-school centre and education authority to prepare an action plan indicating how they will maintain the high quality of provision. The plan will be available to parents and carers. In liaison with the pre-school centre and education authority, Care Commission Officers and HM Inspectors will monitor progress to ensure that the high quality of provision is maintained. Donald Currie Shona E.S.Taylor HM Inspectorate of Education * The bright, stimulating, well-planned and well-organised learning environment. * The highly-effective staff team who worked very well together to both support and challenge children in their learning. * Very good procedures for planning, and the very effective use of assessment information in identifying next steps in children's learning. * Very good curriculum programmes in all key aspects. * Very positive relationships between staff and parents and the very good support for children requiring additional help with their learning. * Strong and effective leadership for learning demonstrated by the headteacher.
Don't Ask the Doctor: The Prohibition on Ex Parte Communications with Non-Party Treating Physicians By Stephanie M. Rippee Stephanie M. Rippee is a shareholder with Baker, Donelson, Bearman, Caldwell & Berkowitz located in the ﬁrm's Jackson, Mississippi, ofﬁce. She focuses her practice on the defense of products liability litigation, commercial litigation, and personal injury litigation. She graduated from Vanderbilt University School of Law in 1991. She is a Fellow of the American Bar Foundation and serves on the Women in the Profession Committee of the Capital Area Bar Association. For my entire legal career, I have known that when I am defending a case in Mississippi, I cannot have ex parte communications with plaintiff's treating physicians, i.e., I cannot speak with plaintiff's treating physicians about plaintiff's condition and/or treatment without plaintiff or his representative being present. I often get puzzled looks from out-of-state lawyers, who cannot imagine properly defending a personal injury case without having candid conversations alone with plaintiff's doctors. Recently, I was called upon to give out-of-state counsel a better answer than my standard "just 'cause." She wanted to know why. So I took a minute to look up the answer again. Here is the explanation for the folks out there (like me) who know this rule of law, but who have forgotten the exact details of "why." Scope of Physician-Patient Privilege and Waiver Discovery is only allowed of relevant, non-privileged information. Miss. R. Civ. P. 26(b)(1). Certain medical information, such as communications between a patient and his medical providers, are deemed to be privileged. Therefore, even if the information is relevant, it ordinarily is not discoverable. An examination of the physician-patient privilege is the starting point to explain the prohibition on ex parte communications with treating physicians. In Mississippi, the scope of the physician -patient privilege and the conditions under which it can be waived were concepts originally governed by statute. See The MDLA Quarterly • Summer 2010 Miss. Code Ann. § 13-1-21 (Rev. 2002). Effective January 1, 1986, Mississippi adopted formal Rules of Evidence, including Rule 503 which governs this privilege and its waiver. There currently appears to be a conﬂict in the case law as to whether the Rules of Evidence supercede prior evidentiary statutes such as Miss. Code Ann. § 13-1-21, or whether both the rule and the statute govern issues of privilege. See Franklin Collection Service, Inc. v. Kyle, 955 So. 2d 284, 288 (Miss. 2007) ("Because Section 13-1-21 is an evidentiary statute, its provisions are subject to, and superseded by, provisions of the Mississippi Rules of Evidence."). But see Thornton v. Statcare, PLLC, 988 So. 2d 387, 390 (Miss. Ct. App. 2008) (applying both the statute and the rule to privilege issue and citing Kyle as support). There is at least an argument that either or both can apply to any issue of privilege, so both are brieﬂy examined below. Miss. R. Evid. 503 and Waiver The privilege created by Rule 503 allows a patient to refuse to disclose (and to prevent others from disclosing): 1) knowledge derived by the treater by virtue of his professional relationship with the patient; and 2) conﬁdential communications made for the purpose of diagnosis or treatment of his physical, mental or emotional condition. Miss. R. Evid. 503(b). Knowledge derived by the treater has been held to include such things as test names and results. Kyle, 955 So. 2d at 289. A communication is deemed conﬁdential if it was not intended to be disclosed to a third person except in the context of facilitating treatment. The third persons to whom disclosures can be made without destroying conﬁdentiality include not only the treaters themselves, but also other persons needed to facilitate the treatment or the communication, such as family members. Miss. R. Evid. 503(a) (4); Roman Catholic Diocese of Jackson v. Morrison, 905 So. 2d 1213, 1219 (Miss. 2005) (disclosure to Diocese of priests' counseling for sexual molestation of children did not waive privilege). The privilege applies to communications with licensed physicians treating physical, mental or emotional conditions, as well as licensed or certiﬁed psychologists, and is more properly referred to as the "Physician and Psychotherapist – Patient Privilege." Miss. R. Evid. 503(a) (1) and (2). The privilege also applies to communications with any person a patient reasonably believes to be such a treater. Id. The privilege does not apply to communications with licensed social workers. Touchstone v. Touchstone, 682 So. 2d 374, 376 (Miss. 1996). The privilege belongs only to the patient. Scott v. Flynt, 704 So. 2d 998, 1004-05 (Miss 1996). It can be claimed by a living patient, by a living patient's guardian or conservator, or by the personal representative of a deceased patient. Miss. R. Evid. 503(c). A treater may claim the privilege, but only on behalf of the patient. Id. Miss. R. Evid 503(d) sets forth four speciﬁc instances when the privilege is held not to exist: 1) commitment proceedings; 2) court-ordered physical or mental examinations; 3) a breach of duty dispute between the physician/ psychotherapist and the patient (i.e., a malpractice claim or a medical fee dispute); and 4) communications that a court, in its discretion, deems relevant to certain custody, visitation, adoption or termination actions. Id. Because the privilege belongs to the patient, only the patient can waive it. Miss. R. Evid 503(c). The rule describes two 10 speciﬁc actions by a patient that constitute waiver: 1) delivery of written notice or the ﬁling of a claim against a person for professional services rendered (i.e., a malpractice claim); and 2) placing any aspect of his physical, mental or emotional condition at issue in his pleadings (such as by a request for damages). Miss. R. Evid. 503(e) and (f). Waiver of the privilege, however, is limited and conditional in both personal injury actions and medical malpractice actions. Scott, 704 So. 2d at 1000-01, 1003. The party is deemed to have waived the privilege only to the extent he places his condition at issue, and thus, only information relevant to that speciﬁc condition is discoverable. Any aspect of his condition that is not placed at issue in his pleadings remains privileged. Id. Statements about non-medical issues, such as the cause of the accident that led to the condition at issue, also remain privileged. Sessums v. McFall, 551 So. 2d 178 (Miss. 1989) (ﬁling of suit for injuries sustained in motorcycle accident did not waive privilege as to statements made to physician about cause of accident). Miss. Code Ann. § 13-1-21 and Waiver The physician-patient privilege originally created by the statute is somewhat more narrow. It applies only to communications made to certain treaters during their course of care of the patient. Miss Code Ann. § 13-1-21(1); Kyle, 955 So. 2d at 289. The statute speciﬁcally enumerates a variety of treaters providing physical care: physicians, osteopaths, dentists, hospitals, nurses, pharmacists, podiatrists, optometrists, and chiropractors. Miss. Code Ann. § 13-1-21(1). No privilege is enumerated, however, for mental health professionals. Id. Further, the statute unlike the rule does not protect communications to persons reasonably believed to be treaters or communications to other third parties needed to facilitate treatment. The statute provides that a living person and the personal representative or legal heirs of a deceased person may waive the privilege created by the statute. Id. The statute provides three speciﬁc instances in which the privilege will be deemed to be waived. First, waiver will be implied as to the release of medical information to health 11 care personnel, the State Board of Health or local health departments to comply with certain public health regulations such as those pertaining to the reporting of communicable diseases. Second, delivery of written notice of a claim or commencement of an action against a treater for professional services rendered constitutes waiver of the privilege as to all medical information relevant to the allegations. Miss. Code Ann. § 13-1-21(4). Lastly, waiver – except as to information identifying the plaintiff – is implied in any disciplinary action commenced against a treater. Miss. Code Ann. § 13-1-21(5). Again, however, the waiver is limited to only the condition placed at issue. Scott, 704 So.2d at 1003. The Prohibition On Ex Parte Physician Communication So where does this conditional waiver of the privilege leave us as far as the ability to talk with plaintiff's treating physicians without the plaintiff (or his representative) being present? It would seem that if the privilege is waived at least in part, an attorney could speak directly with the doctor about those now unprivileged issues. The Mississippi Courts have not agreed. Miss. R. Evid. 503(f), which recognizes the conditional waiver made when a party places his physical, mental or emotional condition at issue, expressly states: "This exception does not authorize ex parte contact by the opposing party." Id. This sentence, however, has resulted in as much confusion as clariﬁcation about whether ex parte contacts are actually prohibited under Mississippi law. Lack of authorization is not the equivalent of an actual prohibition. Even without an express prohibition in the rule, however, the Mississippi Supreme Court has stretched Rule 503 to effectively prohibit ex parte contacts. Scott, 704 So.2d at 1007. In Scott, the Supreme Court noted that Rule 503 expressly declares the patient as the holder of the privilege and the comment to the rule expressly provides that only the patient can waive the privilege. Id. at 1004-05; Miss R. Evid. 503(c) and comment. The Court reasoned that to allow a physician to speak ex parte with opposing counsel would place the physician, rather than the patient, in control of determining what information is or is not privileged and thus is or is not able to be disclosed. Id. at 1005. To protect the patient's privilege, the Court held it necessary for a patient to be given notice of any ex parte contacts with his physicians and the right to prevent them. Id. at 1006. The Court further held that even though the privilege may be conditionally waived (e.g., by a request for damages in a lawsuit), the relevant medical information will only be admissible if it is acquired through: 1) a voluntary and consensual disclosure by the patient; or 2) the formal discovery mechanisms provided in the Rules of Civil Procedure. Id. at 1007. Ex parte communications are not a formal discovery mechanism. By erecting this evidentiary barrier to evidence gathered through ex parte communications, the Court has effectively used an evidentiary rule to prohibit ex parte contacts even though they occur outside a courtroom. Scott, 704 So.2d at 1006-1007 (reafﬁrmed in Johnson v. Mem. Hosp. at Gulfport, 732 So. 2d 864 (Miss. 1998)). But see, Grifﬁn v. McKenney, 877 So. 2d 425, 442 (Miss. Ct. App. 2003) (holding that the Scott opinion does not prohibit ex parte communications but simply makes them inadmissible.) Authorization of Ex Parte Physician Communication by Plaintiff The evidentiary barrier to evidence gathered through ex parte communications applies only to ex parte contacts without prior patient consent. Scott, 704 So. 2d at 1007. Thus, a patient himself can authorize such contacts. This rarely, if ever, happens. In fact, I have never had a plaintiff agree to allow me to speak to his physicians without his attorney present. But it is permissible, and thus, perhaps worth asking the plaintiff. Conclusion So there you have it. The physicianpatient privilege is treated with great importance in Mississippi. For the most part, the patient is the master of the privilege. Ex parte communications with the plaintiff's treating physician are not permitted unless the plaintiff consents to them. n The MDLA Quarterly • Summer 2010
Enteric Pathogens Int J Enteric Pathog. 2017 August;5(3):76-79 http://enterpathog.abzums.ac.ir 10.15171/ijep.2017.18 Sumac (Rhus coriaria L.) Represents a Considerable Antibacterial Activity Against Meticillin Susceptible and Meticillin Resistant Staphylococcus aureus Mohammad Mahdi Ahmadian-Attari 1 † , Meysam Khanlarbeik 2 † , Mohammad Reza Fazeli 2* , Hossein Jamalifar 2* 1Evidence-Based Phytotherapy and Complementary Medicine Research Center, Alborz University of Medical Sciences, Karaj, Iran 2Department of Drug and Food Control and Pharmaceutical Quality Assurance Research Center, Faculty of Pharmacy, Tehran University of Medical Sciences, Tehran, Iran † These authors have equal contribution as joint first authors. Corresponding Authors: Abstract Mohammad Reza Fazeli, PharmD, PhD; Professor of Microbiology, Faculty of Pharmacy, Tehran University of Medical Sciences, Tehran, Iran. Tel: +98 912 1484810; Fax: +98 21 64121317; Email: email@example.com Hossein Jamalifar, PhD; Researcher of Department of Drug and Food Control and Pharmaceutical Quality Assurance Research Center, Faculty of Pharmacy, Tehran University of Medical Sciences, Tehran, Iran. Tel/Fax: +98 21 64121317; Email: firstname.lastname@example.org Published OnlineJune 14, 2017 Keywords: Rhus coriaria L., Sumac, Antibacterial activity, Meticillin-resistant S. aureus (MRSA) Background: Staphylococcus aureus is one of the most important pathogens and the cause of suppuration, abscess formation, a variety of pyogenic infections, and even fatal septicemia in human beings. Isolation of resistant strains of S. aureus especially meticillin-resistant one has elucidated the importance of finding new antibacterial agents. Sumac is one of the important medicinal herbs of Iranian traditional medicine (ITM). Sumac has been traditionally prescribed for some ailments with infectious etiology and therefore, it probably contains antibacterial compounds. Recently, antibacterial activities of sumac against some bacteria were studied by our team. Objective: In this article, we aimed to compare the antibacterial activities of sumac against meticillin susceptible (MSSA) and meticillin resistant S. aureus (MRSA) via minimum inhibitory concentration (MIC) and minimum bactericidal concentration (MBC) determination. Materials and Methods: Antibacterial activity of sumac water extract was studied on 19 clinical and 1 standard strain of S. aureus via MIC and MBC determination. Based on their sensitivity to cloxacillin, these bacteria were classified as meticillin-susceptible, intermediate meticillinresistant, and meticillin-resistant. MICs and MBCs of the extracts in these 3 groups were statistically compared via one-way analysis of variance (ANOVA) followed by a post hoc analysis (Tukey HSD test) using SPSS for Windows (version 15). Results: The results showed that in spite of different susceptibilities to cloxacillin, susceptibility to sumac extract was not different and MICs and MBCs of sumac for all clinical isolates including MSSA and MRSA were similar (P > 0.05). Conclusion: Based on previous studies, sumac extract acts against S. aureus probably through changing the cell wall properties. This activity is similar for both MRSA and MSSA. More investigation on the precise mechanism of action of this extract would be fruitful. Received February 9, 2017; Revised May 20, 2017; Accepted June 3, 2017 Background Meticillin-resistant Staphylococcus aureus (MRSA), which its resistance is due to the production of penicillinbinding protein (PBP) 2, has been recently emerged as one of the most important nosocomial and community pathogens. According to a European report, MRSA population-weighted mean in European Union is 17.8%, highlighting that MRSA remains a public health priority. 1 MRSA is resistant to not only meticillin and other ß-lactams but also to many other antimicrobials. This has now resulted in multidrug resistance of MRSA. Today, some glycopeptides such as vancomycin are widely prescribed for serious MRSA infections; however, the emergence of vancomycin tolerance and resistance has complicated treatment and highlighted the clinical need for new antibiotics which can work against MRSA and other Gram-positive bacteria. 2 Inspired from ITM, we previously planned a series Sumac (Rhus coriaria L.) is a shrub, inhabiting the regions from Mediterranean Sea to Iran and Afghanistan. Its fruit is widely used in Middle Eastern cuisine especially in Iran and Turkey. 3 Sumac fruit has also been mentioned in Iranian traditional medicine (ITM) as a herb with some therapeutic potentials. Traditionally, the powdered fruits have been prescribed as astringent, anti-diarrhea, anti-trachoma, and anti-pus in infectious wounds. 4 of investigations on sumac antibacterial activities. 5-8 In these studies, we showed that sumac has considerable antimicrobial activities against some standard and susceptible strains of gram-positive bacteria such as Bacillus cereus, Corynebacterium xerosis, Staphylococcus epidermidis, and S. aureus. Objectives The present study was aimed to compare the antibacterial activities of sumac against both meticillin-susceptible S. aureus (MSSA) and MRSA via minimum inhibitory concentration (MIC) and minimum bactericidal concentration (MBC) determination. Materials and Methods Plant Material and Extraction hospitals and Danesh Pathobiology Laboratory and identified by conventional morphological and biochemical tests. The standard strain of S. aureus ATCC 6539-P, which was meticillin-sensitive, was stock of the Department of Pharmaceutical and Food Control, School of Pharmacy, Tehran University of Medical Sciences, used in assessing the development of antibacterial resistance induced by the extract. Antibiotic susceptibility was determined by the amount of MIC of cloxacillin, in accordance with guidelines of the National Committee for Clinical Laboratory Standards (NCCLS, 1997). After culture on Mueller–Hinton agar (Merck, Germany), the bacteria were suspended in Mueller–Hinton broth (Merck, Germany) and used for inoculation. Determination of MICs and MBCs The concentrations of the extract were prepared in the range of 0.25 to 56.7 (mg/mL) in Muller-Hinton broth containing 10 8 CFU/mL of the bacteria. After incubation at 37°C overnight, the test tubes were examined for possible growth and MICs of the extract were determined as the lowest concentration that ended with no growth. Tubes containing concentrations above the MICs were streaked onto Muller-Hinton agar plates to achieve MBCs of the extract against the bacteria. Vancomycin antibiotic was also used as a positive control. Statistical Analysis Rhus coriaria L. was obtained from local botanical market and confirmed by Dr. Gholamreza Amin, at Herbarium of the School of Pharmacy, Tehran University of Medical Sciences. One hundred grams of the powder of R. coriaria L. epicarp was soaked in 1000 mL of distilled water at 45°C for 5 days. The extract was concentrated in a rotary evaporator (Heidolph, Germany) and was left to dry in a desiccator. The yield of extract (calculated as weight of dry extract/weight of dry starting material ×100) was 43.6 (w/w). The extract was diluted at desirable concentrations in distilled water and was filter sterilized prior to antibacterial assays. Bacterial Strains Staphylococcal strains listed in Table 1 were 19 clinical strains isolated from Shariati and Bouali University According to the sensitivity of the bacteria to cloxacillin, the bacteria were divided into 3 groups: methicillinsusceptible S. aureus, Intermediate methicillin-resistant S. aureus, and meticillin-resistant S. aureus. To evaluate Table 1. MICs and MBCs of Sumac, Cloxacillin, and Vancomycin Against Susceptible, Intermediate Resistant, and Resistant Staphylococcus aureus the effectiveness of sumac, MICs and MBCs of the extract in these 3 groups were statistically compared via oneway analysis of variance (ANOVA) followed by a post hoc analysis (Tukey HSD test) using SPSS for Windows (version 15.0). Results According to the sensitivity to cloxacillin, the clinical isolates were divided into 3 subgroups: methicillinsusceptible S. aureus, intermediate-meticillin resistant S. aureus, and meticillinresistant S. aureus (Table 1). The statistical analysis showed that in spite of different susceptibilities to cloxacillin, susceptibility to sumac extract was not different and MICs and MBCs of sumac for all clinical isolates including MSSA and MRSA were similar (P > 0.05). The effect of vancomycin against all strains of S. aureus was also similar (Figure 1A and 1B). Discussion Sumac as an herb with a traditional anti-infective background of use has been recently considered in ethnopharmacological studies. Based on a series of investigations, we published several studies on antibacterial activities of sumac. In these studies, sumac antibacterial activities against both gram-positive and gram-negative bacteria including B. cereus, C. xerosis, S. The meaningful differences were only seen in cloxacillin subgroups (** P<0.001). epidermidis, S. aureus, Escherichia coli, Salmonella typhi, Pseudomonas aeruginosa, and Shigella flexneri were well presented. 5,6 Other studies completed this list and showed that antibacterial activities of sumac are beyond these bacteria. 9 It has also been shown that the total extract of sumac can be sterilized by autoclaving without any changes in its antibacterial activities. 8 In another article published recently, our team showed the major active compounds of sumac extract against bacteria specifically S. aureus. 10 These activities present sumac as a good candidate to be developed as a final product in pharmaceutical dosage form. Gallic acid was recently introduced as one of the active compounds of sumac. 10 Based on the work of Borges and colleagues on the mechanism of action of gallic acid against different bacteria, gallic acid caused irreversible changes in membrane properties through hydrophobicity changes, decrease of surface negative charge, and occurrence of local rupture or pore formation in the cell membranes resulting in consequent leakage of essential intracellular constituents. 11 To complete the above-mentioned studies and due to the increasing importance of bacterial resistance, this study aimed to evaluate the behavior of sumac extract in the presence of different MSSA and MRSA strains. The results showed that resistance to meticillin family does not affect antibacterial activity of sumac, as their mechanisms of action probably completely differ from each other. The other active compound of sumac, 1,2-dioxo-6hydroxycyclohexadiene-4-carboxilic acid, belongs to quinones. This class of compounds provides a source of stable free radicals and can form irreversible complexes with nucleophilic amino acids in proteins that often cause their function loss and subsequent cell death. Surface-exposed adhesions, cell wall polypeptides, and membrane-bound enzymes are probable targets of quinone oxidization. 12 As a conclusion, sumac extract acts against S. aureus probably through changing the cell wall properties. This activity is similar for both MRSA and MSSA. More investigation on the precise mechanism of action of this extract would be fruitful. Authors' Contributions Study concept and design: MRF and HJ; Data acquisition: MK and MMAA; Analysis and interpretation of data: MMAA and MK; Drafting of the manuscript: MMAA; Study supervision: MRF and HJ. Ethical Approval The research followed the principles of Basel Declaration. Conflict of Interest Disclosures The authors declare that they have no conflict of interests. Financial Support This article is a part of Pharm D. thesis number 4997, granted by Faculty of Pharmacy, Tehran University of Medical Sciences, Tehran, Iran. Acknowledgments The authors would like to thank Professor Gh. Amin and Dr. H. Ashtiani for their valuable and helpful contributions. References 1. European Centre for Disease Prevention and Control. Antimicrobial resistance surveillance in Europe 2012. Stockholm: 2013:62. 2. French GL. Bactericidal agents in the treatment of MRSA infections--the potential role of daptomycin. J Antimicrob Chemother. 2006;58(6):1107-1117. 3. Amin G. Popular Medicinal Plants of Iran. Tehran: Tehran University of Medical Sciences Publication; 2004:178. 4. Aghili-Khorasani MH (18th century). Makhzan ul-Advia. Tehran: Enqelab-e Eslami Publishing and Educational Organization; 1992. 5. Fazeli MR, Amin G, Ahmadian-Attari MM, Ashtiani H, Jamalifar H, Samadi N. Antimicrobial activities of Iranian sumac and avishan-e shirazi (Zataria multiflora) against some food-borne bacteria. Food Control. 2007;18:646-649. doi:10.1016/j.foodcont.2006.03.002. 6. Fazeli MR, Ashtiani H, Ahmadian-Attari MM, Jamalifar H, Zaheri A. Antimicrobial effect of Rhus coriaria L. (Sumac) total extract on skin isolates Staphylococcus epidermidis and Corynebacterium xerosis. J Med Plant. 2006;17(1):27-31. 7. Ahmadian Atari MM, Monsef Esfahani HR, Amin GR, et al. The ethnopharmacological study on antibacterial activity of some selected plants used in Iranian traditional medicine. J Med Plant. 2009;8(31):50-57. 8. Amin GH, Ahmadian-Attari MM, Fazeli MR, et al. The effects of autoclaving, salt and protein on antimicrobial activities of Iranian sumac. J Med Plant. 2008;25(1):49-53. 9. Ahmadian-Attari MM, Amin G, Fazeli M, Jamalifar H. A review on antimicrobial activities of sumac fruit (Rhus coriaria L.). J Med Plant. 2008;1(25):1-11. 10. Ahmadian-Attari MM, Amini M, Farsam H, et al. Isolation of major active antibacterial compounds of sumac fruit (Rhus coriaria L.). Int J Enteric Pathog. 2016;4(4):e37101. doi:10.15171/ijep.2016.11. 11. Borges A, Ferreira C, Saavedra MJ, Simões M. Antibacterial activity and mode of action of ferulic and gallic acids against pathogenic bacteria. Microb Drug Resist. 2013;19(4):256265. doi:10.1089/mdr.2012.0244. 12. Cowan MM. Plant products as antimicrobial agents. Clin Microbiol Rev. 1999;12:564-582.
Curriculum Vitae \| Noah S. Diffenbaugh \| May 20, 2019 Co-Guest Editor, Special Issue, Palaeogeography, Palaeoclimatology, Palaeoecology 236(1-2), 1-168, 2006 2004 – 2006 Selected university service (at Stanford University) Selected public outreach Science Lecture, Ski and Snowboard Hall of Fame Induction Week, April 13, 2018, Olympic Valley, CA 32nd Annual Timothy O'Leary Distinguished Scientist Public Lecture, Gonzaga University, February 12, 2018, Spokane, WA Keynote Lecture, Operation Sierra Storm, January 23, 2018, Lake Tahoe, NV 2017 Milken Institute Global Conference, May 2, 2017, Los Angeles, CA 2017 California Climate Change Symposium, January 25-26, 2017, Sacramento, CA. Briefing for California State Legislators, January 25, 2017, Sacramento, CA. Innovation Center for Earth Sciences Workshop Fall 2015, United States Geological Survey, December 11, 2015, Menlo Park, CA. First Hearing of the California State Assembly Select Committee on Water Consumption and Alternative Sources, November 17, 2015, Sacramento, CA. A Climate Change Dialog: Risks and Opportunities for the Oil and Gas Industry, Engineering Founder Societies project on Technologies for Carbon Management, November 16, 2015, Sugar Land, TX. Climate Science, 50 Years Later: Commemorating the 50th Anniversary of the First Official ClimateChange Warning to a U.S. President, AAAS and the Carnegie Institution for Science, October 29, 2015, Washington, DC. Expert Presentation to the Study Committee for Extreme Weather Events and Climate Change Attribution, National Academy of Sciences Board on Atmospheric Sciences and Climate, October 12, 2015. 30th Biennial Groundwater Conference & 24th Groundwater Resource Association Annual Meeting, October 6-7, 2015, Sacramento, CA. Congressional Briefing for U.S. Representative Michael Honda, Ranking Member of Appropriations Subcommittee on Commerce, Science and Justice, September 17, 2015, Washington, D.C. 2015 California Climate Change Symposium, August 24-25, 2015, Sacramento, CA. 2015 Aspen Ideas Festival, June 27-29, 2015, Aspen, CO. Briefing for the State of California Interagency Drought Task Force, March 26, 2015, Sacramento, CA. [next] Conference, TTI/Vanguard Advanced Technology Conference Series, December 5, 2014, San Francisco, CA. AAAS/RFF Workshop on The Economic and Financial Risks of a Changing Climate: Insights from Leading Experts, November 12, 2014, Washington, D.C. Responding and Adapting to Climate Change, World Affairs Council, June 17, 2014, San Francisco, CA Panelist, Forum on Climate Change, Safe Climate Caucus, U.S. House of Representatives, September 17, 2013, Washington, D.C. Briefing for Indiana Congressional Delegation, April 27, 2009, Washington, D.C. Briefing for Indiana Governor Mitch Daniels, April 20, 2009, Indianapolis, IN. Keynote Lecture, Legislative Agricultural Chairs Summit '07, January 26-28, 2007, Washington, D.C. Peer reviewer Proposal Panelist: DOE (National Lab Climate Change Scientific Focus Areas; Regional Models for Climate Change Integrated Assessment; Climate and Earth System Modeling); NASA (Modeling, Analysis, and Prediction); NOAA (Climate Prediction Program for the Americas); NSF (CDI-II); U.S. CLIVAR (Drought in Coupled Models Project) Proposal Referee: AAAS (EPSCoR; Canon National Parks Science Scholars Program); Department of Energy (NICCRC; Regional and Global Climate Modeling); Government of Chile (FONDECYT); National Science Foundation (Climate and Large-Scale Dynamics, Earth System History, Ecosystem Studies Program, Geography and Regional Science, Instrumentation and Facilities, Office of Polar Programs, Marine Geology and Geophysics, Paleoclimate, Paleo Perspectives on Climate Change, Partnerships for International Research and Education, Sedimentary Geology and Paleobiology) Journal Manuscript Referee: Agricultural and Forest Meteorology, Atmospheric Research, Bulletin of the American Meteorological Society, Climate Dynamics, Climate Research, Climatic Change, Earth Interactions, Eos, Geology, Geophysical Research Letters, Global and Planetary Change, International Journal of Climatology, International Journal of Environmental Research and Public Health, Journal of Applied Meteorology and Climatology, Journal of Climate, Journal of Geophysical Research – Atmospheres, Journal of Hydrometeorology, Limnology and Oceanography, Meteorological Applications, Nature, Nature Climate Change, Paleoceanography, Proceedings of the National Academy of Sciences, Quaternary International, Quaternary Research, Quaternary Science Reviews, Theoretical and Applied Climatology, Water Resources Management. Book Referee: Economics in the Climate Casino; Climate Impact Hotspots: Key Vulnerable Regions and Climate Change Report Referee: California Energy Commission, State of Washington Workshops and conference sessions Organizing Committee, Columbia University Workshop on Correlated Extremes, New York, NY, May 29-31, 2019. Scientific Steering Committee, Aspen Global Change Institute workshop, "Impact Relevance and Usability of High Resolution Climate Modeling and Datasets," Aspen, CO, August 2-7, 2015. Organizing Committee, Los Alamos Institute for Advanced Studies Workshop on Simulating the SpatialTemporal Patterns of Anthropogenic Climate Change, Santa Fe, NM, August 3-5, 2011. Organizing Committee, Climate Change Impacts and Integrated Assessment Workshop XVI, Snowmass, CO, July 27-August 4, 2011. Organizing Committee, Climate Change Modeling and Scaling Workshop for the U.S. National Climate Assessment, Washington, D.C., December 8-10, 2010. Co-Director, Fifth ICTP Workshop on the Theory and Use of Regional Climate Models, Trieste, Italy, May 31-June 11, 2010. Co-Chair, Paleoceanography and Paleoclimatology General Contributions, 2009 American Geophysical Union Joint Assembly, Toronto, Canada, May 24-29, 2009. Co-Chair, Transitioning Out of the Mid-Holocene Climate: An Evaluation of Land-Ocean Proxy Records and Model Simulations, AGU Fall Meeting, San Francisco, CA, December 15-19, 2008. Co-Chair, Regional-Scale Forcing of Climate, AGU Fall Meeting, San Francisco, CA, December 15-19, 2008. Co-Chair, Climate of the Last Glacial-Interglacial Cycle: New Insights From Models and Data, AGU Fall Meeting, San Francisco, CA, December 8-12, 2003. 4. POST-DEGREE HONORS AND AWARDS Selected Awards Funded proposals A Multi-Model, Multi-Scale Research Program in Stressors, Responses, and Coupled Systems Dynamics at the Energy-Water-Land Nexus, Department of Energy, August 1, 2016 to July 31, 2021. (co-PI) Extreme Event Analysis Tool in Support of UN Paris Agreement, Stanford Woods Institute for the Environment, October 1, 2016 to September 30, 2018. (PI) Secure Analytics on the Internet of Things, Stanford Data Science Initiative, February 1, 2015 to January 31, 2016. (co-PI) Assessing Climate Change Impact on Transportation Infrastructure Vulnerability and Sustainability, Stanford Woods Institute for the Environment, October 1, 2013 through September 30, 2015. (co-PI) Social vulnerability and climatic drivers of enteric disease in rural Ecuador, National Institutes of Health, September 1, 2011 to August 31, 2012. (co-PI) Large-scale solar energy conversion: Land and water impacts, Precourt Institute for Energy/TomKat Center for Sustainable Energy, Stanford University, September 1, 2011 to August 31, 2013. (co-PI) Holocene Climate Change in Southwestern Patagonia: New Insights from Large Lake Paleolimnology, National Science Foundation, February 1, 2011 to January 31, 2014. (co-PI) Research in Integrated Assessment Inter-Model Development, Testing and Diagnostics, Department of Energy, September 1, 2010 to July 31, 2016. (co-PI) CAREER: Dynamics and Impacts of Fine-Scale Climate Change, National Science Foundation, Award #0955283, August 1, 2010 to July 31, 2015. (PI) The Impact of Climate and Climate Change on West Nile Virus Transmission, National Institutes of Health, 1R01AI090159-01, July 15, 2010 to June 30, 2014. (Subcontract) The Science and Policy of Global Climate Change: Professional Development of K-12 Teachers, National Aeronautics and Space Administration, Grant #NNX09AL89G, September 1, 2009 to August 31, 2012. (Co-I) Impacts of Climate Change on Wildlife in the Southwest, United States Geological Survey, Award #G10AC00244, September 15, 2009 through September 14, 2012. (Subcontract) Impacts of High Resolution Extreme Events on U.S. Energy Demand and CO2 Emissions in the 21 st Century, Department of Energy, Award #DE-SC0001483, September 1, 2009 to August 31, 2011. (PI) The Response of Convective Precipitating Storms to Anthropogenically Enhanced Global Radiative Forcing, National Science Foundation, Award #0756624, September 1, 2008 to August 31, 2011. (coPI) Impacts of High Resolution Extreme Events on U.S. Energy Demand and CO2 Emissions in the 21 st Century, Department of Energy, August 15, 2008 to August 14, 2009. (PI) Climate Variability and the Poor in Southern and Eastern Africa, The World Bank TFESSD, July 1, 2008 to November 30, 2010. (Co-PI) Collaborative Research: Water Balance of Western North America: Dynamics of the Miocene Summer Monsoon, National Science Foundation, Award #0450221, February 15, 2005 to January 31, 2009. (PI) Sub-Daily Scale Extreme Precipitation in Future Climate-Change Scenarios: A Pilot Study, National Science Foundation, Award #0402054, February 1, 2006 to January 31, 2009. (Co-PI) Collaborative Research: Investigation of Holocene Seasonality and Inter-Annual Variability Along the California Current System, National Science Foundation, Award #0402054, May 1, 2004 to April 30, 2008. (PI) Collaborative Research: Surface-Atmosphere Feedbacks and Holocene Climate Variations in Eastern North America: Linkages, Impacts, and Governing Mechanisms, National Science Foundation, Award #0315677. Subcontract with University of California, Santa Cruz, July 1, 2004 to September 30, 2007. (Subcontract) Selected recent invited academic seminars and presentations 5. COMPLETE LIST OF SCHOLARLY PUBLICATIONS AND OTHER CREATIVE WORKS Peer-reviewed publications (underline denotes advisee; * denotes student thesis committee) Total papers in print/press = 113 Google Scholar: https://scholar.google.com/citations?user=L1-cVvoAAAAJ&hl=en ResearcherID: https://publons.com/researcher/2508066/noah-s-diffenbaugh/ 2019 Gonzales, K.R., D.L. Swain, K.M. Nardi, E.A. Barnes and N.S. Diffenbaugh, Recent warming of landfalling atmospheric rivers along the west coast of the United States, JGR-Atmospheres, doi: 10.1029/2018JD029860, 2019. (forthcoming) Diffenbaugh, N.S. and M. Burke, Global warming has increased economic inequality between countries, PNAS, https://doi.org/10.1073/pnas.1816020116, 2019. Duffy, P.B. † , C.B. Field † , N.S. Diffenbaugh † , S.C. Doney, Z. Dutton, S. Goodman, L. Heinzerling, S. Hsiang, D.B. Lobell, L.J. Mickley, S. Myers, S.M. Natali, C. Parmesan, S. Tierney and A.P. Williams, Strengthened scientific support for the Endangerment Finding for atmospheric greenhouse gases, Science, 363(6427), eaat5982, 2019. ( † contributed equally) 2018 Herrera-Estrada, J., N.S. Diffenbaugh, F. Wagner, A. Craft and J. Sheffield, Response of electricity sector air pollution emissions to drought conditions in the western United States, Environmental Research Letters, 13(12), 124032, 2018. Sarhadi, A., M.C. Ausin, M.P. Wiper, D. Touma and N.S. Diffenbaugh, Multi-dimensional risk in a non-stationary climate: joint probability of increasingly severe warm and dry conditions, Science Advances, 4(11), eaau3487, 2018. Singh, D., M. Bollasina, M. Ting and N.S. Diffenbaugh, Disentangling the influence of local and remote anthropogenic aerosols on South Asian Monsoon daily rainfall characteristics, Climate Dynamics, https://doi.org/10.1007/s00382-018-4512-9, 2018. Goss, M., S. Lee, S.B. Feldstein and N.S. Diffenbaugh, Can ENSO-like convection force an ENSO-like extratropical response on subseasonal timescales?, Journal of Climate, 31(20), 8339– 8349, 2018. Touma, D., A.M. Michalak, D.L. Swain and N.S. Diffenbaugh, Characterizing the spatial scales of extreme daily precipitation in the United States, Journal of Climate, 31(19), 8023–8037, 2018. Burke, M., W.M. Davis and N.S. Diffenbaugh, Large potential reduction in economic damages under UN mitigation targets, Nature, 557(7706), 549–553, 2018. Diffenbaugh, N.S., D. Singh and J.S. Mankin, Unprecedented climate events: historical changes, aspirational targets, and national commitments, Science Advances, 4(2), eaao3354, 2018. Li, C., Y. Fang, K. Caldeira, X. Zhang, N.S. Diffenbaugh and A.M. Michalak, Widespread persistent changes to temperature extremes occurring earlier than predicted, Nature Scientific Reports, 8, 1007, doi:10.1038/s41598-018-19288-z, 2018. 2017 Swain, D.L., D. Singh, D.E. Horton, J.S. Mankin, T.C. Ballard, and N.S. Diffenbaugh, Remote linkages to anomalous winter atmospheric ridging over the northeastern Pacific, Journal of Geophysical Research – Atmospheres, 122(22), 12,194–12,209, 2017. Diffenbaugh, N.S., D. Singh, J.S. Mankin, D.E. Horton, D.L. Swain, D. Touma, A. Charland, Y. Liu, M. Haugen * , M. Tsiang * and B. Rajaratnam, Quantifying the influence of global warming on unprecedented extreme climate events, Proceedings of the National Academy of Sciences, 114(19), 4881–4886, 2017. Flint, M.M., O. Fringer, S.L. Billington, D. Freyberg, and N.S. Diffenbaugh, Historical analysis of hydraulic bridge collapses in the continental United States, Journal of Infrastructure Systems, DOI: 10.1061/(ASCE)IS.1943-555X.0000354, 2017. Skinner C.B., C.J. Poulsen, R. Chadwick, N.S. Diffenbaugh and R.P. Fiorella, The role of plant CO2 physiological forcing in shaping future daily-scale precipitation, Journal of Climate, 30(7), 2319–2340, 2017. Mankin, J.S., D. Vivrioli, M.M. Mekonnen, A.J. Hoekstra, R.M. Horton, J.E. Smerdon and N.S. Diffenbaugh, Influence of internal variability on population exposure to hydroclimatic changes, Environmental Research Letters, 12(4), 044007, 2017. Paull, S.H., D.E. Horton, M. Ashfaq, D. Rastogi, L.D. Kramer, N.S. Diffenbaugh and A.M. Kilpatrick, Drought and immunity determine the intensity of West Nile virus epidemics and climate change impacts, Proceedings of the Royal Society B, 284, 1848, DOI: 10.1098/rspb.2016.2078, 2017. 2016 Diffenbaugh, N.S. and A. Charland, Probability of emergence of novel temperature regimes at different levels of cumulative carbon emissions, Frontiers in Ecology and the Environment, 14(8), 418-423, 2016. Singh, D.S., D.L. Swain, J.S. Mankin, D.E. Horton, L.N. Thomas, B. Rajaratnam and N.S. Diffenbaugh, Recent amplification of the North American winter temperature dipole, Journal of Geophysical Research – Atmospheres, 121(17), 9911-9928, doi:10.1002/2016JD025116, 2016. Davis, S.J. and N.S. Diffenbaugh, Dislocated interests and climate change, Environmental Research Letters, 11(6), 61001, 2016. Alden, C.B., J.B. Miller, L.V. Gatti, M.M. Gloor, K. Guan, A.M. Michalak, I.T. van der LaanLuijkx, D. Touma, A. Andrews, L.S. Basso, C.S.C. Correia, L.G. Domingues, J. Joiner, M.C. Krol, A.I. Lyapustin, W. Peters, Y.P. Shiga, K. Thoning, I.R. van der Velde, T.T. van Leeuwen, V. Yadav and N.S. Diffenbaugh, Regional atmospheric CO2 inversion reveals seasonal and geographic differences in Amazon net biome exchange, Global Change Biology, doi:10.1111/gcb.13305, 2016. Swain, D.L., D.E. Horton, D. Singh and N.S. Diffenbaugh, Trends in atmospheric patterns conducive to seasonal precipitation and temperature extremes in California, Science Advances, 2(4), e1501344, 2016. 2015 Liu, J., T. Hertel, N.S. Diffenbaugh, M. Delgado and M. Ashfaq, Future property damage from flooding: Sensitivities to economy and climate change, Climatic Change Letters, 132(4), 741749, 2015. Anderegg, W.R.L. and N.S. Diffenbaugh, Observed and projected climate trends and hotspots across the National Ecological Observatory Network (NEON) regions, Frontiers in Ecology and the Environment, 13(10), 547-552, 2015. Mankin, J.S., D. Viviroli, D. Singh, A.Y. Hoekstra, and N.S. Diffenbaugh, The potential for snow to supply human water demand in the present and future, Environmental Research Letters, 10(11), 114016, 2015. Rajaratnam, B., J. Romano, M. Tsiang, and N.S. Diffenbaugh, Debunking the climate hiatus, Climatic Change, 133(2), 129-140, 2015. Swain, D.L., B. Lebassi-Habtezion, and N.S. Diffenbaugh, Evaluation of non-hydrostatic simulations of Northeast Pacific atmospheric rivers and comparison to in-situ observations, Monthly Weather Review, 43, 3556-3569, 2015. LoPresti, A., A. Charland, D. Woodward, J. Randerson, N.S. Diffenbaugh and S.J. Davis, Rate and velocity of climate change caused by cumulative carbon emissions, Environmental Research Letters, 10, 095001, 2015. Diffenbaugh, N.S., D.L. Swain and D. Touma, Anthropogenic warming has increased drought risk in California, Proceedings of the National Academy of Sciences, 112(13), 3931-3936, 2015. Horton, D.E., N.C. Johnson, D. Singh, D.L. Swain, B. Rajaratnam and N.S. Diffenbaugh, Contribution of changes in atmospheric circulation patterns to extreme temperature trends, Nature, 522, 465–469, 2015. Mankin, J.S. and N.S. Diffenbaugh, Influence of temperature and precipitation variability on near-term snow trends, Climate Dynamics, 45(3), 1099-1116, 2015. Touma, D., M. Ashfaq, M. Nayak, S.-H. Kao and N.S. Diffenbaugh, A multi-model and multiindex evaluation of drought characteristics in the 21st century, Journal of Hydrology, 526, 196207, 2015. Kao, S.-C., M.J. Sale, M. Ashfaq, N.S. Diffenbaugh, R. Martinez, D. Kaiser and Y. Wei, The potential climate change impacts on U.S. federal hydropower generation, Energy, 80, 239-250, 2015. 2014 Li, C., E. Sinha, D. E. Horton, N. S. Diffenbaugh and A. M. Michalak, Joint bias correction of temperature and precipitation in climate model simulations, Journal of Geophysical Research Atmospheres, 119, 13,153–13,162, doi:10.1002/2014JD022514, 2014. Swain, D.L, M. Tsiang, M. Haugen, D. Singh, A. Charland, B. Rajaratnam and N.S. Diffenbaugh, The extraordinary California drought of 2013-2014: character, context, and the role of climate change [in "Explaining Extremes of 2013 from a Climate Perspective"]. Bulletin of the American Meteorological Society, 95 (9), S3–S7, 2014. Singh, D., D.E. Horton, M. Tsiang, M. Haugen, M. Ashfaq, R. Mei, D. Rastogi, N.C. Johnson, A. Charland, B. Rajaratnam and N.S. Diffenbaugh, Severe precipitation in Northern India in June 2013: causes, historical context, and changes in probability [in "Explaining Extremes of 2013 from a Climate Perspective"]. Bulletin of the American Meteorological Society, 95 (9), S58– S61, 2014. Hawkins, E., B. Anderson, N. Diffenbaugh, I. Mahlstein, R. Betts, G. Hegerl, M. Joshi, R. Knutti, D. McNeall, S. Solomon, R. Sutton, J. Syktus and G. Vecchi, Uncertainties in the timing of unprecedented climates, Nature, 511, E3–E5, doi:10.1038/nature13523, 2014. Horton, D.E., C.B. Skinner, D. Singh and N.S. Diffenbaugh, Occurrence and persistence of future atmospheric stagnation events, Nature Climate Change, 4(8), 698-703, 2014. Verma, M., T.W. Hertel and N.S. Diffenbaugh, Market-oriented ethanol and corn-trade policies can reduce climate-induced US corn price volatility, Environmental Research Letters, 9, 064028, doi:10.1088/1748-9326/9/6/064028, 2014. Scherer, M. and N.S. Diffenbaugh, Transient 21 st century changes in daily-scale temperature extremes in the United States, Climate Dynamics, 42(5), 1383-1404, 2014. Villanueva-Birriel, C., Lasher-Trapp, S., R.J. Trapp, and N.S. Diffenbaugh, Sensitivity of the warm rain process in convective clouds to regional trends in tropospheric warming in the contiguous U.S., Journal of Aerosols Clouds and Radiation, 1, 1-17, 2014. Singh, D., M. Tsiang, B. Rajaratnam and N.S. Diffenbaugh, Observed changes in extreme wet and dry spells during the South Asian summer monsoon season, Nature Climate Change, doi: 10.1038/nclimate2208, 2014. Skinner, C.B. and N.S. Diffenbaugh, Projected changes in African easterly wave intensity and track in response to greenhouse forcing, Proceedings of the National Academy of Sciences, doi:10.1073/pnas.1319597111, 2014. Diffenbaugh, N.S., D.A. Stone, P. Thorne, F. Giorgi, B.C. Hewitson, R.G. Jones, and G.J. van Oldenborgh, Cross-chapter box on the regional climate summary figures. In: Climate Change 2014: Impacts, Adaptation, and Vulnerability. Part A: Global and Sectoral Aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Field, C.B., V.R. Barros, D.J. Dokken, K.J. Mach, M.D. Mastrandrea, T.E. Bilir, M. Chatterjee, K.L. Ebi, Y.O. Estrada, R.C. Genova, B. Girma, E.S. Kissel, A.N. Levy, S. MacCracken, P.R. Mastrandrea, and L.L. White (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, pp. 137-141, 2014. Romero-Lankao, P., J.B. Smith, D.J. Davidson, N.S. Diffenbaugh, P.L. Kinney, P. Kirshen, P. Kovacs, and L. Villers Ruiz, North America. In: Climate Change 2014: Impacts, Adaptation, and Vulnerability. Part B: Regional Aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change [Barros, V.R., C.B. Field, D.J. Dokken, M.D. Mastrandrea, K.J. Mach, T.E. Bilir, M. Chatterjee, K.L. Ebi, Y.O. Estrada, R.C. Genova, B. Girma, E.S. Kissel, A.N. Levy, S. MacCracken, P.R. Mastrandrea, and L.L. White (eds.)]. Cambridge University Press, Cambridge, United Kingdom and New York, NY, USA, pp. 1439-1498, 2014. 2013 Lebassi-Habtezion, B. and N.S. Diffenbaugh, Nested non-hydrostatic climate modeling: a case study of the 2010 summer season over the western United States, Journal of Geophysical Research – Atmospheres, 118, doi:10.1002/jgrd.50773, 2013. Ashfaq, M., S. Gosh, S.-C. Kao, L.C. Bowling, P. Mote, D. Touma, S.A. Rauscher and N.S. Diffenbaugh, Near-term acceleration of hydroclimatic change in the western U.S., Journal of Geophysical Research – Atmospheres, 118, doi:10.1002/jgrd.50816, 2013. Diffenbaugh, N.S., M. Scherer and R.J. Trapp, Robust increases in severe thunderstorm environments in response to greenhouse forcing, Proceedings of the National Academy of Sciences, 11(41), 16361–16366, doi:10.1073/pnas.1307758110, 2013. Diffenbaugh, N. S., and M. Scherer, Likelihood of July 2012 U.S. temperatures in pre-industrial and current forcing regimes [in "Explaining Extreme Events of 2012 from a Climate Perspective"]. Bulletin of the American Meteorological Society, 94 (9), S6-S9, 2013. Diffenbaugh, N.S. and C.B. Field, Changes in ecologically-critical terrestrial climate conditions, Science, 341(6145), 486-492, 2013. Singh, D., M. Tsiang, B. Rajaratnam and N.S. Diffenbaugh, Precipitation extremes over the continental United States in a transient, high-resolution, ensemble experiment of 21st century climate, Journal of Geophysical Research – Atmospheres, 118, doi:10.1002/jgrd.50543, 2013. Peterson, T.C., R.J. Heim Jr., R. Hirsch, D.P. Kaiser, H. Brooks, N.S. Diffenbaugh, R.M. Dole, J.P. Giovannettone, K. Guirguis, T.R. Karl, R.W. Katz, K. Kunkel, D. Lettenmaier, G.J. McCabe, C.J. Paciorek, K. Ryberg, S. Schubert, V.B.S. Silva, B.C. Stewart, A.V. Vecchia, G. Villarini, R.S. Vose, J. Walsh, D. Wolock, K. Wolter, C.A. Woodhouse, M. Wehner, and D. Wuebbles, Monitoring and understanding changes in heat waves, cold waves, floods and droughts in the United States: state of knowledge, Bulletin of the American Meteorological Society, 94, 821–834, 2013. Nordhaus, W.D., S.A. Merrill, and P.T. Beaton, Editors; Committee on the Effects of Provisions in the Internal Revenue Code on Greenhouse Gas Emissions (W.D. Nordhaus, M.L. Cropper, F. de la Chesnaye, N. Diffenbaugh, D.G. Hawkins, R.F. Mann, B.C. Murray, J.M. Reilly, D. Shindell, E. Toder, R.C. Williams, and C. Wolfram); Board on Science, Technology, and Economic Policy; Policy and Global Affairs; National Research Council. Effects of U.S. Tax Policy on Greenhouse Gas Emissions. The National Academies Press, Washington, DC. 181 pages, 2013. Skinner, C.B. and N.S. Diffenbaugh, The contribution of African easterly waves to monsoon precipitation in the CMIP3 ensemble, Journal of Geophysical Research – Atmospheres, 118, doi:10.1002/jgrd.50363, 2013. 2012 Horton, D.E., Harshvardhan and N.S. Diffenbaugh, Response of air stagnation frequency to anthropogenically enhanced radiative forcing, Environmental Research Letters, 7, 044034, doi:10.1088/1748-9326/7/4/044034, 2012. Diffenbaugh, N.S., M. Scherer and M. Ashfaq, Response of snow-dependent hydrologic extremes to continued global warming, Nature Climate Change, 3, 379–384, 2012. Lyle, M., L. Heusser, A.C. Ravelo, M. Yamamoto, J. Barron, N.S. Diffenbaugh, T. Herbert and D. Andreassen, Out of the tropics: The Pacific, Great Basin lakes, and the Pleistocene water cycle in the western U.S., Science, 337, 1629-1633, 2012. Diffenbaugh, N.S. and F. Giorgi, Climate change hotspots in the CMIP5 global climate model ensemble, Climatic Change Letters, 114 (3-4), 813-822, 2012. Ahmed, S.A., N.S. Diffenbaugh, T.W. Hertel, and W.J. Martin, Agriculture and trade opportunities for Tanzania: past volatility and future climate change, Review of Development Economics, 16(3), 429-447, 2012. Diffenbaugh, N.S., Human well-being, the global emissions debt, and climate change commitment, Sustainability Science, doi: 10.1007/s11625-012-0174-4, 2012. Lintner, B.R., M. Biasutti, N.S Diffenbaugh, J.-E. Lee, M.J. Niznik and K.L. Findell, Amplification of wet and dry month occurrence over tropical land regions in response to global warming, Journal of Geophysical Research – Atmospheres, 117, D11106, doi:10.1029/2012JD01749, 2012. Diffenbaugh, N.S. and M. Scherer, Using climate impacts indicators to evaluate climate model ensembles: temperature suitability of premium winegrape cultivation in the United States, Climate Dynamics, DOI:10.1007/s00382-012-1377-1, 2012. Diffenbaugh, N.S., T.W. Hertel, M. Scherer and M. Verma, Response of corn markets to climate volatility and alternative energy futures, Nature Climate Change, doi:10.1038/nclimate1491, 2012. Skinner, C.B., M. Ashfaq and N.S. Diffenbaugh, Influence of 21 st century atmospheric and sea surface temperature forcing on West African climate, Journal of Climate, 25(2), 527-542, 2012. 2011 Giorgi, F., E. Coppola, E.S. Im, N.S. Diffenbaugh, X. Gao and Y. Shi, Higher hydroclimatic intensity with global warming, Journal of Climate, 24(20), 5309-5324, 2011. Diffenbaugh, N.S. M. Ashfaq, and M. Scherer, Transient regional climate change: analysis of the summer climate response in a high-resolution, century-scale, ensemble experiment over the continental United States, Journal of Geophysical Research – Atmospheres, 116, D24111, doi:10.1029/2011JD016458, 2011. Goldner, A., M. Huber, N.S. Diffenbaugh, and R. Caballero, Implications of the permanent El Nino teleconnection "blueprint" for past global and North American hydroclimatology, Climates of the Past, 7, 723-743, 2011. Diffenbaugh, N.S., M.A. White, G.V. Jones and M. Ashfaq, Climate adaptation wedges: a case study of premium wine in the western United States, Environmental Research Letters, 6, 024024, 2011. Diffenbaugh, N.S. and M. Scherer, Observational and model evidence for global emergence of unprecedented heat in the 20 th and 21 st centuries, Climatic Change, 10.1007/s10584-011-0112-y, 2011. 2010 Lyle, M., L. Heusser, A. Ravelo, D. Andreasen, A. Olivarez Lyle, and N. Diffenbaugh, The Pleistocene water cycle and eastern boundary current processes along the California continental margin, Paleoceanography, 25, PA4211, doi:10.1029/2009PA001836, 2010. Ahmed, S.A., N.S. Diffenbaugh, T.W. Hertel, D.B. Lobell, N. Ramankutty, A.R. Rios and P. Rowhani, Climate volatility and poverty vulnerability in Tanzania, Global Environmental Change, doi:10.1016/j.gloenvcha.2010.10.003, 2010. Ashfaq, M., L.C. Bowling, K.A. Cherkauer, J.S. Pal and N.S. Diffenbaugh, Influence of climate model biases and daily-scale temperature and precipitation events on hydrological impacts assessment: A case study of the United States, Journal of Geophysical Research-Atmospheres, 115, D14116, doi:10.1029/2009JD012965, 2010. Diffenbaugh, N.S. and M. Ashfaq, Intensification of hot extremes in the United States, Geophysical Research Letters, L15701, doi:10.1029/2010GL043888, 2010. Ashfaq, M., C.B. Skinner, and N.S. Diffenbaugh, Influence of SST biases on future climate change projections, Climate Dynamics, 10.1007/s00382-010-0875-2, 2010. Anderson, R.G., J.G. Canadell, J.T. Randerson, R.B. Jackson, B.A. Hungate, D.D. Baldocchi, G. Ban-Weiss, K. Caldeira, L. Cao, N.S. Diffenbaugh, K.R. Gurney, B.E. Law, S. Luyssaert and L. Kueppers, Biophysical considerations in forestry for climate protection, Frontiers in Ecology and the Environment, doi:10.1890/090179, 2010. Trapp, R.J., E.D. Robinson, M.E. Baldwin, N.S. Diffenbaugh, and B.R.J. Schwedler, Regional climate of hazardous convective weather through high-resolution dynamical downscaling, Climate Dynamics, 10.1007/s00382-010-0826-y, 2010. Williams, J.W., B.N. Shuman, P.J. Bartlein, N.S. Diffenbaugh and T. Webb III, Rapid, timetransgressive, and variable responses to end-Pleistocene/early Holocene midcontinental drying in North America, Geology, 38 (2), 135-138, 2010. Fall, S., N.S. Diffenbaugh, D. Niyogi, R.A. Pielke Sr., and G. Rochon, Temperature and equivalent temperature over the United States (1979-2005), International Journal of Climatology, DOI: 10.1002/joc.2094, 2010. 2009 Ahmed, S.A., N.S. Diffenbaugh and T. Hertel, Impact of climate volatility on poverty vulnerability in developing countries, Environmental Research Letters, doi: 10.1088/17489326/4/3/034004, 2009. Walker, M.D. and N.S. Diffenbaugh, Evaluation of high-resolution simulations of daily-scale temperature and precipitation over the United States, Climate Dynamics, 10.1007/s00382-0090603-y, 2009. Diffenbaugh, N.S., Influence of modern land cover on the climate of the United States, Climate Dynamics, 10.1007/s00382-009-0566-z, 2009. Steiner, A.L., J.S. Pal, S.A. Rauscher, J.L. Bell, N.S. Diffenbaugh, F. Giorgi and L.C. Sloan, Land surface coupling in regional climate simulations of the west African monsoon, Climate Dynamics, 10.1007/s00382-009-0543-6, 2009. Ashfaq, M., Y. Shi, W.-w. Tung, R.J. Trapp, X. Gao, J.S. Pal and N.S. Diffenbaugh, Suppression of South Asian summer monsoon precipitation in the 21 st century, Geophysical Research Letters, 36, L01704, doi:10.1029/2008GL036500, 2009. Trapp, R.J., N.S. Diffenbaugh and A. Gluhovsky, Projected trends in severe, extratropical thunderstorm forcing, Geophysical Research Letters, 36, L01703, doi:10.1029/2008GL036203, 2009. 2008 Diffenbaugh, N.S., R.J. Trapp and H.E. Brooks, Does global warming influence tornado activity?, Eos, 89(53), 553-554, 2008. Cook, E.R., P.J. Bartlein, N. Diffenbaugh, R. Seager, B.N. Shuman, R.S. Webb, J.W. Williams, and C. Woodhouse, 2008: Hydrological variability and change. In: Abrupt Climate Change. A Report by the U.S. Climate Change Science Program and the Subcommittee on Global Change Research. U.S. Geological Survey, Reston, VA, pp. 143–257. Diffenbaugh, N.S., C.H. Krupke, M.A. White and C.E. Alexander, Global warming presents new challenges for maize pest management, Environmental Research Letters, doi: 10.1088/17489326/3/4/044007, 2008. Jackson, R.B., J.T. Randerson, J.G. Canadell, R.A. Anderson, R. Avissar, D.D. Baldocchi, G.B. Bonan, K. Caldeira, N.S. Diffenbaugh, C.B. Field, B.A. Hungate, L.M. Kueppers and D.E. Pataki, Protecting climate with forests, Environmental Research Letters, doi:10.1088/17489326/3/4/044006, 2008. Giorgi, F., N.S. Diffenbaugh, X.J. Gao, E. Coppola, S.K. Dash, O. Frumento, I. Seidou Sanda, S. Rauscher, A. Remedio, A. Steiner, B. Sylla and A. Zakey, The regional climate change hypermatrix framework, Eos, 89(45), 445-446, 2008. Diffenbaugh, N.S., F. Giorgi and J.S. Pal, Climate change hotspots in the United States, Geophysical Research Letters, 35, L16709, doi:10.1029/2008GL035075, 2008. Rauscher, S.A., J.S. Pal, N.S. Diffenbaugh and M. Benedetti, Future changes in runoff timing over the western United States, Geophysical Research Letters, 35, L16703, doi:10.1029/2008GL034424, 2008. Giorgi, F. and N. Diffenbaugh, Developing regional climate change scenarios for use in assessment of effects on human health and disease, Climate Research, 36(2), 141–151, 2008. Rauscher, S.A., F. Giorgi, N.S. Diffenbaugh, and A. Seth, Extension and intensification of the Meso-American mid-summer drought in the 21st century, Climate Dynamics, DOI 10.1007/s00382-007-0359-1, 2008. 2007 Diffenbaugh, N.S., F. Giorgi, L. Raymond and X. Bi, Indicators of 21 st century socioclimatic exposure, Proceedings of the National Academy of Sciences, 104(51), 20195-20198, 2007. Trapp, R.J., N.S. Diffenbaugh, H.E. Brooks, M. Baldwin, E.D. Robinson, and J.S. Pal, Changes in severe thunderstorm environment frequency in the 21st century due to anthropogenically enhanced global radiative forcing, Proceedings of the National Academy of Sciences, 104(50), 19719-19723, 2007. Trapp, R.J., B. A. Halvorson and N.S. Diffenbaugh, Telescoping, multi-model approaches to evaluate extreme convective weather under future climates, Journal of Geophysical ResearchAtmospheres, 112, D20109, doi:10.1029/2006JD008345, 2007. Pal, J.S., F. Giorgi, X. Bi, N. Elguindi, F. Solmon, X. Gao, Sara A. Rauscher, R. Francisco, A. Zakey, J. Winter, M. Ashfaq, F.S. Syed, J.L. Bell, N.S. Diffenbaugh, J. Karmacharya, A. Konare, D. Martinez, R.P. da Rocha, L.C. Sloan and A. Steiner, Regional climate modeling for the developing world: The ICTP RegCM3 and RegCNET, Bulletin of the American Meteorological Society, 88(9), 1395-1409, 2007. Diffenbaugh, N.S., and M. Ashfaq, Response of California Current forcing to mid-Holocene changes in insolation and sea surface temperature, Paleoceanography, 22, PA3101, doi:10.1029/2006PA001382, 2007. Diffenbaugh, N.S., J.S. Pal, F. Giorgi and X. Gao, Heat stress intensification in the Mediterranean climate change hotspot, Geophysical Research Letters, 34, L11706, doi:10.1029/2007GL030000, 2007. 2006 Diffenbaugh, N.S., M. Ashfaq, B. Shuman, J.W. Williams and P.J. Bartlein, Summer aridity in the United States: Response to mid-Holocene changes in insolation and sea surface temperature, Geophysical Research Letters, 33, L22712, doi:10.1029/2006GL028012, 2006. White, M.A., N.S. Diffenbaugh, G.V. Jones, J.S. Pal and F. Giorgi, Extreme heat reduces and shifts United States premium wine production in the 21 st century, Proceedings of the National Academy of Sciences, 103(30), 11217-11222, 2006. Diffenbaugh, N.S., J.L. Bell and L.C. Sloan, Simulated changes in extreme temperature and precipitation events at 6 ka, Palaeogeography, Palaeoclimatology, Palaeoecology, 236(1-2), 151168, 2006. 2005 Diffenbaugh, N.S., J.S. Pal, R.J. Trapp and F. Giorgi, Fine-scale processes regulate the response of extreme events to global climate change, Proceedings of the National Academy of Sciences, 102(44), 15774-15778, 2005. Diffenbaugh, N.S., Response of large-scale eastern boundary current forcing in the 21 st century, Geophysical Research Letters, 32, L19718, doi:10.1029/2005GL023905, 2005. Diffenbaugh, N.S., Sensitivity of extreme climate events to CO2-induced biophysical atmosphere-vegetation feedbacks in the western United States, Geophysical Research Letters, 32 L07702, doi:10.1029/2004GL022184, 2005. , Diffenbaugh, N.S., Atmosphere-land cover feedbacks alter the response of surface temperature to CO2 forcing in the western United States, Climate Dynamics, 24(2-3), 237-251, 2005. 2004 Diffenbaugh, N.S. and L.C. Sloan, Mid-Holocene orbital forcing of regional-scale climate: a case study of western North America using a high-resolution RCM, Journal of Climate, 17(15), 29272937, 2004. Koch, P.L., N.S. Diffenbaugh and K.A. Hoppe, The effect of Late Quaternary climate and pCO2 change on C4 plant abundance in the south-central United States, Palaeogeography, Palaeoclimatology, Palaeoecology, 207(3-4), 331-357, 2004. Diffenbaugh, N.S., M.A. Snyder and L.C. Sloan, Could CO2-induced land cover feedbacks alter near-shore upwelling regimes?, Proceedings of the National Academy of Sciences, 101(1), 27-31, 2004. 2003 Snyder, M.A., L.C. Sloan, N.S. Diffenbaugh and J.L. Bell, Future climate change and upwelling in the California Current, Geophysical Research Letters, 30(15), 1823, 10.1029/2003GL017647, 2003. Diffenbaugh, N.S., L.C. Sloan and M.A. Snyder, Orbital suppression of wind driven upwelling in the California Current at 6 ka, Paleoceanography, 18(2), 1051, 10.1019/2002PA000865, 2003. Diffenbaugh, N.S., L.C. Sloan, M.A. Snyder, J.L. Bell, J.O. Kaplan, S.L. Shafer and P.J. Bartlein, Vegetation sensitivity to global anthropogenic carbon dioxide emissions in a topographically complex region, Global Biogeochemical Cycles, 18(2), 1067, 10.1029/2002GB001974, 2003. 2002 Diffenbaugh, N.S. and L.C. Sloan, Global climate sensitivity to land surface change: The Mid Holocene revisited, Geophysical Research Letters, 29(10), 1476, 10.1029/2002GL014880, 2002. Books and book chapters Field, C.B., N.R. Chiariello and N.S. Diffenbaugh, Climate-change impacts on California ecosystems, in E. Zavaletta and H. Mooney, (eds), Ecosystems of California, University of California Press, 1008 pp, 2016. White, M.A., G.V. Jones and N.S. Diffenbaugh, Climate variability, climate change, and wine production in the western United States, in F.H. Wagner (ed.), Climate Change in Western North America: Evidence and Environmental Effects, University of Utah Press, 288 pp, 2009. Other publications Diffenbaugh, N.S. and M. Burke, The climate benefits of the Green New Deal, Scientific American, March 14, 2019. (https://blogs.scientificamerican.com/observations/the-climate-benefits-of-the-greennew-deal/) Diffenbaugh, N.S., C.B. Field and P.D. Duffy, New scientific evidence strengthens case for regulating greenhouse gases, The Hill, December 23, 2018. (https://thehill.com/opinion/energyenvironment/422661-new-scientific-evidence-strengthens-case-for-regulating-greenhouse) Climate-Safe Infrastructure Working Group (CSIWG). 2018. Paying it forward: The Path Toward Climate-Safe Infrastructure in California. Report of the Climate-Safe Infrastructure Working Group to the California State Legislature and the Strategic Growth Council. Sacramento, CA: CNRA, Publication number: CNRA-CCA4-CSI-001. Burke, M. and N.S. Diffenbaugh, Paris Agreement goals could save trillions in avoided climate damages, The Hill, May 27, 2018. (http://thehill.com/opinion/energy-environment/389550-paris-agreementgoals-could-save-trillions-in-avoided-climate) Diffenbaugh, N.S., How we know it was global warming, New York Times Op-Ed, December 29, 2017. (https://www.nytimes.com/2017/12/29/opinion/sunday/climate-change-global-warming.html) Diffenbaugh, N.S., Hurricane Harvey was no surprise, New York Times Op-Ed, August 28, 2017. (https://www.nytimes.com/2017/08/28/opinion/hurricane-harvey-global-warming.html) Diffenbaugh, N.S., Climate lessons from California, New York Times Op-Ed, August 17, 2017. (https://www.nytimes.com/2017/08/17/opinion/california-climate-snow-heat-trump.html) Hanson, B. et al., Earth and space science for the benefit of humanity, Eos – AGU Editors' Vox, April 20, 2017. (https://eos.org/editors-vox/earth-and-space-science-for-the-benefit-of-humanity) Diffenbaugh, N.S., What California's dam crisis says about the changing climate, New York Times OpEd, February 14, 2017. (https://www.nytimes.com/2017/02/14/opinion/what-californias-dam-crisissays-about-the-changing-climate.html) Diffenbaugh, N.S., Stuff My Reviewers Say, Eos – AGU Editors' Vox, September 19, 2016. (https://eos.org/editors-vox/stuff-my-reviewers-say) Diffenbaugh, N., L. Beal, M.B. Cardenas, K. Cobb, M. Cronin, A. Dombard, T. Ilyina, B. Lavraud, A.V. Newman, W.K. Peterson, J. Ritsema, J. Stroeve, J.A. Thornton, and P.D. Williams, New Geophysical Research Letters editorial, revisions policies, Eos, 97, doi:10.1029/2016EO056437, 2016. Amicus Curiae, STATE OF WEST VIRGINIA, ET AL., v. ENVIRONMENTAL PROTECTION AGENCY, ET AL., USCA Case #15-1363, Document #1606774, Filed: 04/01/2016. (https://www.edf.org/sites/default/files/content/2016.04.01_climate_scientists_amicus_brief_for_epa. pdf) Diffenbaugh, N.S., Insights into the ongoing California drought, Eos – AGU Editors' Vox, November 25, 2015. (https://eos.org/editors-vox/insights-ongoing-california-drought) Diffenbaugh, N.S. and C.B. Field, A wet winter won't save California, The New York Times Op-Ed, September 18, 2015. (http://www.nytimes.com/2015/09/19/opinion/a-wet-winter-wont-savecalifornia.html) Diffenbaugh, N.S. and D.L. Swain, Climate change and the California drought, Brookings Institution PlanetPolicy blog, October 6, 2014. (http://www.brookings.edu/blogs/planetpolicy/posts/2014/10/06climate-change-california-drought-diffenbaugh-swain) Swain, D.L. and N.S. Diffenbaugh, Viewpoints: Climate change is increasing the chances of drought, Sacramento Bee, September 30, 2014. (http://www.sacbee.com/opinion/op-ed/article2615493.html) What We Know: The Reality, Risks and Response to Climate Change, AAAS Climate Science Panel (M. Molina, Chair; J. McCarthy and D. Wall, co-Chairs), American Association for the Advancement of Science, Washington, DC, March 2014. (http://whatweknow.aaas.org/wpcontent/uploads/2014/07/whatweknow_website.pdf) Markowski, P., H. Brooks, Y. Richardson, R. Trapp, J. Allen and N. Diffenbaugh, The real truth about tornadoes, LiveScience "Expert Voices: Op-Ed and Insights", December 2, 2013. (http://www.livescience.com/41632-the-truth-about-tornadoes.html) Diffenbaugh, N.S., Testimony, Forum on the Impacts of Climate Change, Safe Climate Caucus , U.S. House of Representatives, September 17, 2013. (https://democratsenergycommerce.house.gov/sites/default/files/documents/Testimony-Diffenbaugh-SCC-ClimateChange-Forum-2013-9-17.pdf; https://youtu.be/EKFLSQXWuLM) Diffenbaugh, N.S., Is this global warming? A behind-the-curtain look at the science of climate and extreme weather, Weather Underground 2013 Earth Day microsite, April 2013. (http://www.wunderground.com/earth-day/2013/is-this-global-warming) Janetos, A.C., W.D. Collins, D.J. Wuebbles, N. Diffenbaugh, K. Hayhoe, K.A. Hibbard, and G. Hurtt. Climate Change Modeling and Downscaling Issues and Methodological Perspectives for the US National Climate Assessment. No. PNNL-20824. Pacific Northwest National Laboratory (PNNL), Richland, WA (US), 2012. Calais, E., N. Diffenbaugh, P. D'Odorico, R. Harris, W. Knorr, B. Lavraud, A. Mueller, W. Peterson, E. Rignot, M. Srokosz, P. Strutton, G. Tyndall, M. Wysession and P. Williams, Geophysical Research Letters: New Policies Improve Top-Cited Geosciences Journal, Eos Trans. AGU, 91(38), 337, doi:10.1029/2010EO380008, 2010. Harshvardhan, G. and N. Diffenbaugh, Diffenbaugh Receives 2006 James R. Holton Junior Scientist Award, Eos Trans. AGU, 88(9), 111, doi:10.1029/2007EO090011, 2007. Diffenbaugh, N.S., C.M. Eakin, B.L. Otto-Bliesner and M. Zhao, Introduction to the special issue "Glacial-Interglacial Climate of the Past 160,000 Years: New Insights from Data and Models," Palaeogeography, Palaeoclimatology, Palaeoecology, 236(1-2), 1-4, 2006.
Dartmouth College Dartmouth Digital Commons Dartmouth Library Staff Publications and Presentations Dartmouth Library 2018 New Perspectives on Congressional Collections: A Study of Survey and Assessment Maurita Baldock Library of Congress, Manuscript Division J. Wendel Cox Dartmouth College Library, email@example.com Follow this and additional works at: https://digitalcommons.dartmouth.edu/dlstaffpubs Part of the Archival Science Commons Recommended Citation Baldock, Maurita and Cox, J. Wendel, "New Perspectives on Congressional Collections: A Study of Survey and Assessment" (2018). Dartmouth Library Staff Publications and Presentations. 15. https://digitalcommons.dartmouth.edu/dlstaffpubs/15 This Article is brought to you for free and open access by the Dartmouth Library at Dartmouth Digital Commons. It has been accepted for inclusion in Dartmouth Library Staff Publications and Presentations by an authorized administrator of Dartmouth Digital Commons. For more information, please contact firstname.lastname@example.org. Maurita Baldock and J. Wendel Cox Abstract Archivists have grappled with the processing and management challenges of congressional collections, but have spent less time exploring the use of these collections or their utility for research outside traditional topics and disciplines. This case study examines how two department projects produced new insights into congressional collections at an institution examining the importance of its political materials within its collection development policy. A survey of Native American collection materials led to a new understanding of the vast scholarly potential of congressional collections. Likewise, a general assessment of special collections revealed the popularity of congressional collections and the nature of their users. The article recommends using data-informed analysis and a better understanding of American political life for the future development and promotion of congressional collections within and outside the library. Keywords Advocacy, Assessment, Collection development, Congressional papers, Data analysis, Native Americans Questioning Congressional Collections In my first year as congressional archivist for Special Collections, University of Arizona Libraries, our new dean of libraries inquired about the use of our congressional collections. Her inquiry came as part of a general review of our collection development policies. Our dean wanted to understand the use of our manuscript collections and related outreach efforts, but she was interested in our large collections of political papers. While asking around campus, she was told political scientists would "rarely, if ever" use our congressional collections. She had me contact a professor of history about his use of these materials. He replied that he had used our manuscript collections, but never our congressional collections; he suggested a canvass of history faculty whose research interests might lead to their use. A "cold call" email to faculty generated a small and disappointing response. Those who replied had never used our congressional collections. These questions and answers surprised and unsettled me. Here were the papers of prominent politicians, some of a durable national significance, who appeared to be of little or no interest to our faculty. Did faculty disinterest carry over to their undergraduate and graduate students? Was disinterest a function of their unfamiliarity with the materials and our failure to effectively market them? Who, if anyone, used these collections? For what purpose? And were there topics and untapped research potential in the congressional collections waiting to be discovered? My questioning arose at the same time a series of department projects, each ostensibly unrelated to congressional archives, led to new perspectives on the use of our congressional collections, their users, and how we might explore, understand, and market their research value. My colleague, Wendel Cox, a librarian with a doctorate in American history, first undertook a comprehensive survey of Native American content in our processed manuscript collections. Our conversations revealed the long, close, and deep connection between Congress and the federally recognized Native American tribes—and the wealth of materials he was discovering in our congressional collections related to Indigenous peoples. As a student of American Indian history, to Cox this aspect of congressional collections was a natural connection. Yet, what he discovered proved far richer than even he imagined. Cox's next project was a largely quantitative study of how our collections were used and by whom. His analysis demonstrated that the papers of Stewart L. Udall (D-AZ), a member of the House of Representatives and interior secretary for Presidents John F. Kennedy and Lyndon B. Johnson, and those of his brother, Representative Morris K. Udall (D-AZ), were our most-used manuscript collections. The papers of Senator Dennis DeConcini (D-AZ), recently made more accessible, were also among our top collections by use. Moreover, it soon seemed the canvass of our faculty, eminently reasonable on its face, was misplaced. Most of our collection use involved individuals not affiliated with the University of Arizona. These revelations began to answer my questions—and those of my supervisors and superiors—about the value and potential of congressional collections, with implications for how we might approach future acquisitions, processing, and outreach. Background Congressional and political collections long had been an integral part of the University of Arizona Libraries Special Collections. They range from Marcus A. Smith, a territorial delegate who began his service in 1889, to our most recently processed congressional collection, the papers of Gabrielle Giffords, who left office in 2012 after being wounded in a mass shooting at a Tucson "Congress on Your Corner" political event. The papers of Stewart L. Udall and Morris 3 K. Udall are complemented by a close working relationship with the Udall Foundation, a federal agency that awards scholarships, fellowships, and internships for the study of the environment and Native American development. 1 Special Collections receives annual funding from the Udall Foundation for a graduate assistant to work on congressional materials. And we had recently acquired new collections from congresspersons including Republican Jim Kolbe, Republican Jon Kyl, and Democrat Giffords. In short, the papers of congressional and political figures are an accepted part of our mission, especially those with connections to the University of Arizona, southern Arizona, and metropolitan Tucson. Yet, like many other archives, we needed to review our collection development policy and wondered what, if any, congressional materials we ought to collect in the future. Leadership changes at the University of Arizona Libraries and Special Collections led to reevaluations of collection policy and institutional mission, and it was understandable for a new dean of libraries and a new director of Special Collections to question the value of congressional collections, which are large and expensive. Our two largest collections are congressional collections: Dennis DeConcini (764 linear feet) and Morris K. Udall (1,200 linear feet). Substantial time, labor, and money are required to accession, process, and store such a volume of physical and digital materials. Acquisition of congressional materials often is seen as an opportunity to generate publicity and raise funds. But does the use of these collections justify their cost, the use of our resources, or demands on the generosity of our donors? Our dean expressed her concern about congressional collections just as we planned the processing of the Kolbe and Giffords collections, both of which would place significant demands on our resources. How should we process such large collections? At the same time, changes to southern Arizona's political landscape led us to anticipate a future of close elections and rapid turnovers in office. In this scenario, we might anticipate a series of representatives serving one two-year term—in sharp contrast to Rep. Morris Udall, who sat in the House for thirty years. What would be the value of political collections of such limited chronological scope? Or the particular demands of a series of smaller collections associated with several representatives? Furthermore, are congressional collections what researchers seek? After all, congressional collections are widely dispersed: usually deposited in home states, often with alma maters. Anyone using several congressional collections to cover a particular issue or topic might face extensive travel that might even prove cost-prohibitive or affect research programs. Had our researchers long since chosen to seek what they regarded as the same or similar information in presidential libraries or the National Archives and save themselves the expense of extensive travel? Scholars have used congressional collections for legislative histories, biographies, and institutional histories, most of which are out of scholarly favor. Do congressional collections meet the needs of today's—and tomorrow's—researchers? Many historians and political scientists admit that, in the last few decades, they have not given congressional materials the research attention they deserve due to the changing nature of their fields. Historian Nancy Beck Young stated that a turn in historical research starting in the 1960s and 1970s made it "unfashionable" to study high politics as social and cultural history became more popular. 2 Historian Paul Milazzo conceded during a 2005 presentation at the Association of Centers for the Study of Congress that congressional materials had been ignored for many reasons, including the diminishing popularity of examining history from the "top down," which excludes the experiences of ordinary people. 3 Political scientists Scott A. Frisch and Sean Q. Kelly stated that while political scientists used to spend time in the library doing research, the field had become more quantitative and relied on data that is easier to locate. Frisch and Kelly believe political scientists need to be encouraged to visit the archives to collect new data but often lack the patience or financial resources to spend time there to find them. 4 Some recent literature argues congressional materials are relevant to current scholarship. Julian E. Zelizer, a professor of history and public affairs, noted that congressional papers are being used more than ever to study gender and race through legislation. 5 Was this true for our collections? Literature Review Archival literature regarding political and congressional collections began to appear almost forty years ago and has since grown significantly. In 1978, an issue of The American Archivist included three articles on congressional papers—a recognition of needed guidance for these types of collections. 6 The first standards for congressional collections were published as the Congressional Papers Project Report, the proceedings of a meeting in 1985 in Harpers Ferry, West Virginia, sponsored by the Dirksen Congressional Center and the National Historical Publications and Records Commission (NHPRC). 7 Known as the Harpers Ferry Project, it provided guidance and standards for repositories and congressional collections and was a call to action for more training and publications for congressional archives. It also called for the Society of American Archivists to form a group for congressional archivists (later the Congressional Papers Roundtable, now the Congressional Papers Section) and for the creation of a training manual. The archival literature is instructive on how to accession and process materials. Manuals for congressional collections include Karen Dawley Paul's Records Management Handbook for United States Senators and Their Archival Repositories and Records Management Manual for Members of the U.S. House of Representatives by the Office of the Clerk of the U.S. House of Representatives. 8 However, both are meant more for members of Congress as donors rather than for archivists. Faye Philips' Congressional Papers Management provides guidance for archivists, and the most recent manual is Cynthia Pease Miller's Managing Congressional Collections. 9 These works advise archivists on how to proceed with the specific types of records uniformly found in congressional collections. An American Political Archives Reader, edited by Karen Dawley Paul, Glenn R. Gray, and L. Rebecca Johnson Melvin, contains essays, case studies, and presentations on the nature of congressional materials. 10 The anthology includes some older material as well as more recent writings that take the reader through the steps of acquiring, processing, and using political collections. The academic literature on congressional archives specifically addresses the unique aspects of congressional archives and how they differ from other archival collections. Often, management or even other archivists poorly understand these differences. Linda Whitaker, a member of the Editorial Advisory Board for the publication Managing Congressional Collections, stated how one obstacle to the creation of the manual was explaining to the SAA Publications Board how congressional archives differ and thus merit their own publication. She said that congressional collections can "generate a political climate all their own." 11 Authors also cite the size, complexity, and cost of processing and caring for the materials. Pease Miller claimed that the average senator generates more than 100 linear feet of files per year in office. 12 Other authors addressed dealing with congresspersons as high-profile donors, often with high expectations for their materials. Similarly, many case studies exist on how institutions must prepare for congressional acquisitions and how they manage to process them. In 1994, Mark Greene wrote an appraisal case study of congressional records at the Minnesota Historical Society acknowledging the need to tackle large collections. 13 The article foreshadowed the influential and provocative Greene and Dennis Meissner article, "More Product, Less Process: Revamping Traditional Archival Processing" in The American Archivist, which changed the way we approach and process our collections. 14 Many congressional archivists dealing with enormous unprocessed collections and substantial backlogs welcomed this new way of thinking. Larry Weimer's essay in American Political Archives Reader specifically addresses the use of "More Product, Less Process" for congressional materials. 15 Five essays by historians and political scientists in An American Political Archives Reader present their perspective and aspirations for the use of political collections 16 . However, these articles and the literature in general do not include discussions by archivists explaining the use of congressional materials. There seems substantial reason to believe archivists acquire, process, and advocate for congressional collections with neither a full understanding of how these collections might be used nor much sophisticated empirical evidence for how they have been used to date. Archivists have been content simply to assert the importance of these collections or take their research value as self-evident. No wonder we found ourselves unprepared when asked who uses these collections and whether or not use or research potential justifies their accession, processing, and maintenance. Survey and Assessment Tribal Resources Survey: Discovering Congressional Collections My colleague Wendel Cox's time at University of Arizona Libraries Special Collections began with a comprehensive review of processed manuscript collections for content related to seventeen Indigenous peoples of Arizona, New Mexico, and the Mexican state of Sonora. The 8 project sought to establish a foundation for working relationships with these same peoples in the spirit of more ethical stewardship of collections as recommended by the Protocols for Native American Archival Materials (PNAAM). 17 To even begin to realize such an aspiration, we first needed to enhance our intellectual control: to know more about our materials, who they represent, what they depict, and what challenges and opportunities they might present for all concerned. 18 As that survey began in the fall of 2014, Cox's professional interest in modern tribal politics, self-determination, and sovereignty left him curious about the collections of three Arizona politicians: Stewart L. Udall, Morris K. Udall, and Dennis DeConcini. Stewart Udall represented Arizona in the House, resigning to serve as secretary of the interior for President John F. Kennedy, and, later, Lyndon B. Johnson. Interior Secretary Udall's charge left him a principal in relations with the federally recognized Indian tribes and the Bureau of Indian Affairs (BIA). Morris Udall succeeded his brother in the House and subsequently served fifteen consecutive terms from 1961 to 1991. Mo Udall served on—and later chaired—the House Committee on Interior and Insular Affairs, and his district included various federally recognized tribes. 19 Dennis DeConcini served three terms in the Senate (1977–1995). He represented twenty—and, later, twenty-one—federally recognized tribes. Historians interested in American Indian history underutilize congressional collections, yet this neglect has gone largely unremarked. For example, George P. Castile's foundational works on federal Indian policy during the era of service by Stewart and Morris Udall and Dennis DeConcini relied almost exclusively on executive branch records; with one exception, none who reviewed Castile's work raised his neglect of congressional collections. 20 The small literature on government sources for American Indian history includes little treatment of congressional collections. Todd Kosmerick's important two-part article in the Western Historical Quarterly highlighted congressional collections at the University of Oklahoma's Carl Albert Center. It stands as the only study of congressional collections and American Indian history. Kosmerick himself acknowledged the same neglect with his observation that congressional collections are "not the first source most researchers would explore for Native American history." 21 Michael L. Tate's earlier survey of federal sources for American Indian history deals largely with published materials, concluding with the National Archives and Records Administration (NARA) and its regional centers, which almost exclusively collect materials from the executive branch and federal agencies. Tate's later essay on sources for the 1960s and 1970s again deals almost exclusively with published federal sources. 22 Robert A. Staley's insightful description of the representation of Indigenous voices in congressional testimony is invaluable for beginning to understand the potential of congressional sources—but, again, it deals with published sources, specifically, the Serial Set, the central official published record of the United States Congress. 23 Cox was optimistic about the potential for each of our political collections as resources for modern American Indian history, but nothing prepared us for the volume of material or the research opportunities he discovered. Here are the perspectives of tribes, parties to tribal affairs, stakeholders outside Indian Country, federal officials, elected and appointed state and local officials, interested citizens—writing, calling, speaking—and other members of the House and Senate engaged in policymaking and oversight of the executive branch and its agencies. Not only is there a wealth of regionally and tribally specific information, but also an abundance of materials on issues of relevance throughout Indian Country. It soon became evident to us that congressional collections bring together and concentrate in a single place a diversity of observers on specific issues. With the Morris Udall Papers, for example, it seems as if we found a dissertation topic in each related container. Nor is there much reason to think what we found in these collections is unique to these representatives. Each man was deeply interested in federal Indian policy and tribal affairs, but they were hardly alone in representing tribes in their districts or states. As we write this article, there are 566 federally recognized tribes in thirty-five states. Seventy percent of U.S. senators have federally recognized tribes located within their respective states. Additionally, eleven states formally recognize tribes who are not federally recognized, with three states (Georgia, Maryland, and Vermont) having only state-recognized tribes. 24 For the 113th Congress, the U.S. Census Bureau identified five states (Alaska, Montana, North Dakota, South Dakota, and Wyoming) where single House members have federally recognized tribes within their respective states. Thirty-one more states with multiple congressional districts have at least one or more districts with a substantial Indigenous presence. When the Census Bureau includes reservations, home lands, state-designated tribal statistical areas (SDTSA), and tribal designated statistical areas (TDSA), some 135 congressional districts in thirty-six states have a substantial Indigenous presence. 25 Moreover, the very nature of American government, tribal sovereignty, and the unique histories of the tribes make congressional collections a likely resource for research touching on Indigenous peoples and related issues. The wealth of materials we found in our collections reflects the role of Congress in the unique nation-to-nation relationship with the tribes; the plenary power over the tribes claimed by Congress; the representation of a state or districts with federally recognized tribes; the multiplication of representation in instances where reservations cross the boundaries of congressional districts and states; the likelihood of a congressional 11 district including more than one tribe; and the political imperatives created by the tribes as voters, voting blocs, and, in some instances, substantial or pivotal portions of the electorate. Finally, the conflicting and shared interests of tribes, local governments, state governments, business and corporate entities, and myriad federal agencies, and the twentieth-century reality of the growth, not diminishment, of tribal lands generated conflict, cooperation, and endless work to secure limited means and assert tribal sovereignty. Congressional collections are catchments: various reports, letters, legislation, telegrams, petitions, research, and other related matter make their way into these collections. Parties call on Congress and individual representatives to address issues touching tribal peoples because of the role of Congress in regard to the tribes. Turning first, or repeatedly, to a congressional collection might provide the backbone for research, where additional research could flesh out an account of particular developments. Assessment Project: Understanding Use of Congressional Collections His review of Indigenous content in processed manuscript collections complete, Cox next undertook a holistic analysis of UA Special Collections. He found the existing approaches to special collections assessment in much of the literature largely considers collection management questions, including backlogs, accessibility, and preservation challenges. 26 With a relatively small backlog, a substantial degree of accessibility, and modest conservation challenges, Cox was interested in something more and something new. He settled on a novel approach involving quantitative data to explore our users and use relying largely on data generated and retained in the course of our operations. 27 Much of that operational data came from our integrated library system (ILS) and its circulation figures. This presented both opportunities and challenges to overcome if we sought to develop future data collection to support more nuanced understandings. Those opportunities and challenges deserve further explanation. A subject classification table in our circulation system apportions Library of Congress call numbers and Dewey Decimal Classifications into very discrete sections. Our table has more than eight hundred discrete spans for print materials but only a handful of custom designations for manuscripts (e.g., MS for modern manuscripts and AZ for legacy manuscripts). Dummy accounts ascribe collection use to classes of users rather than individuals: specifically, community users, visiting researchers, University of Arizona undergraduates, University of Arizona graduate students, University of Arizona faculty and staff, and University of Arizona alumni. From the data, we can speak reliably about what in our collections interests each class of user. Those interests are distinct to each class and differ markedly from class to class. For print collections, we can describe class interests in great detail because of the granularity of the subject classification table. We cannot not do the same for manuscript collections. While the same systems allows us to count the use of manuscript collections and specific containers within collections with precision, it does not allow us to profile the use of any one manuscript collection by user class. Collectively, researchers not affiliated with our campus— a small number of community users and a larger number of visiting researchers—account for the majority of material requests in our reading room in recent years. Most of what visiting researchers request are manuscripts, and the papers of Stewart L. Udall and Morris K. Udall are our leading collections by use. Together, they account for one-quarter of all manuscript requests. 28 The papers of Dennis DeConcini figure in our top fifteen most-used collections—no small accomplishment given that its enormous finding aid has only recently been placed online. The limitations of our existing system and the operational data it gathers precluded us from knowing precisely how much of the use of congressional collections is associated with each specific class of users. An audit of our paper registration forms that might yield this data proved utterly impractical: just sorting the more than two thousand forms from one twelve-month span into user classes required an entire semester of an undergraduate shelver working on this project when not otherwise occupied with user requests during the assigned ten to twelve hours each week. To understand who uses what manuscript collections, we would need to alter our circulation system and practices, something not easily done and a matter for the future. Just as interesting is how scholars use the Udall collections. For Stewart Udall, 144 of 250 containers had been used (57%), while for Morris Udall, 242 of 775 containers had been used (31%). How might we understand user interests from these patterns? For example, what might these patterns suggest about the scope and nature of any prospective digitization? In a modest experiment, we began to explore sectioning the text of the digital Morris Udall finding aid into descriptions of containers used and not used, weighting the text of each used container accordingly, and creating and comparing three associated word clouds: one cloud for used containers, another for unused containers, and a baseline cloud of content across all containers. The results suggested distinct subjects of interest and subjects of neglect, and further development of this mode of analysis may yield insights. Our congressional collections are heavily used, and we have reason to believe most of the use derives from visiting researchers. How might we better meet their needs with these collections? What are the implications of past use for future marketing of congressional collections? And what might past use tell us about where we ought to concentrate our processing efforts? Ultimately, analysis of these facets of available operational and other data began to exercise a profound influence on our perspective and strategic planning. We realized most every element of our work—from the acquisition, accession, and processing to reference, instruction, and advocacy—might be informed and changed by a data-informed understanding of how our collections are used and the nature of our users. This new perspective carries beyond our congressional collections, of course, but it also leads to new perspectives on those collections. We were not entirely sure who was using these collections, but had begun to explore what initiatives might answer that and related questions. New Perspectives on Congressional Collections To date, much discussion of congressional collections has addressed the challenges of processing, management, and outreach. While these efforts have been valuable, they tread a familiar path. By chance, our experiences led us to look anew at the nature of political collections, what they capture, and how their contents accrue. In exploring content related to tribal peoples, it became apparent that the size and scope of information gathered in such collections and the distinct role of congressional offices inform an unremarked research potential. Much of what we encountered is a function of the nature of federal politics and the modern American political experience. The diffuse nature of the American polity and political process presents a challenge for trying to study and explore these experiences. Where does one look for all of these interests, jurisdictions, and perspectives? The answer, it seems, might be congressional collections, where American politics, joined with modern recordkeeping and political practice, sees the accumulation of vast, diverse, and potentially highly accessible sources. Congressional collections are a nexus, a node, a crossroads where parties meet in the pushing and hauling of modern American politics. Congressional collections serve researchers as a scaffold: a platform from which to work on the construction of our understanding of events; a first stop and point of return for examination of political issues and affairs. We no longer question interest in congressional collections at the University of Arizona. We also no longer need to assert their value but can offer evidence of their value. We know, for the first time, that our congressional collections are among our most-used and can demonstrate this empirically. Clearly, researchers value these collections, and we have reason to believe that use largely derives from visiting researchers. We also have the basis for inviting others with congressional collections to undertake their own analyses of use, use patterns, and user constituencies to compare with ours. We took a step toward understanding the use of our collections empirically and letting such use inform—not guide, not dictate—processing, reprocessing, and accessibility, as well as marketing and outreach. Our resources—time, money, and energy—might be used more rationally. All of the information that we acquired from these projects will be helpful for creating and justifying funding for collections. We are already using this data for donor development and reporting to the Udall Foundation a significant number of researchers visiting the Udall materials. The foundation allows us to attribute the funds that it provides to help increase discoverability of the Udall collections locally and nationally. The implications for grant funding and fund-raising for future collections are also clear. Practically speaking, our insights about the nature of materials touching on Indigenous issues in congressional collections are salient to tribal people and scholarly interest in Indigenous affairs. They afford a novel opportunity to connect and communicate with tribes and establish positive working relationships. Likewise, our newfound knowledge that many of our users are not local should encourage on-site public programming to be distributed globally through online audio and video. Understanding that the Stewart Udall and Morris Udall Papers are our most used collections and likely by researchers who are not local to the southern Arizona area demonstrates the need to put more effort into assisting visiting researchers to view these collections. The Udall Foundation previously funded research trips to the University of Arizona Special Collections, but funding reductions resulted in this program being cut. New data suggest these allocations ought to be revisited and may drive external fund-raising. Many parts of the Stewart and Morris Udall Papers have been digitized. Although it is cost prohibitive to digitize collections in their entirety, identification of containers and associated topics that receive the most attention and analysis of the materials already digitized should direct and focus future digitization efforts. Currently, political collections are one of many collecting areas of the UA's Special Collections. 29 Our data might be used to promote them and entice more financial donations and, if warranted, an enlargement of the program that could one day create an independent unit or center separate from Special Collections with its own funding and programming, such as the South Carolina Political Collections at the University of South Carolina Libraries or the Modern Political Archives at the University of Mississippi Libraries. 30 Importantly, understanding how scholars use our collections through data will help us better advocate for our archives. SAA president Dennis Meissner has called for stories and arguments for collections based on "a bedrock of data." Meissner admitted the difficulty of gathering the data, but he argued it is imperative to demonstrate the value of collections. 31 Data is the language of today's decision-making, he observed. To be better stewards and advocates, we must make our points with it. We anticipate using the data that we gained from these projects to promote them to our supervisors, funders, and potential donors, and to educate them on the use and strengths of congressional collections. Conclusion The late Speaker of the House Thomas "Tip" O'Neill is most closely associated with the long-standing observation that all politics is local. 32 It might be better to say that American politics has many dimensions that may come together nowhere more consistently and comprehensively than in modern congressional collections. One of the insights of recent scholarship on American political history has been the significance not only of the evolution of the state but also how the state is comprised of a multiplicity of jurisdictions and overlapping public and private spheres. 33 As we learned from an unrelated search for Indigenous content, congressional collections gather together materials illustrative of the conjunction of the local, the state, the national, and as we saw, the tribal. There is little reason to think this phenomenon is associated only with tribal affairs and issues, but merely acute in such instances. A fresh look at congressional collections by institutions that house them by the archivists who care for them may reveal that the nature of American politics disposes such political papers to consolidate a multiplicity of voices and ideas on issues of the day from different vantages and public and private spheres. Similarly, assumptions about the neglect of congressional collections, the reason for so many lamentations about the future of political papers, might be misplaced. Our data have changed our perspective on political collections and cast their future at our repository in a different light. A generalized anxiety has given way to optimism grounded in facts: our congressional collections are used, used extensively, and deserve creative, thoughtful, and empirically grounded attention for their further promotion, enhancement of access, and profile via outreach to potential users. It is time for archivists with political collections to place themselves on a new footing, one firmly grounded in empirical evidence, where new directions arise from a much wider-ranging conception of the implications of American political life for the nature and utility of these collections. Only when we have glimpsed the possibilities, which come to us through collaboration, will we be able to share those new prospects and potential with others and do away with tired and untrue assumptions. Each institution's experience is likely to differ, of course, but much can be learned from a concerted effort to explore users and use through operational data and have those insights inform our decision-making. Sharing those ideas and data with each other, especially as they speak to the use of congressional or political collections, offers the prospect of gaining insights through discerning patterns large and small, comparing and contrasting experiences, and building a comprehensive account of the state of political collections. There is no reason to wait to do this. Notes 1 "About Us," Udall Foundation, accessed January 16, 2018, http://www.udall.gov/aboutus/aboutus.aspx. 2 Nancy Beck Young, "Trends in Scholarship in Congress: A Historian's View," in An American Political Archives Reader, ed. Karen Dawley Paul, Glenn R. Gray, and L. Rebecca Johnson Melvin (Lanham, Md.: Scarecrow Press, Inc., 2009), 381. 3 Paul Milazzo, "Congressional Archives and Policy History," inAn American Political Archives Reader, 391. 4 Scott A. Frisch and Sean Q. Kelly, "Dataheads: What Archivists Need to Know about Political Scientists," in An American Political Archives Reader, 402–7. 5 Julian Zelizer, "Congress Is Back: Scholars Study Its History to Understand Its Problems," Chronicle of Higher Education, June 17, 2013, http://www.chronicle.com/article/Congress-Is-Back/139729/. 6 The three articles include: Lydia Lucas, "Managing Congressional Papers: A Repository View," The American Archivist 41, No. 3, (July 1978): 275-80; Eleanor McKay, "Random Sampling Techniques: A Method of Reducing Large, Homogeneous Series in Congressional Papers," The American Archivist 41, No. 3, (July 1978): 281-89; Richard Baker, "Managing Congressional Papers: A View of the Senate," The American Archivist 41, No. 3, (July 1978): 291-96. 7 Frank Mackaman, Congressional Papers Project Report (Washington, D.C.: National Historical Publications and Records Commission, 1986). 8 Karen Dawley Paul, Records Management Handbook for United States Senators and Their Archival Repositories. (Washington, D.C.: U.S. Senate, 2006); Office of the Clerk of the U.S. House of Representatives, Records Management Manual for Members of the U.S. House of Representatives (Washington, D.C. : The Office, 2006). 9 Faye Phillips, Congressional Papers Management (Jefferson, NC: McFarland & Company, 1996); Cynthia Pease Miller, Managing Congressional Collections (Chicago: Society of American Archivists, 2008). 10 Karen Dawley Paul, Glenn R. Gray, and L. Rebecca Johnson Melvin, ed.,An American Political Archives Reader (Lanham, Md.: Scarecrow Press, Inc., 2009). 11 Linda A. Whitaker, "The Making of a Manual: Grass Roots Advocacy for Managing Congressional Papers," http://www2.archivists.org/sites/all/files/SW%20Archives%20article%20v%202_0.pdf. 12 Pease Miller,Managing Congressional Collections5. 13 Mark A. Greene, "Appraisal of Congressional Records at the Minnesota Historical Society: A Case Study," Archival Issues 19, no.1 (1994): 31-43. 14 Mark Greene and Dennis Meissner, "More Product, Less Process: Revamping Traditional Archival Processing," The American Archivist 68, no. 2, (Fall/Winter 2005): 208-63. 15 Larry Weimer, "An Embarrassment of Riches: Access and the Politics of Processing Congressional Collections," in An American Political Archives Reader, 317-46. 16 The five essays are included in the book as "Part VI: Using Political Collections." They include Nancy Beck Young, "Trends in Scholarship on Congress: A Historian's View," in An American Political Archives Reader, 38190; Paul Milazzo, "Congressional Archives and Policy History," in An American Political Archives Reader, 391400; Scott Frisch and Sean Q. Kelly,"Dataheads: What Archivists Need to Know About Politicial Scientists," in An American Political Archives Reader, 401-18; Frank Mackaman, "Congressional Collections: Where the Mundane Becomes Compelling," in An American Political Archives Reader, 419-28; Douglas B. Harris, "Recovering History and Discovering Data in the Archives: An Alternative Mode of Research for Congress Scholars," in An American Political Archives Reader, 429-40. 17 "Protocols for Native American Archival Materials," Northern Arizona University, accessed January 11, 2018, http://www2.nau.edu/libnap-p/index.html. 18 For a description of this process, its context, and how it leads to a broader, more inclusive and collaborative institution of PNAAM in academic archives, see Verónica Reyes-Escudero and J. Wendel Cox, "Survey, Understanding, and Ethical Stewardship of Indigenous Collections: A Case Study," Collections Management, 42:3-4 (2017): 130-138. 19 Stewart and Morris Udall represented Arizona's 2nd congressional district. The district's changing boundaries routinely altered—or even eliminated—representation of wholes or parts of Arizona's federally recognized tribes. As of the 113th Congress, six of Arizona's nine congressional districts encompass wholes or parts of the reservations of Arizona's twenty-two federally recognized tribes. Congressional districts and reservations are not coterminous. Consequently, the number of tribes within the bounds of each district varies, and some tribes are represented by more than one representative. The 1st, 3rd, 4th, 5th, 6 th , and 9th congressional districts encompass, respectively, twelve, three, nine, two, two, and two reservations. The 2nd congressional district currently does not include any federally recognized tribe. See "Arizona American Indian Areas by Congressional District," www2.census.gov/geo/relfiles/cdsld13/04/dist_ir_cd_04.txt. 20 Castile's two works are To Show Heart: Native American Self-Determination and Federal Indian Policy, 19601975 (Tucson: University of Arizona Press, 1998) and Taking Charge: Native American Self-Determination and Federal Indian Policy, 1975–1993 (Tucson: University of Arizona Press, 2006). Donald L. Fixico's review of George P. Castile's "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960–1975," The Journal of American History 86, no. 4 (2000): 1882, laments Castile's neglect of congressional collections. Contrast Fixico's review with Christopher K. Riggs, "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960-1975," Montana: The Magazine Of Western History 52, no. 2 (June 2002): 73-75; Christopher K. Riggs, "To Show Heart (Book Review)," Pacific Historical Review 70, no.1 (February 2001): 147; Raymond Wilson, "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960-1975," Kansas History 23, no. 4 (December 2000): 265; Michelle LeBeau, "Reviews," American Indian Culture & 21 Research Journal 24, no.1 (March 2000): 259; Larry Burt, "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960-1975," Great Plains Quarterly 20, no.1 (January 2000): 75; W. Ben Secunda, "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960-1975," Chronicles Of Oklahoma 77, no. 4 (December 1999): 478-479; Rolland Dewing, "To Show Heart: Native American Self-Determination and Federal Indian Policy, 1960-1975," Nebraska History 80, no. 1 (March 1999): 41; Karl Eschbach, "The Resurgent Indian," American Studies 39, no. 3 (Fall 1998): 175-182. 21 Todd Kosmerick, "Exploring New Territory: The History of Native Americans as Revealed through Congressional Papers at the Carl Albert Center[;] Part I," Western Historical Quarterly 30, no. 2 (1999): 203–11, quote on 203. See also Kosmerick, "Exploring New Territory: The History of Native Americans as Revealed Through Congressional Papers at the Carl Albert Center[;] Part II," Western Historical Quarterly 30, no. 4 (1999): 499–508. 22 "Studying the American Indian through Government Documents and the National Archives," Government Publications Review 5, no. 3 (1978): 285–94, and "Red Power: Government Publications and the Rising Indian Activism of the 1970s," Government Publications Review 8A (1981): 499–518. 23 "Congressional Hearings: Neglected Sources of Information on American Indians," Government Information Quarterly 25 (2008): 520–40. 24 National Conference of State Legislators, "Federal and State Recognized Tribes, National Conference of State Legislatures," http://www.ncsl.org/research/state-tribal-institute/list-of-federal-and-state-recognized-tribes.aspx. 25 U.S. Census Bureau, American Indian Areas by Congressional District [113th Congress], "Congressional Districts Relationship Files (State-based)," https://www.census.gov/geo/maps-data/data/cd_state.html. The thirty-sixth state, Hawaii, appears as a function of including Indigenous Hawaiian homelands. 26 The scope of most archival assessment practice is described in Martha O'Hara Conway and Merrilee Proffitt, "The Practice, Power, and Promise of Archival Collections Assessment," RBM: A Journal of Rare Books, Manuscripts, and Cultural Heritage 13, no. 2 (Fall 2012): 101-4. 27 The inspiration for this direction came from Joyce Chapman and Elizabeth Yakel, "Data-Driven Management and Interoperable Metrics for Special Collections and Archives User Services," RBM: A Journal of Rare Books, Manuscripts, and Cultural Heritage 13, no. 2 (2012): 129–51. The failure of special collections to explore users and was the recipient of the 2014 Congressional Papers Roundtable Pre-Conference Scholarship and is currently serving as chair of the J. Franklin Jameson Archival Advocacy Award Subcommittee. J. Wendel Cox is a research and instruction librarian at Dartmouth College. A librarian and a historian, he earned a PhD in American history from the University of Minnesota. He previously worked at the University of Kentucky, the Denver Public Library's Western History/Genealogy Department, and the University of Arizona Libraries. His current research projects include midtwentieth-century dog control in Denver, assessment in special collections, and a monograph on cougars (Puma concolor) in North American history.
ANNUAL REPORT HELLENIC ACCOUNTING AND AUDITING STANDARDS OVERSIGHT BOARD (HAASOB) Contents CHAIRMAN's PROLOGUE I am honored and pleased to present the first annual report of the Hellenic Accounting and Auditing Standards Oversight Board (HAASOB) for year 2015. The annual report includes the Oversight's Board operational framework along with its main activities related to the supervision of the quality of statutory audits performed by statutory auditors and audit firms within the responsibility of the Quality Control Board as well as matters related to accounting standards, within the responsibility of the Accounting Standards Board. Emphasis is given to the presentation of the findings that have emerged from the quality inspections carried out by the Quality Control Board, which contribute to improving the quality of audits. In all cases, the HAASOB should exercise its supervisory/oversight authority in a way that provides the guarantees for a fair, impartial and objective judgment. Reference is also made to HAASOB's international activities, both at a European and international level, as the effective exercise of the Board's tasks is tightly intertwined with its active participation in the international developments in the fields of accounting and auditing. 2015 was the year of the transposition into our national law of the new regulatory framework imposed by the EU regarding the audit of the financial statements of public interest entities, thereby enhancing the confidence of investors, safeguarding the independence of auditors, promoting better corporate governance framework and greater transparency in the issuance of financial statements. I firmly believe, regardless of the changes that the implementation of new Directive and Regulation will bring, that the HAASOB will undoubtedly continue to play a crucial role in improving the quality of the audit and accounting profession. Professor George Venieris Chairman PART 1: THE HELLENIC ACCOUNTING AND AUDITING STANDARDS OVERSIGHT BOARD (HAASOB) 1.1 Objectives and competence The Hellenic Accounting and Auditing Standards Oversight Board (HAASOB) is the national supervisory authority of the accounting and audit profession aiming to establish and supervise the correct and effective implementation of accounting and auditing standards. The HAASOB'S authority results from the relative legislative framework and is oriented to act exclusively in the public interest. The HAASOB is a state authority, which benefits administrative and financial autonomy and is supervised by the Minister of Finance. The HAASOB'S operational expenses do not burden the state budget, and its income resources are contributions paid by the regulated entities. The annual budget and annual report of the HAASOB is submitted by its Board of Directors for approval to the Minister of Finance. The HAASOB's purpose is to enhance the transparency of the operation of businesses and strengthen the investors' trust, to apply of accounting standards and ensure the quality of audit services. The following are the main three areas under the HAASOB's authority: Audit profession: The HAASOB supervises statutory auditors and audit firms. It is the authority responsible for granting and recalling professional licenses for statutory auditors and audit firms. The HAASOB is responsible for setting the legal framework for granting and maintaining professional license and responsible for the Public Register of statutory auditors and audit firms, which have been granted a professional license. The HAASOB is also responsible to interpret and specify the requirements of the legislation governing the conduct of auditing. Finally, through the Professional Examination Committee, the HAASOB oversights all aspects of the exercise of the audit profession, as professional examinations, practical training and the granting of professional licenses. Quality of Audits: The HAASOB supervises the quality of statutory audits performed by the statutory auditors and audit firms. For this purpose, quality inspections are carried out on the audits performed by statutory auditors and audit firms. Furthermore, as to the infringements of law and regulatory framework governing the work of statutory auditors and audit firms, the HAASOB has the authority to impose sanctions such as recommendation, reprimand, fining, temporary and permanent recall of professional licenses and deletion from the Public Register of statutory auditors and audit firms. Accounting and auditing standards and practices: The HAASOB establishes and oversights the implementation of accounting and auditing standards, ensuring compliance of statutory auditors and audit firms with international auditing standards and the Code of Ethics of the International Federation of Accountants (International Federation of Accountants - IFAC). The HAASOB, recommending the adoption of accounting and auditing standards for the Greek territory, operates as an advisor to the Minister Finance. Additionally, as the national oversight authority, the HAASOB enters into agreements with other regulatory authorities in the spirit of cooperation and the performance of its functions. 1.2 Governance and staff The Board of Directors, appointed by the Minister of Finance, consists of the Chairman, two Deputy Chairmen and four other members proposed by the Bank of Greece, the Capital Market Commission, the Hellenic Federation of Enterprises and the Federation of Industries of Northern Greece, one member from each institution. The Board of Directors of the HAASOB appointed on 22.08.2014 is as follows: Chairman: Professor George Venieris Deputy Chairman A: Panagiotis Giannopoulos Deputy Chairman B: Athanasios Kontogeorgis Members: Dionysios Christopoulos (representative of the Bank of Greece), Xenophon Avlonitis (representative of the Capital Market Commission), Christos Diamantopoulos (representative of the Federation of Industries of Northern Greece), Kostas Sfakakis (representative of the Hellenic Federation of Enterprises). Executive Committee: The Executive Committee is responsible for operating the administrative and financial activities of the HAASOB and the general organization and operation of the Board of Directors. Quality Control Board: The Quality Control Board is the competent body of the HAASOB for the oversight of the audit profession. Its aim is to ensure the quality of audit services provided by statutory auditors and audit firms. The Quality Control Board's responsibilities are: * to carry out quality inspections on persons referred to in paragraphs 2-8 of Article 2 of Law 3693/2008 (National Gazette A 174), * to prepare recommendations to the persons referred to in par. 2-8 of Article 2 of Law 3693/2008 (National Gazette A 174) as a result of quality inspections, * to conduct investigations in order to ascertain any infringements of the law and the regulatory framework governing the work of auditors including HAASOB's regulatory acts, the valid Code of Ethics, the auditing standards or quality assurance standards either ex officio or following a written complaint, * to prepare recommendations to the HAASOB's Board of Directors as a result of carrying out quality inspections of the above case, * to conduct inspections relating to the enforcement of disciplinary sanctions and exercise of supervision over the HAASOB'S Accounting and Auditing Issues, Department when it is conducting the aforementioned inspections, * to prepare general proposals concerning auditing and quality inspections issues and investigation of disciplinary violations to HAASOB's Board of Directors. * any other issue that concerns the exercise of quality inspections over the audit work, and the investigation of cases to detect possible disciplinary violations. The Quality Control Board is a five-member body appointed for three years. Its current members and their substitutes, appointed by the HAASOB's Board of Directors, are the following: - Panagiotis Giannopoulos, HAASOB'S Deputy Chair A, as Chair. * Ioannis Filos, Associate Professor of Accounting and Auditing at the Public Administration Department of Panteion University, as a member, substituted by Konstantinos Karamanis, Associate Professor of Accounting of the Economic University of Athens. * Nikolaos Papadimos, auditor at the Capital Market Commission, as a member, substituted by Panagiotis Ioannou, auditor of the of the Capital Market Commission. * Dimitrios Paraskevopoulos, retired statutory auditor, as a member, substituted by Charalambos Stathakis, retired statutory auditor. * Aggeliki Samara, expert on accounting and auditing matters, as a member, substituted by George Iatridis, Associate Professor of Accounting and Finance at the University of Thessaly Department of Economics. Accounting Standards Board: The Accounting Standards Board issues legal opinions on accounting standardization issues and is responsible for the following: a) Setting up, reviewing and/or modifying the valid Charts of Accounts, aiming to adapting them to developments in science and practice. b) The manner, the time and the procedure of general or upon case mandatory application of International Accounting Standards by economic entities or by categories of economic entities. c) The adoption of Directives concerning the implementation of the relevant applicable Charts of Accounts and International Accounting Standards. The Accounting Standards Board is a five-member body appointed for three years. Its current members, appointed by the HAASOB's Board of Directors, are the following: - Athanasios Kontogeorgis, HAASOB'S Deputy Chair B, as Chair. - Konstantinos Karamanis, Associate Professor of Accounting of the Economic University, as a member. - Panagiotis Vroustouris, Statutory Auditor, as a member. - Sandra Koen, Associate Professor of Accounting of the Economic University of Athens, as a member. - Dimitrios Gounopoulos, Associate Professor of the University of Sussex, as a member. Disciplinary Board The HAASOB's Disciplinary Board is the body responsible for ascertaining violations of the law and the regulatory framework governing the work of auditors, including HAASOB's regulatory acts, the valid Code of Ethics, the auditing standards or quality assurance standards, along with the cases of non-compliance with the recommendations made by the HAASOB'S Quality Control Board, as a result of the quality inspections. It consists of the HAASOB'S seven-member Board of Directors along with two members of the State Legal Council, defined by its Plenary Session and the decisions are taken by a simple majority, provided that the conditions of quorum and lawful composition of the Board are met. Two reeves, serving the State Legal Council of the Ministry of Finance, were appointed members of the HAASOB's Disciplinary Board. Organizational structure The HAASOB's organizational structure is defined by Law 3148/2003, and by the Presidential Decree 4/2009. The 2015 structure of the HAASOB is shown in the following chart: Chairman Accounting & Auditing Research & Quality Control Support Sector Accounting Issues and Research Department Auditing Issues, Research & Quality Control Support Dept. Administrative & Financial Sector Finance Department HR Department Information Systems and Computer Support Department Department of Legal Services Deputy Chairman A Deputy Chairman B PART 2: OVERVIEW OF THE HAASOB'S 2015 ACTIVITIES 2.1 Inspections System The HAASOB has structured the framework and the quality inspections program aiming to protect the public interest. This procedure is based on specific criteria that concern both the frequency and the methodology of selecting the audited entities. As to the frequency of conducting quality inspections, the selection criteria for audit firms and / or statutory auditors as defined by Article 39 of Law 3693/2008 are the following: At least every three years for audited entities that perform statutory audits on public interest entities (PIES) and At least every six years, for inspected firms and CPAs that do not perform statutory audits on public interest entities (non PIES). As to the selection criteria of each engagement file, the HAASOB takes the following parameters under consideration: 1) The degree of risk concentration for the public interest in an inspected firm. To estimate the concentration of risk the number and /or capitalization of public interest entities that the inspected firm audits is taken into account. 2) The degree of risk concentration for the public interest, depending on the market conditions and the entities of public interest that the inspected firm audits. 3) The potential of setting the independence of the entity audited at stake because of possible concentration of the income resources of the audited entities to a limited number. 4) Critical accounting and auditing issues. 5) Violations and findings of the inspections noted that the HAASOB has already performed in the past. 6) Recommendations and suggestions to audit firms and statutory auditors after inspections that HAASOB has already performed. 7)Allegations and reports that have been submitted to the HAASOB. 8) Preliminary investigations ordered by prosecutors and judicial authorities. 9) Cases of abnormally low fees, observed from the submitted information in relation to the size of the audited entities. Quality inspections contain: a) The assessment of the planning of the internal inspections system that the inspected firm is required to maintain, in accordance with Article 24 par. 2 of Law. 3693/2008 and the International Standard on Quality Control 1 (ISQC-1) and the control of effective compliance. b) The evaluation of the audit work of the statutory auditors that the inspected firm undertakes, in accordance with the applicable auditing standards and legislation. c) The evaluation of the content of the latest Transparency Report, which the inspected firm has published in connection with the information specified in article 36 of Law 3693/2008 as regards the minimum content of the Transparency Report. d) In addition to the above, the content of inspections can also be to evaluate the adequacy of the measures and procedures, that the statutory auditors and audit firms have adopted on the basis of AntiMoney Laundering, Counter-Terrorist Financing, in accordance with the provisions of the existent legislation and no. 004/2009 Regulatory Act of HAASOB, as applicable. The HAASOB performed quality inspections consistently according to an analytical inspections program applicable to all audit firms in compliance with specific inspections procedures as shown in the following figure: INSPECTIONS PROCEDURE RECOMMENDATΙONS HAASOB’S FILE Issuing and sending the inspection order to the audit firm The quality inspections team visits the audit firm to overview file documentation Preliminary draft report of quality control findings is issued and sent to the audit firm for the comments of the auditor Reassessment of preliminary findings report based on the comments of the auditor and amending of the report where required Selecting a folder / object Finalization of report of quality inspections findings which is sent to the audit firm, DISCIPLINARY PROCEDURE or the Board refers the case to the Disciplinary Procedure In this context, the quality inspections of 2015 focused particularly on the quality assurance systems (the International Standard on Quality Control 1 (ISQC-1) followed by audit firms. The audit firms are required to maintain quality assurance systems, in accordance with the provisions of the International Standard on Quality Control 1 (ISQC-1). The quality assurance systems were assessed by the HAASOB, in terms of planning and implementation. The policies and procedures of the audit firms were examined regarding the following issues: - The governance of audit firms - The independence and principles of professional ethics - The human resources management and development - The acceptance and retention of the audited entities - The execution of the audit engagement - The internal evaluation of the quality assurance system The above issues were considered to be of crucial importance in ensuring the quality of inspections. In the year 2015, 23 quality inspections were performed in 13 audit firms. Also, the Quality Control Board conducted quality inspections on 117 audit reports issued by statutory auditors for public hospitals. Fifteen (15) quality inspections concerned the financial statements of an equal number of entities, namely a full review of the audit documentation and the remaining eight (8) the International Standard on Quality Control 1 (ISQC-1), namely the review and inspection of compliance with the relative procedures and policies of the audit firms and monitoring of the compliance with the recommendations set out in the findings reports of previous inspections of the HAASOB. The inspections are performed through on the spot visits by authorized teams of the HAASOB. Inspections Findings - Detailed Presentation A. Statutory Audit of financial statements (15 files of audit documentation) Agreeing the terms of an audit engagement \| ISA 210 In a significant number of audits inspected, about half, errors and/or deficiencies were found in the engagement letter, in relation to the requirements of ISA 210. Planning an Audit of Financial Statements, Identifying and Assessing the Risks of Material Misstatement \| ISA 300 & 315 There have been cases where the audit strategy was not sufficiently documented by the statutory auditor (its nature not described, if that was mixed, if it was based on internal controls and whether it was entirely based on substantive procedures). Also, in some of the audit files the task to identify and assess the risks of material misstatement through understanding the audited entity and its environment was not adequately documented. In particular, the specification of the estimated risk at the financial statements and assertion levels was missing (ISA 315.5). The main deficiencies identified in the audit planning of the information technology systems of the audited entity are the following: * Identification and general description (the computer systems of the accounting / financial management etc.) * Whether the auditor planned to rely on evidence derived from the computer systems of the audited entity (such as a maturity analysis) * Incomplete documentation of the review of the important internal controls associated with the computer systems in the context of understanding the entity and its environment (no reference to the testing, but only to the description and the so-called walk-through test) Fraud in an audit of financial statements and compliance with laws & regulations \| ISA 240 & 250 Cases were identified where the assessment of risks of material misstatement was not based on the assumption that there were risks of fraud in revenue recognition, so that the auditor would have assessed what types of income or claims lead to such risks. Additionally, while the revenue recognition had not been identified as a significant risk, the auditor had not included documentation that had led him to this conclusion (ISA 240 par.26 & 47). In a significant number of audit files the procedures to identify fraud risks were judged as insufficient. In particular, in most cases the specific procedures were carried out through questionnaires which were of general nature and were completed rather mechanically with one-word answers, yes / no, and no meaningful analysis. Also -in a less number of audit engagements - weaknesses in auditing the risk of breaches of internal controls of the audited entity, including deficiencies in the audit of journal entries were found. In several cases the audit procedures on the entity's compliance with laws and regulations were not detected or were incomplete. Materiality \| EIS 320 and 600 In relation to materiality the following was noted: In more than 50% of the audit files, it was not sufficiently documented why the chosen benchmark as a starting point of materiality was suitable. Specifically, in some cases of repeated audit engagements with the same auditor there was a change of the calculation base, in relation to the previous year, without suitable documentation. Finally, there were cases of consolidated financial statements in which the auditor had not calculated materiality for the group's financial statements (ISA 600 par.21). Using the work of others \| ISA 610 & 620 (ISA 402 & 500 par. 8) The main deficiencies in the use of the work of internal auditors and experts are summarized in the following points: a) Insufficient review of the auditor's expert work and therefore nonsufficient evaluation of the reasonableness of his/ hers assumptions and the data on which it was based (ISA 620). Similar deficiencies have been identified regarding the evaluation of the management's expert work, when information from such work was used by the auditor as audit evidence (ISA 500 par. 8). b) Significant deficiencies in the evaluation of the work of the internal auditor were concluded, when it was used by the statutory auditor (ISA 610), but also in the auditing procedures (non-conducting) for services related to the audit of financial statements, provided by a service organization to the audited entity (ISA 402). Audit documentation, substantive audit procedures, audit evidence \| ISA 230, 500, 501, 505, 510, 530 540 The objective of the auditor is to establish, on time, documentation that can provide both a sufficient and appropriate register of the basis for his report, and also to provide evidence that the audit was planned and performed in accordance with the ISAs and applicable legal and regulatory requirements. In the inspections carried out for selected audit files weaknesses were identified in the substantive audit procedures carried out by the statutory auditors, the adequacy of the audit evidence gathered along with the audit documentation. The deficiencies were identified in the amounts of assets and liabilities and also the amounts of income and expenses, and are briefly analyzed below: Financial statements reconciliation There were cases in which the auditors did not include a worksheet (or errors in the worksheet were apparent) in the documentation file concerning the financial statements reconciliation with the accounting records. The findings more frequently observed concerned the lack of documentation of IFRS accounting entries. More than half of the files inspected displayed deficiencies in the documentation of the agreement of the notes on the financial statements or appendixes with supporting files. The areas where deficiencies were most frequently identified concerned disclosures for related parties and IAS 11disclosures. In one case, no documentation was existent as to that the Board of Directors report had been reviewed so that its content was consistent with the financial statements. Audit sampling in income / expenses \| ISA 530 In ten out of the fifteen files, significant deficiencies were noted in the methodology for selecting and / or the sufficiency of the samples used by the auditors. There were cases in which the auditors did not apply the sampling methodologies that were written in the audit manuals of their audit firms and which certainly were in compliance with the requirements of the ISAs. In many cases problems were apparent in the documentation of the recognition of revenue in the correct accounting period (assertion of cut off ISA 315 par. A111). External confirmations (banks, clients, suppliers letters) \| ISA 505 Regarding confirmation letters concerning balances (customers, suppliers, banks) the following situations were observed: Approximately in one third of the files there were weaknesses in alternative procedures. The errors were: (a) failure to carry out alternative procedures, (b) inadequacy of the carried out alternative procedures and (c) lack of documentation of alternative procedures. In certain engagement files, no roll forward or roll back examining procedures had been carried out. In 20% of the files the auditors had not documented the method they had used to select the sample for the customers/ suppliers confirmations letters to be sent. In most cases the correspondence of the banks was problematic. The more frequent problems were: * The auditors had not received reply letters from the banks up to the date of the audit report and had not carried out alternative audit procedures. * The auditors had received reply letters from the banks with differences which had not been further investigated. * Some letters were received from the audited entity either by fax or by email and no further consideration of the auditor had been documented to ensure that he/she was in control of the procedure. Loan liabilities Concerning loan amounts in the financial statements the main deficiencies identified were: a) Cases where the classification between long-term and short-term parts of the loan was not documented. b) The incomplete documentation for possible loan forfeiture clause, with whatever effect this could have in the classification of liabilities from longterm to short-term, but also in the evaluation of the appropriateness of going concern. Receivables–bad debts Significant indications of the insufficiency of the provisions accounted (e.g. aged balances that were not sufficiently investigated as to their recoverability, such as for example companies in liquidation) had not been evaluated. In other cases, the audit files had deficiencies in the documentation of the evaluation of the methodology implemented for provisions. The management model had not adequately and critically been evaluated as to its assumptions and results, whereas great importance had been given to the representation letter from the management. Inventories Significant were the findings in the field of valuation of inventories, such as: * Inadequate evaluation of estimates made by management regarding the value of obsolete inventories. * Calculation of the possible obsolescence of inventories by the auditor with arbitrary assumptions. Deficiencies concerning the documentation and the adequacy of the audit work for observing the management's count procedures were encountered less frequently. Deferred taxation The major failures in auditing deferred taxation were noted in the recognition of deferred tax assets. More specifically in two cases, appropriate documentation was not found as to whether the tax losses related to the recognition of the deferred tax asset could be offset against future taxable profits. Consolidation & disclosure of transactions with related parties Cases of consolidation of financial statements of companies (with extremely important financial figures) were found, which should not have been consolidated, resulting in the consolidated financial statements being seriously incorrect. Also, cases of non-disclosure or insufficient disclosure of significant (in some cases very significant) transactions with related parties were found. Going concern \| ISA 570 Economic uncertainty, a result of the current difficult economic conditions in Greece, highlights the importance of the assumption of going concern. The objective of the auditor is to obtain sufficient and appropriate audit evidence regarding the appropriate use of the assumption of going concern, by the management of the audited entity in the preparing of the financial statements. From the HAASOB's inspections it was concluded that in some cases the evaluation of the auditor ongoing concern matters was based on assumptions of the management, the reasonableness and rationality of which the auditor had not assessed. Communication with audit committees In some cases of files of companies listed in the Stock Exchange Market, it was noted that the auditor had not fulfilled his/her obligation of communication with the audit committee, according to article 37 of Law 3693/2008. Written representations \| ISA 580 and legal advisors letters Although written representations provide necessary audit evidence, they do not however provide sufficient and appropriate audit evidence on their own for any of the issues with which they deal. From the inspections carried it was noted that in several cases the representation letters of written assurance were incomplete - e.g. there was no summary of the non-corrected errors. Also, there were cases where significant deficiencies and inadequacies in the conduct of substantive audit procedures were noted, while at the same time great importance to the management's assurance letter had been given for the relative matter. Several deficiencies were displayed in the legal advisors letters. They were mainly cases in which either the lawyer did not evaluate the outcome of the cases handled at all, or in which the auditor did not document the connection of the content of the letters with his audit work for the evaluation of doubtful debts. Audit report \| ISA 700, 705 The auditor must form an opinion on whether the financial statements of the audited entity are prepared, in all material respects, in accordance with the applicable financial reporting framework. In order to form an opinion, the auditor must have obtained reasonable assurance about whether the financial statements are, as a whole, free from material misstatement. Approximately in one third of the cases, the gravity of the findings of inspections resulted, in the assessment of HAASOB auditors, to technical inappropriate type of opinion by the statutory auditor. Also, there were some cases where the audit documentation that the auditor had gathered was insufficient to support the opinion expressed in the audit report. B. Inspections of audit reports of public hospitals (117 audit reports) The Quality Control Board, apart from the programmed inspections and taking under consideration, mainly but not only, cases of unusually low fees in public hospital audits that were observed from the submitted informational data, reviewed 117 audit reports of public hospitals. From the reviews of the audit reports, which were issued by the statutory auditors and audit firms for the years 2012 and 2013, major deficiencies were concluded. In particular, the Quality Control Board identified several cases where the quantitative errors - as recorded in the opinion of the statutory auditors- were pervasive and material to the financial statements and the auditors' opinion according to the ISA 705, should have been different from the one actually expressed. The Quality Control Board called to a hearing 25 auditors for further explanations and in most cases proceeded with recommendations for compliance with its indications. Also, as part of its responsibilities, the Quality Control Board investigated allegations and reports submitted to the HAASOB and where it was judged as essential, either directly called the auditors to a hearing for further explanations, or included the cases in the current quality inspections program. C. ISQC 1 COMPLIANCE AUDITS Findings related to ensuring the quality of the provided services Major deficiencies: Acceptance and continuance of client relationships * Acceptance Procedures with filling in questionnaires which contained one word answers without adequate documentation in some cases. * There was no communication with the previous auditor. Consultation * Consultation Documentation (usually had been done orally). * Lack of relevant policies. Execution and documentation of the audit engagement Major deficiencies in the evaluation of: * The risk level of acceptance of the audit. * The overall risk and the risk of fraud. EQCR * Non conduct of a quality review of the audit engagement (even if the entity concerned was listed in the Stock Exchange Market). * Lack of selection criteria for the audit engagement for inspection {ISQC-1 par. 35 (b)}. Completion and filing * Lack of recorded policy. * The completion of the audit documentation is not documented on time. Findings related to quality assurance structures of audit firms Major deficiencies: Independence * Cases of non-completion of annual independence declarations by some staff members. * Errors in annual independence declarations. * Cases of non-compliance with the legislation on rotation. * No communication with the Audit Committee. * Provision of incompatible non-audit services. * Absence of contracts for the provision of non-audit services which made it impossible to determine their nature and content. IQCR * Lack of procedures to evaluate the quality assurance system. * Non sufficient documentation of the IQCR procedures. Cases of nonconducting IQCR. Safe custody * Lack of establishing policies for safe storage, integrity and maintenance of audit documentation (printed and electronic). Complaints * Lack of policies and procedures. Human resources Major deficiencies: Continuous education of auditors * Inadequate attendance of continuous education programs. Evaluation * Forms and evaluation criteria with very general references. * No connection between evaluation and staff development. Recruitment/Staffing * Insufficient implementation of the audit's firm established procedures. D. Transparency Report inspections As part of the inspections performed concerning the implementation of the ISQC -1, the content of the most recent transparency reports that the audit firms had published was also reviewed. Moreover, the HAASOB also reviewed the transparency reports of audit firms which were not included in the inspections program of the reference period (April 2015 - April 2016). Where errors or deficiencies were identified, the necessary recommendations and suggestions were made. E. Joint Audit between HAASOB and PCAOB In August 2015, a bilateral agreement was signed between the HAASOB and the respective US competent authority (Public Company Accounting Oversight Board- PCAOB) to conduct joint inspections of audit firms subject to the regulations of the two supervisors. This agreement was directly entered into force, resulting in that in November 2015 the first joint inspection of the two authorities was successfully completed. The execution of these joint inspections will continue in the years to come, aiming to the continuance of reinforcing investors' trust in the audit and accounting profession both in Greece and the US. 2.2 Accounting Standardization The Accounting Standards Board under its new composition has sought to respond in due time to the outstanding questions that were submitted throughout the course of 2014 and the increased volume of questions submitted in 2015 with the enforcement of Law 4308/2014 (Greek Accounting Standards). In total, in 2015 the Accounting Standards Board responded to one hundred and twenty five (125) questions submitted by entities of the narrow and broader public sector, private companies, accountants, audit firms etc. from a total of the one hundred and forty (140) questions concerning years 2013, 2014 and 2015. In addition, the Accounting Standards Board introduced the international practice of Popular Reporting «Simplified financial statements for the citizens" and encouraged its application for the first time in Greece. At the same time, all the answers to the questions are from now onwards published in the official website of the HAASOB. During 2015 ninety-three (93) questions, during 2014 twenty-six questions (26) and during 2013 twenty-one (21) questions were submitted. An increase in the questions submitted by 257.7% from 2014 to 2015 was concluded. 2.3 Organizational Issues Recruitment / staffing of the HAASOB The HAASOB has, up to date, been staffed with personnel from other public sector services. Its staff on 31.12.2015 amounted to nineteen (19) persons of which twelve (12) started working in the HAASOB in 2015. In order to support the audit supervisory work of the Board out of the twelve (12) persons that joined HAASOB's staff in 2015, five (5) are highly qualified staff with special knowledge in the audit, accounting and finance areas and vast experience in conducting inspections. Furthermore, the Information Systems and Computer Support Department was properly staffed for the first time. Adequate staffing of the Board with qualified personnel in the field of auditing, accounting and finance, is a key priority and a determining factor for the continuation of the HAASOB's operation. Organizational and Operational Manual Following the HAASOB'S staffing in 2015, and in order to cope with its objectives and aims, with its # 99 / 9 / 20.03.15 Decision, the Board of Directors approved the Organizational and Operational Manual of the HAASOB. The purpose of this manual is to provide basic personal information and a guidance tool, in order to enhance the functionality and efficiency of the Board, presenting in detail the rules governing the daily operation the HAASOB. The manual is a guide that explicates issues related to the daily practices and the ways of working. Computerization of the Administration During 2015 the HAASOB proceeded in developing an electronic register of its employees and their leaves, while also proceeded in the procurement of a payroll managing program from a specialist supplier. Upgrading of IT Systems and Support During 2015 the Information Systems and Computer Support Department proceeded with a number of activities to upgrade and improve the HAASOB's IT systems and to support their usage. In more detail: * The HAASOB'S website was reconstructed in both the English and the Greek language, with emphasis on providing both auditing and accounting information. Also, all the replies to questions submitted to the Accounting Standards Board during the period 2008-2015, were edited, grouped and posted on the website. * The database of the HAASOB's public Register was redesigned according to information received from the audit firms and / or Statutory Auditors, in order to alter any malfunctions and cover any deficiencies. * A research on the security of the HAASOB'S information systems was carried out aiming to assess the risk of its IT systems and applications and in designing a security plan. It is noted that the realization of this research was a prerequisite for the signing of the bilateral Agreement between the HAASOB and the PCAOB. * The equipment and infrastructure of the IT was reorganized with a simultaneous upgrading of the HAASOB'S computer / servers network. 2.4 Other Initiatives and Actions of the HAASOB Legislative Committee for the transposition of EU Directive 56/2014 The HAASOB participated with a leading role in the Legislative Committee appointed by the Minister of Finance for the transposition of the EU Directive 56/2014, concerning the statutory audit of the financial statements of public interest entities, to national law. As Chairman of the Committee, the HAASOB'S Deputy Chair A, Mr. Panagiotis Giannopoulos, was appointed. General Government's Accounting Chart The HAASOB actively participates with representatives in the working group set up by the Minister of Finance to form the new accounting framework (including a draft of accounts) for the General Government, pursuant to the provisions of Law 4337/2015. The working group's project is considered crucial for the transparency and credibility of the public sector's finances and the goal is the development of an accounting chart for all the general government's authorities which will meet the needs of the European System of Accounting (ESA), the International Public Sector Accounting Standards Board (IPSAS) and the state budget. PART 3: INTERNATIONAL ACTIVITIES OF THE HAASOB The auditing and accounting environment in Greece is directly associated with the international developments in the auditing and accounting field. The effective exercise of the oversight authority of the HAASOB requires cooperation with the European and International supervisory authorities and active participation in international events in the area. With this in mind, the HAASOB prioritized for 2015 the development of international relations in order to strengthen its presence in groups in which it was already involved but also the further development and creation of new relationships with relative national authorities and international bodies. Also, in addition to the active participation, the HAASOB launched a new ambitious outward-looking strategy of international relations, with the submission of candidateship and the final and official undertaking of the hosting of major international audit workshops in Athens. The HAASOB participates in the following European and international supervisory groups: European Group of Auditors' Oversight Bodies (EGAOB): This European body aims to ensure effective cooperation between the supervisory authorities of the audit profession of the EU Member States. The HAASOB actively participated in both meetings of the Group as well as in the working subgroups established to deal with issues of the supervision of the audit profession and the cooperation with supervisory authorities of third countries. European Audit Inspection Group (EAIG): This is a European body that provides a European platform for cooperation between supervisory authorities of the Member States. Its main aim is to inform its members on the important issues that arise and to promote cooperation between the supervisory authorities concerning inspections on audit work performed by statutory auditors and audit firms. The EAIG presents the findings of inspections carried out and discuss issues raised by bodies such as the International Auditing and Assurance Standards Board (IAASB) and the International Ethics Standards Board for Accountants (IESBA) and representatives from the auditing profession. The HAASOB participated in regular meetings of the EAIG in 2015, and took over the hosting of the 17th meeting of the EAIG in Athens, after its selection amongst other candidates. Committee of European Auditing Oversight Board (CEAOB): A newly established European Body in which all the European supervisory authorities are represented and take part, following the relevant decision of the European Parliament and the EU Council. In 2015, the HAASOB participated in the preparatory work for the forthcoming (in 2016) establishment and operation of the CEAOB, presenting Greece's positions and contributing to the Board's objectives, its advisory role to the European institutions. International Forum of Independent Audit Regulators (IFIAR): A global body of independent supervisory authorities of the audit profession that promotes cooperation between the supervisory authorities and the exchange of expertise and experience from the exercise of their supervisory authority. The HAASOB joined IFIAR in 2010. The HAASOB participated in IFIAR'S annual survey for the year 2014 (held in 2015), regarding the findings of its members resulting from inspections on the audit work of audit firms and also participated in the international activities of the organization. Besides its participation in the aforementioned international bodies and institutions, in 2015 the HAASOB sought to develop partnerships at a bilateral level with the respective national supervisory authorities. The realization of a bilateral agreement between the HAASOB and the US Public Company Accounting Oversight Board- PCAOB was considered of great importance. The above agreement had as its objective the supervision of audit firms subject to the regulations of both these oversight authorities, providing a framework for joint inspections of these authorities, for the protection of personal data and for the exchange of confidential information in an international environment for audit services. The PCAOB has signed similar agreements in the European Union with Denmark, Hungary, Sweden, Finland, France, Germany, Netherlands, Spain and the United Kingdom and continues its efforts to reach cooperation with regulatory authorities of the EU Member States that still have not signed such agreements. In addition, the PCAOB has signed agreements with Switzerland and Norway, as well as with many regulatory authorities in North America, the Middle East, Asia and Australia. PART 4: FINANCIAL REPORTΙNG The HAASOB'S operations do not burden the state budget. The basic budgeted and reported financial figures for the year 2015 are referred to below. INCOME The total revenues of the HAASOB for the year 2015 amounted to EUR 2,395,750.56, in comparison to the amount of EUR 2,171,620.57 the previous year, i.e. there was an increase of EUR 224,129.99, which corresponds to a percentage of 10.32 %. EXPENSES The total expenses of the HAASOB for the year 2015 amounted to EUR 999,199.03, in comparison to the amount of EUR 816,353.59 the previous year, an increase of EUR 182,845.44, which corresponds to a percentage of 22.40%. It is noted that the HAASOB's budget had not been approved until September 2014, and expenditure that had been made from the beginning of the year until September 2014, concerned only expenditure for wages which in 2015 was nevertheless higher due to the Board's staffing. PART 5: PROSPECT FOR 2016 Undoubtedly the new EU regulatory framework of the audit profession, which currently is in the process of transposition to the national law, will affect the process to ensure the quality of audits. The main measures foreseen in the new regulatory framework on statutory audit of public interest entities (PIEs) are, among others: the mandatory rotation of statutory auditors and audit firms every 10 years, the ban on the provision of some of the non-audit services from statutory auditors and audit firms, the setting of a maximum limit on fees that can be charged from providing non-audit services, in order to avoid conflict of interest issues, the enforcing of the role and responsibilities of the Audit Committee, which is actively involved in both the appointment of the audit firm and the monitoring of the audit. The HAASOB, taking into account the new regulatory framework which is being formed, ensures the ability to meet the challenge of the new requirements quickly, efficiently and effectively by: * The close cooperation with all parties involved in the educational process of the audit profession. * The continued close cooperation with the correspondent European national authorities responsible for public oversight and the assurance of the quality inspections. * The provision of counseling on key issues concerning the legal framework of the audit and accounting sector. * The monitoring and improvement of the HAASOB's audit methodologies for the effective and efficient conduct of its work. * The application of CAIM (Common Audit Inspection Methodology) to quality inspections. The HAASOB is the national oversight authority of the auditing and accounting profession. The HAASOB'S responsibilities derive from the legislation and are oriented exclusively to the public interest. The HAASOB is a public entity, which benefits administrative and financial autonomy. The HAASOB 'S purpose is to strengthen investors' trust in the audit and accounting profession in Greece © Hellenic Accounting and Auditing Standards Oversight Board - HAASOB 7, Voulis street 5th Floor, Athens 10562 W:www.elte.org.gr\|e-mail:firstname.lastname@example.org
Pearl #135 - Did Ancient Calendars & Clocks Forecast the Future? Will the world really end on December 21, 2012 when the Mayan-Aztec calendar runs out? This date looms more ominously with each passing year. While millions are curious, most don't give it a thought. Yet, many other ancient calendars link at that date and so does the Bible! At least, that is what long time, hi-tech inventor Herbert Stollorz writes about. Like most people from his generation, Mr. Stollorz grew up to rebel against his parents' overly strict religious observance and spent most of his life working hard in pursuit of his business interests. Though he never lost respect for the Bible, he certainly did not think about Bible prophecy or anything else of similar mystery. Even in his retirement, Herbert developed some tens of acres into a small vineyard operation in northern California. He didn't think much about the end purpose of life until he came pretty close to the end of his own. Then he saw some TV specials on the Bible Code and started doing a little reading from his perspective of being an applied scientist with a number of patents based on principles derived from keen observation of how natural laws and patterns of interaction can be brought to bear on solving pragmatic problems that make money. Once started down this road, he began to seen similarities in the patterns of history and prophecy in many ancient cultures from around the world. Their common links are found in how they marked the passing of time with intricate calendars and clocks. He began to ask himself why. * Why did ancient cultures invest so much time and money building great stone calendars and pyramids? The answer had to be more than crop planting times and astrological interests. The worldwide presence, monumental size and high level of accuracy of these great monuments and observatories seemed like application overkill just to know the day, hour and minute of a summer or winter solstice, spring or fall equinox. * Why did, and how could, the ancient Mayans develop a calendar that precisely marked a precession of the earth's polar axis through the northern skies that takes over 25,000 years to travel without telescopes and computers? Did the ancients see something different in the skies than we do today? * Why do so many old clocks have more than one dial? Or, more than one face? Were they trying to follow different patterns of planetary, lunar and solar movements than we experience today? Why do peoples around the world look to astrological signs in the skies to predict the future? Is there something scientifically sound, some source of rational truth, at the core of this global belief pattern that can explain or base that universal fascination? * And why do so many religions look forward to time cycles of great trial on earth followed by an idyllic age of peace? And why does the year 2012 come up in so many of these calendar–clock systems – including the Bible Codes? Why don't the hallowed halls of academic science look into some of these seemingly universal traits of advanced ancient cultures? * Finally, what role did asteroids place in the ancient history of our planet? Was it large enough to have potentially changed how the earth rotates and moves on its orbital journey around the sun? Scientific evidence abounds that the earth has suffered from a number of significant asteroid strikes in the past. Just look at the moon's surface for something a little easier to see! Could an ancient asteroid have hit the earth at such force and angle of impact to change how it spins on its axis? If so, such a strike could indeed provide answers to these mysterious questions of antiquity. Can the Future be Forecasted like the Weather? The Pharisees and Sadducees came up, and testing Jesus, they asked Him to show them a sign from heaven. But He replied to them, "When it is evening, you say, 'It will be fair weather, for the sky is red.' And in the morning, 'There will be a storm today, for the sky is red and threatening.' "Do you know how to discern the appearance of the sky, but cannot discern the signs of the times?" (Matthew 16:1-3) Jesus compared the discernment of prophetic times with forecasting the weather. Weather forecasting is based on the forward extension of meteorological cycles according to scientific methodology. This is what the advanced ancient cultures universally tried to do with astrology, the signs in the sky. Most ancient priests and astrologers believed that the future could be forecasted similarly. That is one reason why they paid such close attention to the movements of heavenly bodies. Of course, the most critically pragmatic reason for determining the seasons related to the best time to plant and harvests the crops that fed everyone. While many ancient religions saw the relationships of the gods mirrored in the movements of planets and stars, the Bible states that their use was for humans to mark the passage of time. Science now knows that time is a material property that is relative. Just as light bends, and its speed is slowing, so time can be compressed and expanded along various scales that are manifested in the cyclical relationships between various historic and prophetic events. Then God said, "Let there be lights in the expanse of the heavens to separate the day from the night, and let them be for signs and for seasons and for days and years; and let them be for lights in the expanse of the heavens to give light on the earth"; and it was so. (Genesis 1:14-15) Ancient people marked the passage of time by days and months. A sequence of four seasons as delineated by a sequence of solstice-equinox-solstice-equinox made up a year. Herbert Stollorz hypothesis states that the structure of ancient calendar and clock systems evidences shorter seasons and years than we currently experience. In the preFlood world or Atlantis age a year was made up of four 13day seasons. This fact is reflected in the inflated ages given to the biblical patriarchs and Sumerian king lists. For example, the Bible gives Methuselah's age as 969 years. According to Stollorz' hypothesis, he lived only about 138 of our modern years. Similarly, the future can be forecast like the weather based on scientific patterns and principles, but it is still an interpretive art based on the skill of the forecaster. While not enough historic time had elapsed for the Israelite prophet Daniel to project forward with any degree of accuracy, we are able to do so now because civilization has marked another 2,500 years of history. We have reached the biblical end of days when the "wise will understand" the dates of the major events of future Bible Prophecy. He replied, "Go your way, Daniel, because the words are closed up and sealed until the time of the end. Many will be purified, made spotless and refined, but the wicked will continue to be wicked. None of the wicked will understand, but those who are wise will understand. (Daniel 12:9-10) The Apocalypse is a necessary judgment of human governments that universally practice injustice, war and economic oppression to one degree or another. The unfolding of the future does not depend on people believing that it will happen. Believers are not to try to make it happen or to engage in the violence of this age. They are to walk humbly, live in peace and work honestly with others as much as is possible. Most who call themselves Christian are not spiritually discerning the times being locked in the ignorance of their theological biases. They will be almost as surprised at what God will do as the rest of humanity. Unlike other attempts to date the major events of the future as prophesied by the Bible, Herbert Stollorz' methodology utilizes multiple cycles or gears and number systems based on different mathematical scales, the Jewish feast and fast days, chronological symmetry and the Hebrew Alphabet Number System. Not only does it crosscheck internally, it also intersects with the prophecies and calendar systems of several other ancient cultures. Unlike any previous attempt to forecast the future, get used to double counting the end from the beginning, the beginning from the end and both the beginning and the end from the middle to verify. One example is the 70 Weeks prophecy found in Daniel 9. Most Christian scholars acknowledge that the first 69 weeks of that prophecy relate to the first appearance of Jesus, accurately predicting it using the "year for a day" principle. This means that one-week equals 7 years with this base-7 system. Using a base-5 system in parallel, the second coming can be located within a window of 50 years or 19682018. The base-5 week is 50 years or one Jubilee long. Wobble Spin-axis Constant 14.305789 In Daniel's time [588 BC] prophecy was written from a different calendar perspective explained in my third Babuschka clock book free on the Internet. I discovered that the Aztec stone clock and the Antikythera bronze clock although 1000 years apart have the same constant which measure a wobble spin axis of our earth caused by an asteroid 2287 BC across 1715 years. Let's use the 14.305789 data we previously found in clock cycles to measure a declining solstice but with more fractions after the dot only recently discovered as bronze gears of the Antikythera clock are more accurate then stone scull heads fashioned by the Aztec. That would prove a prophecy forecast corrected now to a NASA calendar that was not known in ancient times or theologian in our time. when we do the math with more fractions to prove the accuracy of prophetically projecting future dates. When we consider fraction after thousands of years, future dates would get fuzzy but not Bible dates. So the fraction [.6535] of a year after the dot is very important. If we multiply it by 12 we get a month and some fraction. It became July, the seventh month. (.6535x12=7.842) Let's continue to do the same to find out how many days left over from one month which has 30 days and we get 25. (.842x30=25.26) or we can do it another way (.6535x365.24=238days. Then we divide it into 30.4 and we get 7month and a fraction (238/30.4=7.8289. Continuing with the day fraction .8289 and multiply with 30.4 we get the remaining 25 days (.8289x30.4=25). Summing up our calculation and using the ancient clock constant from an ancient earth wobble now applied from Daniel's time (time, times,½time) and measure it from the 9 Av of 588 BC to 9 Av 2015 (5775) we get to 25 July 2015 on exactly the same date, to absolute one day again. The 9 th of Av date is extraordinary, not often investigated in history. The ancient wobble constant is not known by a biased university scientist and needs a true scientific pear review to be acceptable. It will revolutionize how we calculate historic calendars once NASA gets hold of it. It also will destroy an evolution theory not possible if you believe that entropy laws work in physics. From this perspective the controlling aesthetic university priesthood will never entertain scientific investigation in conflict with their holy evolution religion but will see their believe system collapse after 2012 watching TV around the globe. The same proof can be observed from another perspective. When we count back Daniel's 70 weeks from 9 Av 6777 which is the equivalent date on the Gregorian calendar 24 July 3017 AD. That date is the last date mentioned in the Hebrew 7000 year calendar Table. Let's do the math to prove an axis constant matching prophecy. (70x14.305789=1001.4052) Deduct 9 Av from 24 July 3017 the 1001.4052 years with some fraction, which is 2016 (3017-1001.4052=2016). The fraction is converted into average monthly cycles of (30.4 days for one month). We now calculate how many months that fraction represents and multiply it with 12 (.4052x12=4.8624) that means (4) four months and a fraction. Going back 4 months from December 31, 2015, we get August 31, 2015. Now we do the same with day month fraction multiply by 30.4 and get 26 th days left over or 26 days (.8624x30.4=26.2). Deducted from 31 August 26 days we get 5 August. The Gregorian calendar must be corrected one day added every 400 years from 588 BC which is 3603 years (3017.8+588=3605.8) then divide it into 400 which we get days (3605.8/400=9 add one day for fraction). Deduct from 5 August minus 10 days = 25 July 2015. This is a date converted to the Jewish calendar 9 Av 6777 to 70 Daniel's week later arriving at 9 Av 5775 what a coincidence again to end at the 9 th of Av, a temple destruction marker in prophecy. years. It is incredible that with so many fractions of a wobble constant and fraction in moon cycles of a Jewish calendar corrected to a Gregorian calendar, that this calculation is accurate to a day. That is only possible if a divine clock maker invented a clock for mankind and hinged it on historic events always happening on the 9 th of Av. Go back still further to the previous Jewish holiday and get Tammuz 17 5775 (4 July 2015). My previous book with 12 If we multiply 182 Daniel's prophecy weeks with the ancient clock constant of both clocks we get 2603.6535 (14.305789x182=2603.6535). That matches and proves the 25 July 2015 AD (588+2015=2603) date I mentioned three years ago in my second book, Mystery of Tammuz 17. At that time, I measured a time base from a Jewish holiday and HANS overlay perspective. Now it gets better witnesses dated it by connecting at that same date, proven to be extremely accurate. If you are not convinced of prophecy matching to a day, use the corrected Gregorian calendar and not the Julian calendar. It is a little off. Repeated again and notice the 14.305789 constant (@3605 years [3017+588]) was found in the Aztec and Antikythera clocks 1 compared to Daniel's time, times and ½ time analysis. When we multiply 70 Daniel's prophecy weeks with a calendar constant from ancient calendars 14.305789 we come again to a date ending the Apocalypse 2015. Daniel's 70 th prophecy week from the Daleth dimension perspective corrected for the Gregorian calendar connects for some unknown reason with Temple destruction Daniel was familiar surviving as a young man. So having the beginning and ending of the Apocalypse determined in Jewish holidays matching HANS and the Rosetta stone with various ancient calendars aligning, I consider that one big witness coming from my ancient clock bronze-gold clocks in dating the Apocalypse. But prophecy is much more accurate exactly to a day impossible to arrive using present science evaluation not knowing anything about an earth wobble in ancient times. Ancient clocks were deciphered in 2007 and it will take time for scientists to get around accepting it. If we overlay with Jewish holidays and connect it to a corrected Gregorian calendar, we will discover history from a new perspective never written before. Analyzing science, I used modern computer inventions, having a lot of fun and having a good time being part in establishing a Silicon Valley technology. The Special 9 th of Av Connection with Jewish Temple Destructions In the Bible, we have described five Hebrew Temples from the Heh-Daleth overlay. They follow a Hebrew math hand rule [+one] 4+1=5. One Temple is seen in the Heh dimension-heaven where angels appear coming out from the interior with trumpets and bowls reported by John. (Rev. 14) The other four temples are on earth in the Daleth dimension (this world in this time). One was built by Solomon and destroyed on 9 Av 588 BC, another Herodias Temple destroyed 9 Av 70 AD and the future the Third Temple will be built 2009 but will not last long, being destroyed 9 Av 2015 by an Islamic mob out of control. The last Temple is longer lasting 1000 years again and will be erected 2018 AD with a cornerstone laid according to Ezekiel's blueprint. 1 The Antikythera clock has embedded in 32 gears an astronomical ratio (13.368267). It is not constant as assumed by scientist but is affected by an exponential time base because of a spin-axis wobble scientist never investigated. Check out the clock Babushka book. The expanded skulheads theory is in parallel to the calendar constant discovered matching future dates to a day. I hope a NASA math professor would pick up that trail and prove those dual concepts with math I am not qualified to do. I am only a clockmaker checking out gears embedded in a HANS. Aztec Scull heads before 588 BC were based on 360 calendar days but looking back from a 3018 AD time base perspective it is framed with 365.24 calendar days. Therefore projecting a constant for the future prophecy, a spinaxis change must be considered if you want to predict a certain date. The spin axis still could be moving a little upsetting New York newspaper zodiac astrologians now divided in two parties. One group will accept a newcomer 13 th zodiac constellation the other have none of it, just like climate changes divided the camp in half too. Both seemed to be confused by a spinaxis believed to be at rest in conflict with a university evolution religion and wondering about climate changes. My advice: read Babushka clock books to get educated what is really happening in science and not depend on evolution fairy tales not matching entropy laws. Jewish Temple Mysteries - 9 th of Av Temple building or destruction are important time marker in Jewish history which match like clock gears. All other historic events are measured from those hinge points. Checking history and focusing on the Temple destruction I noticed that they all happened on the same day, 9 Av. The First and Second Temples were destroyed on the 9 th of Av. The word "Av" means "father" number one in the family structure and therefore all matters from the temple perspective are decided from that viewpoint as I discovered the 7000-year Hebrew calendar for mankind which polarized around those four (4) Temples with two Temples still in the future. A matter of fact I find that infamous day 9 Av all over in history embedded like Moses breaking the first set of the Stone Tablets of the Ten Commandments given by God. Emperor Hadrian crashed the 135 AD rebellion by Shimon Bar-Kokhba. 333 under Eusebius of Caesarea visitor from Bordeaux pour oil over the foundation referenced in the Talmud as the foundation Rock, which the Holy of Holies had rested (Yoma 5:2). More dates like 1290, 1492, 1555, 1648, 1904, 1941 and more recent 1942 extermination of Jews by the Nazi in Poland all dovetailing on the 9 th of Av. Check it out on the internet. Now in current time in Jerusalem the hot button in world politics wants to build a new temple on the site of the old. Watch out for 9 Av. But if you read my books, I foretell the destruction of the Third Temple connected with an Apocalypse again on the same day 9 th Av 5776 (25 July 2015) by comparing patterns. How did I know that three years ago writing my books from the perspective of embedded Jewish holidays that they become a mirror reflecting Heh activated events to happen on earth in the Daleth dimension. Recently I hear about discussion that the location of the Dome al-Aqsa Mosque in Jerusalem may not be over the place of the ancient Jewish temple site which is a little off. That fact is covered up by some influential Arabs that would greatly upset the Moslems population avoiding a riot. To find out if you have the time and get friendly with some Arabs living at the entrance of the Holy place and drink some tea as they may confide in that well kept secret if you do not reveal it to others and endangering their life. My projection of the Third Temple 2 prophesied from the Bible overlaying with HANS will be built around 2009/2010 on its true historic site after a forced agreement by the EU with New York and America's military power in the Middle East destroyed by atomic bombs now used again. That new site of the previous Temple will then be revealed as a pretext for the Beast system consolidating its power arriving in Europe with 10 horns to rule the world now with a European money currency as the American Dollar crashed with New York gone. That will settle the dispute with Palestinian–Israel in a 7-year peace contract enforced by the EU-UN military and fear of another grater nuclear exchange destroying all mankind on earth. 2 The Third temple is build at the beginning of the Apocalypse after the decline of America. To initiate a short lived world peace avoiding total nuclear war, the Moslems will be forced to accept another building next on the top of the Islam Holy place but will be breaking the 7 year piece accord later and destroy a Jewish temple again according to prophecy on the 9 th Ave of 2015. The Fourth Temple described by Ezekiel is overlaid with the Daleth dimension as the fifth is located in heaven -the Heh dimension. Again matching the Heh (5) requirement. \| 22 Bronze-Gold Clock Dates for Mankind (Overlaying the Hebrew Alphabet Number System with the Gregorian Calendar) \| \| \| \| \| \|---\|---\|---\|---\|---\| \| HANS \| Date \| \| Event \| \| \| Aleph \| 4488 BC \| \| Lucifer’s rebellion (Aztec clock) \| \| \| Beth \| 4068 BC \| \| Adam-Eve Birth (Hebrew clock) \| \| \| Gimel \| 4004 BC \| \| Zayin Age HANS 3-mankind’s Beginnings outside Garden of Eden \| \| \| Daleth \| 21 December 2288 BC (Death of Methuselah) \| \| I. Apocalypse (Noah’s Ark door closed) \| \| \| Heh \| 5 February 2287 BC Aztec (X-axis) 17 September \| \| I. Asteroid, Noah’s Boat test Hebrew (Y-axis) Genesis- Second month, 17th day \| \| \| Waw \| 9 Av 588 BC \| \| I. Hebrew Temple destroyed \| \| \| Zayin \| 518 BC \| \| Center of World Calendar \| \| \| Cheth \| BC/AD \| \| Infinite–finite Time Curve Ancient calendar crossover \| \| \| Teth \| 35 AD \| \| Resurrection of Jesus Christ \| \| \| Jod \| 9 Av 70 AD \| \| II. Hebrew Temple destroyed \| \| \| Kaph \| 21 December 2008 \| \| II. Apocalypse US-Islamic conflict-Antichrist \| \| \| Lamed \| 9 February 2009 \| \| America? 15 TU b’Shevat \| \| \| Mem \| \| 21 December 2012 \| \| Daniel-Revelation-HANS \| \| \| \| (Aztec-Chinese-Hebrew clock) \| \| (Antikythera clock range–Hebrew Rosetta stone 7:5) \| \| Nun \| 9th Ave 2015 \| \| III. Hebrew Temple destroyed \| \| \| Samech \| 17 September 2015 \| \| II. Asteroid (Ending our civilization) \| \| \| Ayin \| 21 December 2015 \| \| Apocalypse Ending (Daniel-John-clocks) \| \| \| Peh \| AD 2018 (17th Tammuz) \| \| Kingdom of God on Earth (1000 years of peace and prosperity for mankind) \| \| \| Tzadi \| AD 3003.7 \| \| Satan’s Execution Date (Aztec clock) \| \| \| Kof \| AD 3018 \| \| II. Resurrection (End of the Daleth time dimension) \| \| \| Resh \| AD 3018 \| \| White Throne Judgment (HANS) \| \| \| Shin \| AD 3018 (Aztec-Hebrew & Bible prediction) \| \| III. Asteroid (Ending 0ur Solar system- Jesus) \| \| \| Taw After 3018 \| New Earth–New Heaven (Time Dimension no more) \| \| Revelation Chapter 19 (John) \| \| (12 O'clock = 21.December 2012) Satan disposed from the Heh dimension – and Saints are born into Jod dimension (the spirit world) 3 HANS means Hebrew Alphabet Number System explained in Mystery of Tammuz 17.
TRANSLATIONAL GEOSCIENCE: CONVERTING GEOSCIENCE DISCOVERY INTO SOCIETAL, ECONOMIC, AND ENVIRONMENTAL IMPACTS Craig M. Schiffries 1 1811-5209/2015/011-232$0.00 DOI: 10.2113/gselements.11.4.232 T ranslational geoscience—which involves the conversion of geoscience discovery into societal, economic, and environmental impacts—has signiﬁ cant potential to generate large beneﬁ ts. But, it has received little systematic attention or resources. In contrast, translational medicine—which focuses on the conversion of scientiﬁ c discovery into health improvement—has grown enormously over the past decade and provides useful models for advancing translational science into the geosciences and other ﬁ elds. The geosciences address many of society's greatest challenges, including (but not limited to) energy, water, and mineral resources; climate change; natural hazards mitigation; sustainable development; environmental protection; infrastructure and materials; and waste disposal. Past issues of Elements have addressed many of these topics, and this issue addresses the broader impacts of such topics as stable isotope biogeochemistry (Ehleringer et al. 2015), the application of stable metal isotopes to medicine (Albarède 2015), environmental mineralogy (Calas et al. 2015), and urban geochemistry (Ludden et al. 2015). Translational geoscience can accelerate the conversion of geoscience discoveries in these and other areas into greater societal, economic, and environmental impacts. Before discussing translational science as potentially applicable to the geosciences, let's ﬁ rst look at how it has been developed and applied in the biosciences. NEW VISION FOR TRANSLATIONAL SCIENCE In his capacity as director of the US National Institutes of Health (NIH), Elias Zerhouni (2005) provided a new vision for translational science and took bold actions to "ensure that extraordinary scientiﬁ c advances of the past decade will be rapidly captured, translated, and disseminated for the beneﬁ t of all Americans." Zerhouni (2005) launched a major program to support a nationwide consortium of hubs at 62 medical research institutions that could work together to improve the translational research process. Likewise, the European Commission established the European Advanced Translational Research InfraStructure in Medicine (EATRIS) program, which comprises over 70 leading academic institutions across Europe. In 2011, Francis Collins, who succeeded Zerhouni as director of NIH, said the time was right to for "reengineering translational science." According to Collins (2011), "the triple frustrations of long timelines, steep costs, and high failure rates bedevil the translational pathway." He noted, "little focused effort has been devoted to the translational process itself as a scientiﬁ c problem amenable to innovation." He further said, "translational science needs to shift from a series of one-off solutions toward a more comprehensive strategy." He launched NIH's National Center for Advancing Translational Sciences (NCATS), which addresses translation on a system-wide level as a scientiﬁ c and operational problem. The US White House has broadened the imperative for translation to include research supported by all federal agencies. A memorandum of 9 July 2015 from the Executive Ofﬁ ce of the President of the United States (Donovan and Holdren 2015) says: 1 Geophysical Laboratory, Carnegie Institution of Science Washington, DC 20015, USA E-mail: firstname.lastname@example.org E LEMENTS The Nation depends on science, technology, and innovation to promote economic growth and job creation, maintain a safe and sufﬁ cient food supply, improve the health of Americans, move toward a clean energy future, address global climate change, manage competing demands on environmental resources, and ensure the Nation's security. Simply supporting research is not sufﬁ cient, however, Federal agencies should ensure that the results of that research are made available to other scientists, to the public, and to innovators who can translate them into the businesses and products that will improve all of our lives. The imperative for translation also extends to the type of research and development (R&D) that strengthens the scientiﬁ c basis for decisionmaking. According to Donovan and Holdren (2015), "Both missioncentered agencies and R&D agencies should focus on creating user driven information and tools that enable the translation of scientiﬁ c observations to decision-making frameworks." Despite its importance, investments in translational research should not come at the expense of basic research. Focusing on biomedical research in the United States, Zerhouni (2009) said, "Our country needs more and better translational research, both for the sake of our patients and because much of the research funding in the United States comes from the primary expectation of the American public that such scientiﬁ c investigations will reduce the burden of disease. This is not to say, as many fear, that we should reduce our focus on basic research. On the contrary, I believe the opposite to be true…" Success in translational research may stimulate support for additional investments in basic research. TRANSLATIONAL GEOSCIENCE Geoscience is vastly different from biomedical science. Nevertheless, both can beneﬁ t from the principles of translational science. Adopting the approach of Collins (2011), translational geoscience would beneﬁ t from a focused effort devoted to the translational process itself as a scientiﬁ c problem amenable to innovation. The geosciences would beneﬁ t from setting up institutions comparable to the NIH's National Center for Advancing Translational Sciences, which addresses translation on a system-wide level as a scientiﬁ c and operational problem and convenes expert teams from diverse scientiﬁ c disciplines and institutions to reduce, remove or bypass signiﬁ cant bottlenecks across the entire continuum of translation, as well as training future translationalscience workers. Natural hazards mitigation is one of many geoscience issues that would beneﬁ t from advances in translational science. This topic may also be amendable to collaboration between translational medicine and translational geoscience, at least to the extent that natural hazards mitigation is a ﬁ eld that addresses public health and safety. A tsunami monitoring and warning system was installed in the Indian Ocean after the great Sumatra–Andaman earthquake and tsunami of 26 December 2004, which caused approximately 228,000 fatalities, 1.8 million people to become homeless, 5 million people to need immediate aid, and resulted in $14 billion in damages. Although UNESCO announced that the Indian Ocean Tsunami Warning System was "up and running" in June 2006, an editorial in the journal Nature (2006) stated that a tsunami in Indonesia had killed more than 500 people on 17 July 2006. In a tragic failure of translational science, a tsunami warning was received but the government did nothing with the information. The Indonesian science minister feared that raising a false alarm would cause unnecessary panic (Nature 2006). 232 A UGUST 2015 Regarding the Indian Ocean Tsunami Warning System, the same Nature (2006) editorial argued, "Too much emphasis has been put on the expansion of the high-tech early warning system, and not enough on improving local preparedness." Eight years later, and an opinion piece in Nature by Witze (2014) noted that this pattern still persisted despite concerted efforts to complete the communications chain: he states, "Ten years after the devastating Sumatra earthquake, warnings for the Indian Ocean go out, but often fail to reach the people most at risk … The geophysical components of the Indian Ocean tsunami-alert system generally work well … but warnings often fail to travel the last mile." The effectiveness of the Indian Ocean Tsunami Warning System, which cost more than $450 million to set up, will be compromised greatly if further improvements in local preparedness are not achieved. Efforts in translational geoscience could beneﬁ t from advances in translational medicine, a ﬁ eld that has developed strategies for minimizing the multiple translational roadblocks that so often impede public health interventions, some of which involve communications, human behavior, organizational inertia, and allied topics (Woolf 2008). Just as the Indian Ocean Tsunami Warning System was implemented after a devastating tsunami, most countries with earthquake early warning systems built them after a devastating earthquake (USGS 2014). Shortly after the 1995 Kobe (Japan) earthquake that resulted in 6,400 fatalities, Japan invested $600 million in an earthquake early warning system. The system operated successfully during the magnitude 9.0 Tohoku earthquake of 2011, and no trains were derailed as a result of this historic earthquake. Other countries that built earthquake early warning systems of varying quality and coverage after devastating earthquakes include China, after the 2008 Wenchuan earthquake that killed 87,587 people, and Mexico, after the 1985 Mexico City earthquake that killed 10,153 people (USGS 2014). The United States, and many other countries with major earthquake hazards, have not yet implemented early warning systems. The US Geological Survey (USGS) and its partners are, however, implementing an earthquake early warning system for the west coast of the United States (Given et al. 2014). Earthquakes in this region cause an average annual loss of $4.1 billion. Research and development efforts for this system began in 2004 and a preprototype earthquake early warning system has been operating in California since January 2012. The USGS plans to implement a limited public warning system by 2018. E LEMENTS The technical implementation plan for an earthquake warning system for the west coast of the United States (Given et al. 2014) contains a short section on user education, which says, "Extensive outreach and education of both public and institutional users will be needed to ensure that earthquake early warning achieves the maximum beneﬁ cial effect. Users must be taught to take appropriate actions upon receiving a warning, and understand the limitations and reliability of warning information." Given et al. (2014) emphasize the importance of developing partnerships with appropriate agencies—including emergency management departments, communications specialists, and special user groups such as hospitals, transportation monitors, and utility providers—to ensure this education occurs. Although a full education plan has not yet been developed, local west-coast groups have been working for many years to improve preparedness, mitigation, and resilience through such organizations as the Earthquake Country Alliance, the Southern California Earthquake Center, and a wide range of partners. More than ten million Californians have participated in Great Shake Out earthquake drills. The combination of robust education and preparedness activities with a technologically advanced earthquake early warning system has the potential to become a model for translational geoscience. The cost, complexity, and timeframe for developing and implementing earthquake and tsunami early warning systems are comparable to many examples in translational medicine. Translational geoscience can beneﬁ t from the advances made in translational medicine, which addressed such topics as improving emergency preparedness, communicating lifesaving information to government ofﬁ cials and citizens, explaining false positives and false negatives, working with multiple stakeholders and organizations across all sectors of the economy and all levels of government, and collaborating with scientists and engineers across a broad range of disciplines. Although he was speaking generally from a position within translational medicine, Collins (2011) makes a point that could equally well apply to translational geoscience, "Opportunities to advance the discipline of translational science have never been better. We must move forward now. Science and society cannot afford to do otherwise." Prompt actions will enable the geoscience research enterprise to be in the vanguard of the translational science revolution. 233 REFERENCES Albarède F (2015) Metal stable isotopes in the human body: a tribute of geochemistry to medicine. Elements 11: 265-269 Calas G, McMillan PF, Bernier-Latmani R (2015) Environmental mineralogy: new challenges, new materials. Elements 11: 247-252 Collins FS (2011) Reengineering translational science: the time is right. Science Translational Medicine 3: 1-6 Donovan S, Holdren JP (2015) Multi-agency science and technology priorities for the FY 2017 Budget. Executive Ofﬁ ce of the President of the United States, 5 pp Ehleringer JR, Chesson LA, Valenzuela LO, Tipple BJ, Martinelli LA (2015) Humans and society – amazing insights from stable isotope biogeochemistry. Elements 11: 259-264 Given DD and 7 coauthors (2014) Technical implementation plan for the ShakeAlert production system—An earthquake early warning system for the West Coast of the United States. US Geological Survey Open-File Report 2014–1097, 25 pp, doi: 10.3133/ofr20141097 Ludden J, Peach D, Flight D (2015) The Geochemistry of London. Elements 11: 253-258 Nature (2006) Editorial. Still not alert: tsunami preparations in the Indian Ocean remain inadequate. Nature 442: 330 USGS (2014) ShakeAlert—an earthquake early warning system for the United States West Coast. USGS Fact Sheet 2014-3083, 4 pp Witze A (2014) Tsunami alerts fall short. Nature 516: 151-152 Woolf SH (2008) The meaning of translational research and why it matters. Journal of the American Medical Association 299: 211-213 Zerhouni EA (2005) Translational and clinical science—time for a new vision. New England Journal of Medicine 353: 1621-1623 Zerhouni EA (2009) Space for the cures: Science launches a new journal dedicated to translational research in biomedicine. Science Translational Medicine 1: 1-2 ABOUT THE AUTHOR Craig M. Schiffries is director of the Deep Carbon Observatory at the Geophysical Laboratory of the Carnegie Institution for Science (Washington, DC). He served as the ﬁ rst director for geosci- ence policy at the Geological Society of America, the ﬁ rst director of government affairs at the American Geosciences Institute, and director of the board on the Earth Sciences and Resources at the US National Academy of Sciences. He received a PhD in geology from Harvard University (USA), an honors BA in philosophy, politics, and economics from the University of Oxford (UK), and a BS in geology and geophysics from Yale University (USA). A UGUST 2015
Figuring Covid: A Note on Media Flows and 'Statisticality' JOHN CORNER University of Leeds, UK Abstract This note examines the ways in which statistics have been an important and controversial aspect of public information concerning the Covid-19 pandemic. The profile has varied internationally but some schematic observations about lines of flow, the distinctive role played by figures and the patterns of debate surrounding them can be made. Issues of comprehension and contestability are foregrounded in ways which, while they have their precedents, indicate broader issues for the character and direction of public communication. Keywords News Flows, Statistics, Disinformation, Public Sphere, Pandemic The aim of this brief commentary is to explore a central feature of public communication about the Covid pandemic internationally – statistics. The broadening literature on media and the pandemic, a literature growing rapidly and one which will surely extend for years ahead, is variously required to connect with flows of quantitative material. Such material – on infection rates, testing regimes, hospitalizations, death rates, the profile of variants, the efficiency of vaccines and other related markers – has Media Theory Vol. 5 \| No. 1 \| © The Author(s) 2021 CC-BY-NC-ND http://mediatheoryjournal.org/ formed a key element both of official pronouncements and media coverage. The focus here is on making a provisional analytic engagement – using only an indicative referencing – with the ways in which figures have featured in the flows of public knowledge, in the process setting up various patterns of alignment, confusion, doubt, disagreement and, sometimes, vigorous denial and opposition. These patterns have their precedent in relation to previous periods of intensified 'crisis' coverage, nationally and internationally, including previous health alerts and the more long-term example of climate change (from a large literature, see for instance Bruggemann and Engesser, 2017 and Van Witsen, 2019). However, Covid-19 can be seen to have brought about a situation of intensified 'statisticality' – a situation in which the density, variety and regularity of change of numerical indicators often dominate media flows rather than simply feature within them (Nguyen at al, 2021 report valuably on a recent symposium on the then-current UK situation, one which had contributions both by statisticians and journalists). With strong variations internationally, this has occurred across all flows concerning the pandemic, from research institutions and governmental statements, through the spectrum of journalism to the vast range of social media comment (where the idea of 'infodemic' has been applied to the misinformational dimension seen to be at work – for instance in the influential statement of WHO, 2020). Statistics are of course a necessity of modern public and political order, their indication of broader patterns of condition and change within populations central to oversight and policy. At the same time, their openness to dispute at the level of primary data, mode of collection and analysis and then of use within acts of claims-making has surrounded them with suspicion as perhaps one of the core forms of disinformation in modernity. Mark Twain's remark about 'lies, damned lies and statistics' (Twain, [1907] 2010: 228) has had regular citation in the literature. There is now a huge range of critical commentary, varying in its analytic focus and perspective (recent examples giving attention to media flows are Nguyen and Lugo-Ocando, 2015 and Martini and Lugo-Ocando, 2020 while Lawson and Lovatt, 2020 have explored in detail the rhetorical deployment of statistics in the media by use of a health service case-study, an analysis referred to below). Within different national systems, media flows have positioned statistical findings in ways which range from highly selective and perhaps strategically distorted renderings of the original material through to attempts to present something close to the full complexity of available data and the reservations that might be had about their strength and usefulness. Clearly, questions of available space and time and the orientations and capacities of primary audiences/users are important here. Journalism's frequent inclination towards optimal dramatic impact has not surprisingly played a part in the flow pattern. Health statistics originating largely from independent medical research organizations might be considered to have a level of relative freedom from the politicizing frameworks active in the production of figures in many other areas; for instance, economic performance, where government interests frequently become influential at an early stage. However, the Covid pandemic has often placed scientific medical inquiry (particularly epidemiology) within crosscurrents of political and economic dispute of a strong and direct kind, sometimes rendering the borders between science and politics less clear-cut than many established perspectives have often assumed. In particular, differences not only over the effectiveness of kinds of 'lockdown' measure as a response to the pandemic but, more broadly, over the acceptable grounds for imposing kinds of restriction on individual freedoms in public and private spaces and on economic activity have been expressed in many countries, albeit in different articulations with dominant politico-economic structures and norms (Nguyen and Catalan (eds.), 2020 bring together work on Europe, Africa and Asia). Consensus has been fragile, both in relation to primary data and its interpretation. Within the UK, for instance, the regular use of the formula 'we have been guided by the science' (as in Johnson, 2020) soon became subject to questioning. This happened not only in respect of the science/politics relationship but in relation to the suggestion that 'the science' was a singular, unified body of evidence and prediction rather than the highly pluralized and sometimes polemically divided range of perspectives and judgments, framed by uncertainties, which it quickly showed itself to be. For clarity of discussion, this note will examine briefly and schematically the variety of media flows at work internationally, framed as they are by very different national political and media systems. It will then consider further the interlinked dimensions of comprehensibility and contestability and finally reflect, in what can only be a preliminary way at this early stage of international research engagement, on what the future implications might be for public communications in which the regular updating of figures within a 'crisis' frame is central. Lines of statistical flow: A schema A first kind of flow-line is essentially a single stage process occurring between scientific and medical institutions and the public directly, using institutional websites. The information provided here may simply indicate national patterns and tendencies or it may aim for much broader coverage (like the sites of the World Health Organization or the Institute for Health Metrics and Evaluation at the University of Washington). Such sites will vary in their regularity of update and offer only a minimum of interpretative help in understanding the graphs, indicators and predictions made available to users, who will include, but mostly not be, members of the general public. Clearly, in the majority of cases what they present are not 'official' accounts and frequently their figures and interpretations will vary between institutions, sometimes radically, in the indications of past, current and possible future circumstances. The second kind of line is that between scientific and medical institutions and news outlets and then out to various readerships and audiences. This is therefore a two-stage process involving a number of variables. First of all there is the difference between news outlets simply reporting on the basis of press-releases from the institutions, however selectively, and the far more active model of news outlets and journalists themselves contacting particular institutional personnel for interviews and follow-up comments, a standard practice in many countries. In the latter case, specific news angles and priorities, relating to broad political alignments and relationships to governments (including those of direct control as well as propagandist support) will be active right from the start. The sections of the public to whom the subsequent accounts are relayed will clearly vary across national and regional patterns of readerships and audiences. A third flow-line, in many settings a major one, is generated when a government's own scientific and medical advisers inform relevant government figures of the data and directions which they consider to be most accurate and pertinent. Following this, government spokespersons, perhaps at the most senior level, provide information to the media with some contextual explanation, often using formal press conferences to do so. In conjunction with this, official websites may give more detailed accounts and indicators. As well as publics being in many cases able to access the conferences directly, they will also variously have access to the mediation of them and the comments upon them carried in the various news outlets. The tendency to see 'bad news' as the strongest kind of news to offer is likely to show itself in these mediations, as it will in the second flow-line, employing a language and an emphasis that departs from the preferred markers and tones both of the scientific-advisory briefings and of government accounts. Depending on the precise nature and scale of these flow-lines of accorded metrical significance as they work both vertically but also laterally within different national systems of public communication, it is clear that a number of points of potential dispute as well as of confusion are likely to emerge. In particular, informational streams coming from direct contact with research institutions and their personnel can conflict not only with each other but with the accounts issuing from government and official sources and then with the 'counter-flows' to these coming from outside the official medical and political mainstream (see below). They can do this both in relation to statistics, to interpretation and to recommended responses. Comprehension and contestability As suggested above, a challenge to public comprehension has come from the sheer density, inter-relationship and frequency of numerical indicators offered, together with what has been in many countries the increasing disputes between various kinds of 'expertise' using divergent bodies of data and perspectives. Not surprisingly, governments have variously attempted to gain narrative clarity and limit the impact of divergence by offering strong versions of their preferred account of the situation and by presenting a sense of continuity of approach even against a record of policy shifts. In relation to these strategies, counter-flows (often involving counter-statistics) have varied across a spectrum of 'scepticism' about dominant accounts and policy. This spectrum runs from the questioning of specific data and modes of response, an activity often justified by the level of public information management at work in dominant narratives, through to far more generalized critical perspectives (for analysis of these in different national settings see, for example, Noar and Austin, 2020 on the USA, Rossini and Kalogeropoulos, 2020 on Brazil and Van Dijck and Alinejad, 2020 on the Netherlands). At points, these latter merge with forms of 'denial', sometimes involving ideas of conspiracy, in which disbelief in the 'officially' claimed level of health risk connects with accounts of the lines of hidden power seen to be controlling what is regarded as essentially an exercise in mass deception. The organization and scale of counter-flows, along with their reach and 'misinformational' character, has varied along with the kinds of economic and political orientation they display and the broader support, both online and offline, they can draw upon, including from organizations, political parties and economic elites (Stecula and Pickup, 2021 examine some of the relationships active here). A complex 'Politics of Covid' emerges within national systems, connected to the pattern of dominant and contesting ideas of public and economic order and capable of producing instability and civic unrest (Afsahi et al, 2020 bring a number of international critical accounts together; see also Pleyers, 2020 on issues of civil liberty, Young and Bleakley, 2020 on the dynamics of polarization and Harsin, 2021 on factors of gender and race). As research is beginning to show, the management of public expectations has often required, and is still requiring, attempts at forms of strategic balance (Milutinovic, 2021 gives a detailed account of tensions in Serbian media and government). This, across a variety of political and economic settings, is essentially a balance between, on the one hand, promoting the degree of anxiety/fear necessary to encourage conformity with socially restrictive guidelines for behavior (Constantinou, 2020 assesses this in relation to a changing idea of 'risk society') and, on the other, promoting sufficient confidence in the effectiveness of the official measures to support positive public morale against a backdrop of social and economic disruption. I noted how Lawson and Lovatt (2020) have recently explored through closely analyzed examples the way in which various rhetorical strategies are often employed alongside health statistics in ways which can significantly alter the magnitude and significance of the figures presented, 'managing' them into a more positive or more negative implication. Their account builds on previous critical studies of statistical flows but develops a strongly aesthetic dimension in a way which opens up original perspectives on public story-telling. The management they examine is inevitably to be found in official statements internationally, if with marked variations, as well as being more freely and openly used in the accounts offered by news outlets, where 'hidden' shifts from the descriptive to the evaluative are a standard discursive move. These practices essentially involve an interplay, sometimes crude, sometimes subtle, between 'numbers' and 'story', in which there is the potential for mutual shaping. Numbers can determine narrative structure, including headline statements, but just what numbers are used and what are left out, what are emphasized and what not and how they are placed in relation to other numbers to achieve their projected significance will be determined by the pattern and rhetorical deployment of pre-existing narrative flows. These flows include both those currently dominant and those emerging as strong 'counter' framings (where a strategic play-off between figures and preferred narrative is likely to have already formed part of the bid for stronger public visibility). Such rhetorical management and contestation not only occurs in flows about regional and national situations, of course; it also appears in the way in which governments position national accounts within versions of the international picture. Here, statistics become the means by which 'league tables' are established, first in respect of the levels of 'success' of initial responses but then in relation to the roll-out of vaccination programs. Such management compounds the problem of the extensive divergence, noted earlier, between different 'core' accounts resulting from different data, methodologies and modeling schemes– a divergence which can be regarded as largely 'pre-rhetorical', whatever its contingent, discursive constitution. The Pandemic and the future of Public Information Flows Already, a number of commentators on the pandemic have called for improved levels of statistical literacy to be fostered among publics as one way of increasing greater clarity and critical engagement with the intensified flows of a 'crisis' (e.g. Aula, 2020). However, the difficulties of actually achieving significant improvement here, outside the frameworks of formal education, are obvious and in some countries are clearly such as to render any scheme of this kind wholly impractical. Undoubtedly, some media organizations, particularly those in upmarket sectors and in public service systems, have improved their critical handling of statistical material (see Nguyen et al, 2021 for suggested guidelines and Perreault and Perreault, 2020 for an analysis of the shifting communication ecology within which U.S journalists worked.) However, extension more broadly is unlikely, not least for the costs in money and time it would bring. The continuing belief in the potential of statistics as an aid in grounding accounts of the world remains well founded, since while statistics need critical use and are not, by themselves, enough, they are clearly the basis for any serious claims-making about situations past and present and about future tendencies and possibilities. Ignoring them has often been a key factor in policy errors internationally (with the ignoring and denial of climate change data an outstanding example). However, during the Covid pandemic quantitative materials have entered media flows with a new variety and volume, especially allowing for the relatively short time-frame of the crisis to date. The diversity, inter-connectedness and rate of update has led to a condition ('statisticality') in which figures not only dominate the patterns of information in circulation but serve (intentionally and otherwise) to confuse and deceive across a wide section of national populations. Such prominence and impact invites connection with Foucault's ideas of governmentality and the emphasis they place on protocols of conduct (see, for instance, Burchell, et al 1991) and also with his long-standing and related interest in 'technologies of power'. Emerging research on the variety of flows, their origins, pathways and, crucially, their uptakes within what are often very different publics will help clarify what has been happening and its broader theoretical linkages. Here, the kind of engagement activated across diverse media usage, its affective drivers and its outcomes (Dahlgren and Hill, 2020) will be important. Although the scale of its numerical accounting is without precedent, bringing crossconnections and antagonism between medical, economic and political fields, the Covid-19 pandemic has highlighted challenges for the future of figures in public information flows across a range of settings. In bringing about an intensified relationship between the ideological and the quantitative, its legacy will have to be added to that wider range of factors – structural and discursive – determining the direction and strength of flow patterns. These factors have, of course, long been a key focus of international theory and debate, with recent examples from a vast literature being Trivundza et al (2018) on the changing patterns of media power and Schlesinger (2020) on the emerging terms of the post-public sphere. Acknowledgement I would like to thank Annette Hill of the University of Lund for the opportunity to give a symposium presentation on this topic in February 2021 and Emily Keightley of the University of Loughborough for comments on an earlier draft of this text. References Afsahi, A., Beausoleil, E., Dean, R., Ercan, S.A. and Gagnon, J-P (2020) 'Democracy in the time of Covid 19', special issue of Democratic Theory, 7.2 Aula, V. (2020) 'The public debate about Covid-10 demonstrates our ongoing and misplaced trust in numbers', LSE Blog (https://blogs/lse.ac.uk/impact of social sciences/2020/5/15). Burchell, G, Gordon, C and Miller, P. (eds.) (1991) The Foucault Effect: Studies in Governmentality. Chicago IL: University of Chicago Press. Bruggemann, M. and Engesser, S. (2017) 'Beyond false Balance: how journalism shapes media coverage of climate change', Global Environmental Change, 42: 58-67. Constantinou, C.S. (2020) 'People have to comply with the measures: Covid-19 in Risk Society', Journal of Applied Social Science, 15 (1): 3-11 Dahlgren, P. and Hill, A. (2020) 'Parameters of media engagement', Media Theory, 4.1: 1-32. Harsin, J. (2020) 'Toxic white masculinity, post truth and the Covid-19 infodemic', European Journal of Cultural Studies, 23.6: 1060-68. Johnson, B. (2020a) 'Prime Minister's statement on coronavirus (COVID-19)', 18 March: https://www.gov.uk/government/speeches/pm-statement-on-corona virus-18-march-2020 (A: 13.8.20) Lawson, B. and Lovatt, M. (2020) 'Towards a rhetorical understanding of statistics in politics', European Journal of Communication, 36(2): 110-124. Martinisi, A and Lugo-Ocando J. A. (2020) Statistics and the Quest for Quality in Journalism. London and New York: Anthem Press. Milutinovic, I (2021) 'Media Framing of Covid-19 pandemic in the transitional regime of Serbia', Media, Culture & Society, Epub ahead of print January 6 (doi.org/10.1177/0163443720986003). Nguyen, A. Zhao, X., Lawson, B and Jackson, D. (2021) Reporting from a statistical chaos: Journalistic Lessons from the First Year of Covid-19 and Science in the News. Bournemouth: University of Bournemouth. Nguyen, A. and Catalan, D. (eds.) (2020) 'Health and science controversies in the digital world', Special Issue of Media and Communication, 8(2): 323-479. Nguyen, A. and Lugo-Ocando, J. A. (2015) 'The state of data and statistics in journalism and journalism education: issues and debates', Journalism, 17(1): 3-17. Noar S. and Austin, L. (2020) '(Mis) communicating about Covid-19: Insights from health and crisis communication', Health Communication, 35(14): 1735-1739. Perreault, M.F. Perreault, G.P. (2020) 'Journalists on Covid-19 journalism', American Behavioral Scientist, Epub ahead of print, February 5 (doi.org/10.1177/0002764221992813). Pleyers, G. (2020) "The Pandemic is a battlefield", Journal of Civil Society, 16(4): 295312. Rossini, P. and Kalogeropoulos, A. (2020) 'News and (Mis) information about Covid19inBrazil', (www.liverpool.ac.uk/media/livacuk/schoolofthearts/documents/ communicationandmedia/Rossini,Kalogeropoulos,Report,insights,07122020.docx .pdf ). Schlesinger, P. (2020) 'After the post-public sphere', Media, Culture & Society, 42 (7/8): 1545- 1563. Stecula, D. and Pickup, M. (2021) 'How populism and conservative media fuel conspiracy beliefs about Covid-19 and what it means for Covid-19 behaviours', Research and Politics, 8(1). Epub ahead of print February 15 (doi.org/10.1177/ 2053168021993979). Trivundza, I.T., Nieminen, H., Carpentier, N. and Trappel, J. (eds.) (2018) Critical Perspectives on Media, Power and Change. London: Routledge. Twain, M. ([1907] 2010) Autobiography (Vol 1). Berkeley, Ca: University of California Press. Van Dijck, J. and Alinejad, D. (2020) 'Social media and trust in scientific expertise: debating the Covid pandemic in the Netherlands', Social Media & Society, Epub ahead of print December 15, (doi.org/10.1177/2056305120981057). Van Witsen, A. (2019) 'How daily journalists use numbers and statistics: The case of global average temperature', Journalism Practice, 14 (9): 1047-1065. WHO (2020) 'Managing the Covid 19 Infodemic', (https://www.who.int/news/ item/23-09-2020-managing-the-covid-19-infodemic-promotinghealthybehavioursand-mitigating-the-harm-from-misinformation-anddisinformation). Young, D. G. and Bleakley, A. (2020) 'Ideological health spirals: An integrated political and health communication approach to COVID Interventions', International Journal of Communication, 14. John Corner is Visiting Professor in Media and Communication at the University of Leeds and Professor Emeritus of the University of Liverpool. He has published widely since the 1970s in a range of international journals and in books. Recent articles or chapters have included work on opinion polls and political journalism, the new documentary economy, celebrity politics and the fake news debate. Email: email@example.com
Andrew Young, DO Department of Internal Medicine, Cleveland Clinic Mythri Anil Kumar, MD Prashanthi N. Thota, MD, FACG Department of Gastroenterology and Hepatology, Cleveland Clinic Medical Director, Esophageal Center, Digestive Disease and Surgery Institute, Cleveland Clinic; Clinical Assistant Professor, Cleveland Clinic Lerner College of Medicine of Case Western Reserve University, Cleveland, OH GERD: A practical approach ABSTRACT Gastroesophageal reﬂ ux disease (GERD) is mainly a clinical diagnosis based on typical symptoms of heartburn and acid regurgitation. Current guidelines indicate that patients with typical symptoms should ﬁ rst try a proton pump inhibitor (PPI). If reﬂ ux symptoms persist after 8 weeks on a PPI, endoscopy of the esophagus is recommended, with biopsies taken to rule out eosinophilic esophagitis. This review discusses the evidence for different medical, endoscopic, and surgical therapies and presents a management algorithm. KEY POINTS The diagnosis of GERD is mainly symptom-based and often does not require endoscopic conﬁ rmation. Endoscopy is warranted in patients with red-ﬂ ag symptoms such as dysphagia, anemia, weight loss, bleeding, and recurrent vomiting. PPIs are the ﬁ rst-line medical therapy. Histamine 2 receptor antagonists are mainly used to treat breakthrough nocturnal symptoms. Endoscopic and surgical options exist but are pursued only if medical therapy fails. G astroesophageal reflux disease (GERD) is common, accounting for more than 5.6 million physician visits each year. 1 From 10% to 20% of adults in Western countries and nearly 5% of those in Asia experience GERD symptoms at least weekly. 2 The prevalence of GERD symptoms is increasing by about 4% per year, in parallel with increases in obesity rates and reduction in prevalence of Helicobacter pylori over the past several decades. 3 However, patients may not have symptoms of GERD even if they have objective evidence of it such as erosive esophagitis or Barrett esophagus. 4 In 2015, the total direct economic impact of GERD and its complications was estimated to be over $18 billion, with use of proton pump inhibitors (PPIs) accounting for $12.4 billion, while the indirect costs driven by decreased work productivity were as much as $75 billion. 1,5 ■ TROUBLESOME SYMPTOMS, COMPLICATIONS An international consensus group has defi ned GERD as a condition that develops when refl ux of stomach contents causes troublesome symptoms with or without complications. 6 Typical symptoms that lead to the diagnosis of GERD are regurgitation and heartburn. As much as 16% of the US population complains of regurgitation, and 6% report clinically troublesome heartburn. 7 However, while these symptoms are specifi c for the disease, they are insensitive markers of refl ux. GERD symptoms can worsen with lying recumbent, especially after meals. Of note, dysphagia can be a symptom of uncomplicated GERD, but its presence warrants more intensive examination and potential in- on September 22, 2021. For personal use only. All other uses require permission. Figure 1. Approach to gastroesophageal reﬂ ux disease (PPI = proton pump inhibitor, EGD = esophagogastroduodenoscopy). Managing gastroesophageal reﬂ ux disease Alarm symptoms: Dysphagia, odynophagia, bleeding, anemia, weight loss, early satiety, vomiting Yes No Start PPI therapy (8 weeks) Response? No EGD Abnormal Treat in response to ﬁ ndings Yes Normal Taper to lowest possible dose Any extra- esophageal symptoms? No pH monitoring Yes Abnormal Normal Consider referral to ear, nose, and throat, pulmonary, allergy services Optimize medical therapy Consider surgical and endoscopic therapie s Consider functional heartburn or reﬂ ux hyper- sensitivity In patients with chest pain, rule out heart disease before considering a diagnosis of GERD tervention, as it can be caused by strictures, rings, malignancy, or esophageal dysmotility. ■ PATHOPHYSIOLOGY Chest pain is another symptom often associated with GERD, but a cardiac cause should be considered and ruled out before GERD is considered. Other symptoms of GERD include dyspepsia, nausea, bloating, sore throat, globus sensation, and epigastric pain. A systematic review discovered that symptoms of GERD are less frequent in the elderly. 8 However, on average, the severity of disease in the elderly was found to be greater than that in younger patients. Therefore, it was concluded that while the prevalence of documented GERD in older patients is less than that in younger patients, the actual rate of GERD is likely similar. Since GERD was fi rst described in 1879 by Heinrich Quincke, our understanding of its pathophysiology has slowly expanded and evolved. 9 Factors now known to contribute to GERD include: * Transient lower esophageal sphincter (LES) relaxation * Sliding hiatal hernia * Low LES pressure * Acid pocket development due to poor mixing of acid with chyme in the proximal stomach * Increased gastroesophageal junction distensibility * Obesity * Delayed gastric emptying. 9 A subset of patients has extraesophageal symptoms of GERD such as asthma, laryngitis, pharyngitis, chronic cough, sinusitis, idiopathic pulmonary fi brosis, dental erosions, and recurrent otitis media. 6 Most symptoms are caused by acid refl ux, but if symptoms persist on PPI therapy, they are likely due to either weakly acidic or weakly alkaline secretions. 10,11 The distance up the esophagus that the refl ux travels also plays a role in the symptoms of GERD. Acid refl ux episodes that extend on September 22, 2021. For personal use only. All other uses require permission. higher into the esophagus are associated with worse symptoms, regardless of the acidity of the bolus. 12,13 If no alarm symptoms, ﬁ rst try a PPI Trimble et al 13 found that patients with GERD have enhanced esophageal sensation and likely have heightened perceptions of normal nonacidic refl ux events due to lower sensory thresholds. Another hypothesis is that sustained esophageal longitudinal muscle contractions may lead to transient ischemia of the esophageal wall, resulting in GERD symptoms in some patients. 14 ■ DIAGNOSIS AND MANAGEMENT GERD is mainly a clinical diagnosis based on typical symptoms. Its diagnosis and management are summarized in Figure 1. Current guidelines indicate that patients with typical symptoms should fi rst be given a trial of PPI treatment. 15 However, patients with alarm symptoms including dysphagia, anemia, weight loss, bleeding, and recurrent vomiting should proceed directly to upper endoscopy. Alarm symptoms include dysphagia, anemia, weight loss, bleeding, and recurrent vomiting There are limitations to this approach: a meta-analysis showed that a short course of PPI therapy has a 78% sensitivity and 54% specifi city in accurately diagnosing GERD. 16 In general, if typical symptoms resolve with an initial trial of a PPI, GERD should be diagnosed and the patient should continue taking a PPI daily. on September 22, 2021. For personal use only. All other uses require permission. Give PPIs 30–60 minutes before a meal for optimal pH control (A) Patient with 24-hour pH catheter. (B) Bravo capsule in the esophagus. (C) In pH tracing, the blue horizontal line represents a pH < 4. Figure 3. Heartburn? Or heart attack? In patients with chest pain, a cardiac condition should be ruled out before considering GERD. In one study, 17 patients with noncardiac chest pain and endoscopic evidence of GERD had a significant response to PPI therapy, while those without endoscopic evidence had little or no response to therapy. 17 Upper endoscopy Endoscopy should be performed in any patient with the alarm symptoms described above, and also in patients whose symptoms do not respond to a PPI. the standard method for classifying esophagitis (Figure 2). 18,19 In addition, during endoscopy, biopsy samples from the esophagus should be obtained to rule out eosinophilic esophagitis. Esophageal pH monitoring Esophageal pH monitoring is indicated in patients with persistent symptoms and normal fi ndings on endoscopy before surgical or endoscopic interventions are considered. Esophageal pH monitoring can be done using a 24hour transnasal pH or pH-impedance catheter or a 48-hour Bravo wireless capsule. Abnormal endoscopic fi ndings in GERD may include erosive esophagitis, strictures, and Barrett esophagus. However, many patients with GERD have normal fi ndings on endoscopy. In 1999, the Los Angeles classifi cation system was published and is now In clinical practice, pH testing is performed with the patient off PPI therapy when there is low clinical suspicion for GERD, whereas pH-impedance testing is performed while the patient is still on PPI therapy when there is higher likelihood of GERD, to evaluate refractory symptoms (Figure 3). 20 on September 22, 2021. For personal use only. All other uses require permission. Barium esophagography is not indicated in the workup of refl ux disease as it has poor sensitivity and specifi city for GERD. ■ TREATMENT: LIFESTYLE, DRUG THERAPY, SURGERY Lifestyle modiﬁ cations Lifestyle modifi cations are the fi rst option for most patients. Weight loss can help reduce and eliminate GERD symptoms. A prospective cohort study found that 81% of obese patients who completed a structured weight loss program had a reduction in symptoms, and 65% had complete resolution of symptoms. 21 Another large retrospective study, with more than 15,000 patients, showed an association between improvement in GERD symptoms and reduction in body mass index (BMI) in obese patients who lost at least 2 kg/m 2 in BMI (odds ratio 2.34). 22 Diet, smoking cessation, alcohol moderation. Numerous studies have aimed to fi nd foods that exacerbate refl ux symptoms. Historically, patients have been advised to avoid smoking, chocolate, carbonated beverages, spicy food, fatty food, alcohol, and large meals. Thus far, no study has found improvement in GERD symptoms with cessation of either smoking or alcohol. In terms of food consumption, no food has been conclusively linked with increased GERD symptoms. No consistent associations have been established between GERD symptoms and fatty food, spicy food, coffee, carbonated beverages, chocolate, citrus, or mint. Sleep position. Other studies have promoted elevating the head of the bed, sleeping in the left decubitus position, and, in those with nocturnal GERD symptoms, avoiding meals in the 2 to 3 hours before bedtime. 23,24 A sleep positional therapy device has been shown to reduce acid exposure times and improve nocturnal refl ux symptoms. 25,26 This device places the user in the left decubitus position at an incline and has been an effective tool for those with nocturnal symptoms. Drug therapy If lifestyle interventions fail, drug treatment options are PPIs, histamine 2 receptor antagonists (H2RAs), and antacids. PPIs are considered the therapy of choice for symptomatic relief and healing of erosive esophagitis. Compared with H2RAs, PPIs have been shown to provide improved healing rates and fewer relapses in patients with erosive esophagitis. 27 To date, no study has shown a major difference in symptom control between the multiple PPIs. However, esomeprazole was shown, in a meta-analysis comparing it with other PPIs, to increase the probability of healing erosive esophagitis at 4 and 8 weeks. 28 PPIs inhibit gastric acid secretion by inactivating the hydrogen potassium ATPase molecules of the parietal cell. Optimal acid suppression occurs when the proton pumps are activated as the parietal cell is maximally stimulated after a meal. All PPIs should be taken 30 to 60 minutes before a meal for optimal pH control except dexlansoprazole, which employs dual delayedrelease technology leading to sustained plasma drug concentrations; it can therefore be taken at any time of day. For patients with daytime symptoms, a PPI should be taken once daily in the morning, and for nighttime symptoms, the dose should be taken in the evening. After the initial 8-week course of therapy, most patients with GERD should attempt to take the lowest dose required to manage their symptoms. For some, this could mean only taking the medication when symptoms arise. However, patients with severe erosive esophagitis (grade C or D), Barrett esophagus, and peptic strictures need long-term PPI treatment. Adverse effects of PPIs. All patients need to be counseled about possible long-term adverse effects of PPIs. 29 However, a recent randomized controlled trial found no association of PPIs with any adverse event when used for 3 years, with the possible exception of an increased risk of enteric infections. 30 Vaezi et al 29 reviewed the complications of PPI therapy and listed the relative risk and absolute excess risk in randomized controlled trials. From their data, we have calculated the number needed to harm, ie, the number of patients who would need to be treated for 1 year to observe 1 adverse effect: * Chronic kidney disease, 333–1,000 * Dementia, 67–1,429 on September 22, 2021. For personal use only. All other uses require permission. www.ccjm.org Downloaded from If lifestyle interventions fail, drug treatment options are PPIs, H2RAs, and antacids An 8-week course of PPI is needed to allow for healing; patients should not be considered nonresponders until after this, unless alarm symptoms are present * Bone fracture, 200–1,000 * Campylobacter or Salmonella infection, 500–3,333 * Spontaneous bacterial peritonitis (in patients with cirrhosis and ascites), 6–33 * Clostridioides diffi cile infection, 1,111–no association * Micronutrient defi ciencies, 250–333. The authors found no association between long-term PPI use and the following: * Myocardial infarction * Small intestinal bacterial overgrowth * Pneumonia * Gastrointestinal malignancies. Compared with earlier drugs, PPIs have been consistently shown to be superior at healing erosive esophagitis and relieving symptoms. PPIs can maintain intragastric pH higher than 4 for 15 to 21 hours daily, compared with the 8 hours that H2RAs can achieve. 31 In a randomized trial, endoscopic remission of erosive esophagitis was found in 80.2% of those taking omeprazole 20 mg daily vs 39.4% in those taking ranitidine 150 mg daily. 27 H2RAs appear useful in GERD for controlling nocturnal acid breakthrough. However, tachyphylaxis to these drugs develops rapidly, and they may therefore have a role only if used intermittently. 32 Antacids, especially when combined with alginate preparations, are effective for reducing postprandial esophageal acid exposure. 33 If ﬁ rst-line therapy fails PPIs have immensely changed the landscape of treatment for GERD since their introduction, but up to 40% of patients with GERD fi nd partial or no symptom relief with fi rst-line therapies. 34 In these nonresponders, it is important to determine compliance with PPIs, specifi cally the timing in relation to meals. An 8-week course of therapy is needed to allow for healing, and patients should not be considered nonresponders until after this period unless alarm symptoms are present. For these patients, upper endoscopy should be performed within 2 weeks. For those without alarm symptoms but continued refl ux in spite of therapy, endoscopy should be performed after 8 weeks, with biopsies of the esophagus to evaluate for eosinophilic esophagitis. performed on these non- and partial responders while off PPIs to determine if there is persistent acidic or nonacidic refl ux. If results of pH and impedance testing are normal, the most common causes of continued symptoms are refl ux hypersensitivity and functional heartburn. Refl ux hypersensitivity is a heightened response to nonpathologic refl ux, while functional heartburn is the presence of symptoms without any evidence of abnormal exposure. These patients should be reassured that their condition is benign, and they can be started on a pain modulator such as a selective serotonin reuptake inhibitor, serotonin-norepinephrine reuptake inhibitor, or tricyclic antidepressant. If PPIs give partial relief, they should be continued, but they can be stopped for patients who have no response to them. In patients found to have nonacid refl ux, a trial of baclofen should be offered, as it has been shown to reduce the rate of lower esophageal sphincter transient relaxations. 35 Alternative and investigational therapies Alternative therapies are being investigated, but none have consistently shown signifi cant benefi ts over placebo. Therapies under investigation include refl ux inhibitors, prokinetics, acupuncture, and hypnotherapy. Prokinetics, including metoclopramide and domperidone, have shown benefi t in select patients with GERD but have been limited in their use due to associated central nervous system side effects and QT prolongation. New medical treatments for GERD on the horizon include potassium competitive acid blockers (vonaprazan) and bile acid sequestrant (IW3718) that binds to bile in the refl uxate. ■ SURGICAL THERAPIES Nissen fundoplication, fi rst performed by Dr. Rudolph Nissen in 1955, gained popularity in the 1970s and is now the most widely performed antirefl ux surgery. It involves reducing the hiatal hernia and wrapping the gastric fundus partially or completely around the lower esophagus to restore the LES barrier. Esophageal impedance and pH testing are Indications for the procedure are presence of a large hiatal hernia, refl ux esophagitis or GERD symptoms refractory to medical therapy, or adverse effects of medical therapy. on September 22, 2021. For personal use only. All other uses require permission. A trial comparing laparoscopic fundoplication with esomeprazole therapy found similar remission rates after 3 years and a higher rate with esomeprazole after 5 years. 36 While esomeprazole was associated with more symptoms of refl ux compared with fundoplication, patients who underwent this surgery reported higher rates of dysphagia, fl atulence, and bloating. Antirefl ux surgery should be recommended with caution, as it can have severe side effects such as dysphagia, gas bloat syndrome, and fl atulence and the intended effect may only be temporary, as up to 60% of patients will require antirefl ux medications regularly in the decade afterward. 37 Esophageal manometry should be obtained before surgery to screen for esophageal aperistalsis, as this is an absolute contraindication to the procedure. Furthermore, manometry will exclude other motility disorders that can present similarly to GERD as discussed. Of note, antirefl ux surgery is not recommended in PPI nonresponders. 15 The Linx procedure (magnetic sphincter augmentation; Torax Medical Inc., Shoreview, MN) is a minimally invasive alternative. It involves laparoscopic insertion of a band of magnetic beads around the LES, which allows passage of food and then closes to prevent acid refl ux. The procedure is associated with improvement in symptom scores and reduced need for PPI therapy but not with consistent reduction in esophageal acid exposure. 38 Roux-en-Y gastric bypass is a surgical option for morbidly obese patients. A prospective study with 53 patients showed an improvement in GERD symptoms, refl ux esophagitis, and esophageal acid exposure for more than 3 years following bypass. 39 ■ ENDOSCOPIC THERAPIES Alternatively, several endoscopic treatments for GERD have been developed over the last 2 decades. 40 These include: * Transoral incisionless fundoplication (TIF) using the Esophyx device (EndoGastric Solutions, Redmond, WA) * Radiofrequency energy delivery to the LES (the Stretta procedure; Respiratory Technology Corporation, Houston, TX) * Endoscopic anterior fundoplication using the Medigus ultrasonic surgical endostapler (Medigus, Omer, Israel). Of these, the fi rst 2 have the most evidence. TIF involves creation of a partial gastric wrap around the lower esophagus with an Esophyx device mounted on the endoscope. TIF is associated with symptom control and PPI reduction or cessation for at least 6 years and is a viable option for a select group of GERD patients with small hiatal hernias and preserved esophageal function. A large randomized trial comparing TIF with PPIs showed symptomatic control in 67% vs 45% patients. TIF was associated with a reduction in esophageal acid exposure time from 9.3% to 6.4% and DeMeester score reduction from 33.6 to 23.9. 41 In 2018, a meta-analysis was performed to compare TIF with Nissen fundoplication, a sham procedure, and PPIs. 42 TIF was associated with a larger increase in quality of life measures, while Nissen fundoplication had a greater ability to improve physiologic parameters associated with GERD including LES pressure and the percentage of time the pH was less than 4. The Stretta device was developed in 2000 and works by delivering thermal energy to the LES, which is postulated to increase sphincter thickness through scar tissue deposition, thereby reducing refl ux. However in a meta-analysis of randomized controlled trials, Stretta treatment did not reduce percentage of time when pH is less than 4 or increase LES pressure or ability to stop PPIs. 43 ■ REFERENCES 1. Peery AF, Crockett SD, Murphy CC, et al. Burden and cost of gastrointestinal, liver, and pancreatic diseases in the United States: update 2018. Gastroenterology 2019; 156(1):254–272.e11. doi:10.1053/j.gastro.2018.08.063 Antireﬂ ux surgery should be recommended with caution, as it can have severe side effects 4. Zagari RM, Fuccio L, Wallander MA, et al. Gastro-oesophageal reﬂ ux symptoms, oesophagitis and Barrett's oesophagus in the general population: the Loiano-Monghidoro study. Gut 2008; 57(10):1354–1359. doi:10.1136/gut.2007.145177 2. Dent J, El-Serag HB, Wallander MA, Johansson S. 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Richter JE, Kumar A, Lipka S, Miladinovic B, Velanovich V. Efﬁ cacy of laparoscopic Nissen fundoplication vs transoral incisionless fundoplication or proton pump inhibitors in patients with gastroesophageal reﬂ ux disease: a systematic review and network meta-analysis. Gastroenterology 2018; 154(5):1298–1308.e7. doi:10.1053/j.gastro.2017.12.021 43. Lipka S, Kumar A, Richter JE. No evidence for efﬁ cacy of radiofrequency ablation for treatment of gastroesophageal reﬂ ux disease: a systematic review and meta-analysis. Clin Gastroenterol Hepatol 2015;1 3(6):1058–1067. e1. doi:10.1016/j.cgh.2014.10.013 26. Allampati S, Lopez R, Thota PN, Ray M, Birgisson S, Gabbard SL. Use of a positional therapy device signiﬁ cantly improves nocturnal gastroesophageal reﬂ ux symptoms. Dis Esophagus 2017; 30(3):1–7. doi:10.1111/dote.12495 Address: Prashanthi N. Thota, MD, FACG, Esophageal Center, Digestive Disease and Surgery Institute, A31, Cleveland Clinic, 9500 Euclid Avenue, Cleveland, OH 44195; firstname.lastname@example.org on September 22, 2021. For personal use only. All other uses require permission.
Policy and Practice Economic and programmatic aspects of congenital syphilis prevention George Schmid 1 Abstract A review of the economic and programmatic aspects of congenital syphilis was conducted and recommendations made for improvement of its prevention. Congenital syphilis is a preventable disease and the tools to prevent it have been available for decades. In both industrialized and developing countries, but particularly the latter, the prevention of congenital syphilis by antenatal screening is cost-effective and may be cost-saving. Yet, globally, there are probably >500 000 fetal deaths a year from congenital syphilis, a ﬁgure rivalling that from mother-to-child transmission of human immunodeﬁciency virus (HIV), which receives far greater attention. The reasons that congenital syphilis persists vary, with international and national under-appreciation of the burden of congenital syphilis and insufﬁcient political will to provide effective antenatal screening programmes probably being the main reasons. All causes are amenable to effective intervention programmes. The prevention of congenital syphilis should be a global priority; international agencies and national programmes should be committed to improving antenatal care (ANC) services including syphilis detection and prevention. Keywords Syphilis, Congenital/prevention and control/economics; Syphilis/prevention and control/economics; Prenatal diagnosis/ economics; Prenatal care; Pregnancy; Cost of illness; Treatment failure; National health programs/organization and administration (source: MeSH, NLM). Mots clés Syphilis congénitale/prévention et contrôle/économie; Syphilis/prévention et contrôle/économie; Diagnostic prénatal/ économie; Soins prénatals; Grossesse; Coût maladie; Echec thérapeutique; Programme national santé/organisation et administration (source: MeSH, INSERM). Palabras clave Síﬁlis congénita/prevención y control/economía; Síﬁlis/prevención y control/ economía; Diagnóstico prenatal/economía; Atención prenatal; Embarazo; Costo de la enfermedad; Insuﬁciencia del tratamiento; Programas nacionales de salud/organización y administración (fuente: DeCS, BIREME). Bulletin of the World Health Organization 2004;82:402-409. Voir page 408 le résumé en français. En la página 408 ﬁgura un resumen en español. .408 Introduction In 2001, an estimated 720 000 infants, almost all in developing countries, were born with HIV (1) and few will survive until their tenth birthday. This high mortality in children who will never survive and contribute to soci ety has captured the world's attention. Numerous approaches to intervention based on screening of pregnant women for human immunodeﬁciency virus (HIV) and prophylaxis or therapy of seropositive women have been investigated and, in industrialized countries, adopted. In developing countries, identiﬁcation of all infected mothers and institution of prevention of motherto-child-transmission (PMTCT) programmes, currently using (principally) single-dose antiretroviral prophylaxis for mother and baby, might prevent about one-third to one-half of the 720 000 cases (240 000–360 000 cases) (2). In sub-Saharan Africa, an estimated two million or more women with active syphilis become pregnant each year; in an estimated 1 640 000 of them, infection remains undetected during pregnancy ( 3 ). Although estimates vary, adverse pregnancy outcomes occur in up to 80% of women with acute syphilis, including stillbirth (40%), perinatal death (20%) and serious neonatal infection (20%) ( 4 ). In African countries, syphilis is the leading cause of perinatal mortality (21%) ( 5 ). Women with early syphilis are most likely to infect their fetus ( 6 ). To identify these women, titres of reaginic antibody are often measured: titres of 1:8 or greater ("high titre") indicate greatest risk ( 7–9 ). It is estimated that about half of pregnant women with active infection have "high-titre infection" ( 7–10 ). If this estimate is correct, the numbers of fetal deaths in Africa each year from untreated maternal syphilis rival those from HIV infection. Screening pregnant women for syphilis, treating those who are seropositive, and preventing reinfection will be effective if screening is performed early in pregnancy ( 11 , 12 ). Universal institution of an effective programme to prevent congenital syphilis (CS) could avoid 492 000 deaths in Africa alone 1 Research Scientist, Department of HIV/AIDS, World Health Organization, 20 Avenue Appia, CH 1211 Geneva 27, Switzerland (email: firstname.lastname@example.org). 03-008946 Ref. No. (Submitted: 20 October 2003 – Final revised version received: 3 May 2004 – Accepted: 3 May 2004) George Schmid (1 640 000 (number of infected women) × 0.50 (rate of hightitres) × 0.60 (probability of fetal death) = 492 000). However, the prevention of infant deaths due to syphilis receives lower priority than prevention of those due to HIV infection. This indifference is not because it is not known how to prevent CS. Prevention of CS is simpler than PMTCT of HIV, and highly cost-effective (13), yet often not carried out in middleincome or low-income countries. This paper reviews the economic rationale for screening pregnant women for syphilis, the reasons why screening is often unsuccessful, and suggests ways forward. Economic perspective As syphilis incidence has fallen in the developed world, questions of whether screening of pregnant women for syphilis should continue to be recommended have resulted in full economic evaluations in the United Kingdom (14) and Norway (15), and partial evaluations in the United Kingdom and Australia (16–18). Despite varied modelling approaches, these analyses all concluded that screening is cost-effective (all evaluations) and cost-saving (full evaluations) at threshold prevalences considerably less than 1%, and should therefore continue. Syphilis screening in developed countries is cost-effective at very low prevalences because treating CS is expensive. A child with CS is hospitalized, on average, 7.5 days longer than a child without CS (mean cost (2001 dollars) US$ 5 253) (19). Although no study has followed children with CS to determine ultimate outcome, even an occasional case of neurological damage, as modelled in two analyses (14, 15), raises the mean health-care cost of a case of CS dramatically. When indirect costs (14, 15) are included, the cost of a case of CS escalates sharply. Thus, serological screening of pregnant women, which is inexpensive, is cost-effective even at very low prevalences of maternal infection. Preventing even an occasional case is economically worthwhile. Furthermore, there is the added beneﬁt, uncosted in any analysis, of detecting and treating infection in a woman, so that the consequences of syphilis may be prevented in her (and possibly her partner(s)). The cost to society of a case of CS exceeds the direct and indirect medical costs, but only one analysis has included intangible costs, i.e. the cost to a family of the death of an infant (14). Babies carry a considerable societal value; this implicit valuation drives programmes for the prevention of HIV infection in infants, and other safe motherhood programmes. While the intangible costs attached to such losses are difﬁcult to model, they must be included, even if implicitly, in economic evaluations of screening of pregnant women for syphilis. Models based on direct medical costs, and even those that include indirect medical costs, signiﬁcantly underestimate the beneﬁts of screening. The net result of considering such beneﬁts is to push the threshold prevalence of maternal infection for costsaving screening even lower and accentuate the favourable cost:beneﬁt ratio (14). Fewer economic evaluations have been made in developing countries, where health-care programmes and costs differ substantially from those in developed countries. In sub-Saharan Africa several economic analyses of direct medical costs indicate that screening is highly cost-effective even at relatively low prevalences, e.g. 1% (20–22); the cost of averting a case of congenital syphilis was US$ 50–177 (22). In a South African population with a prevalence of syphilis of 6.3% (1.7% with "acute syphilis", i.e. rapid plasma reagin (RPR) titres of 1:8), it was shown that screening women using an immunochromographic strip test on-site is more cost-effective (US$ 37 per case of congenital syphilis averted) than either on-site RPR testing (US$ 43 per case averted) or testing at a laboratory (US$ 111 per case averted) ( 10 ). In published studies, converting all fetal consequences of maternal syphilis into disability-adjusted life years (DALYs), the cost per DALY averted is US$ 4–19 (depending upon assumptions made). This ﬁgure compared favourably to the upper value for cost-effectiveness of interventions of < US$ 193/DALY suggested in 1993 by the World Bank, and showed that congenital syphilis prevention is highly cost-effective ( 23 ). This conclusion is supported by a model of the direct and indirect costs of re-screening initially seronegative Thai women in the third trimester ( 24 ). Even at the low incidence (prevalence) of 0.07%, similar to that in industrialized countries, the beneﬁt:cost ratio was 2.8. Seroprevalence rates among pregnant women in developing countries are higher than those in industrialized countries, but those used in the limited modelling work done in the developing world are largely realistic (25). In sub-Saharan Africa 23 recent studies have reported a weighted mean seroprevalence rate of 8.3% (range, 0.9–20.8%); assuming that 80% of the positive serological tests indicated active syphilis, the percentage of women with active syphilis would be 6.6% (range, 0.7–16.6%) (3). Even in countries with low prevalence, because of the additional indirect (and intangible) costs of a case of CS, it is appropriate to conclude that all developing countries should recommend routine screening of pregnant women for syphilis. The issue for the developing world is not whether to screen but how to screen most efﬁciently. Programme perspective Why cases of congenital syphilis occur Although the concept of screening pregnant women for syphilis is simple, implementing the programmes often is not. In industrialized countries, despite recommendations for screening early in pregnancy, stillbirths and infections in infants occur. In the United States, where the recommendation is that all women should be screened at the ﬁrst prenatal visit and, often, subsequently (depending upon risk and State law), between 1992 and 1998, a mean of 135 infants died annually from CS (26). Although as many as 15% of providers fail to routinely screen all women (27), the single biggest contributor to the occurrence of CS is failure to attend for ANC (26, 28). Various other reasons contribute to CS, as exempliﬁed by a recent study from Atlanta, GA, USA (28) (Table 1). Remedying the situation has historically centred on increasing access to ANC together with provider education. More recent efforts in some countries have focused on ensuring that pregnant women have been tested at least once by the time of delivery; some programmes have mandated that women at high risk be tested again in the third trimester and yet again at delivery. Some studies have shown that the causes of CS in middleand low-income countries are identical to those in industrialized countries, although the relative importance of each cause varies (29, 30). If individual countries understand their own situation, they can improve their antenatal screening programmes (Fig. 1). Preventing congenital syphilis Understanding the causes of CS in each medical care setting is important because interventions can be made at each step (Fig. 2). Preventing infection in women Congenital syphilis can be prevented, either through prevention or detection of infection in pregnant women. Programmes promoting safer sex or control of sexually transmitted infection in the community will prevent maternal infection. But, if an infected woman becomes pregnant, only screening programmes can prevent the effects of maternal infection on the fetus; these programmes must be implemented, although not necessarily exclusively, during ANC. Table 1. Reasons for cases of congenital syphilis, in Atlanta, GA, USA, 1990–93 Women must access antenatal care In developing countries, ANC is often either unavailable or not accessed. In a survey covering an estimated 84% of the population of developing countries, 68% of urban and 39% of rural women were estimated to have access to ANC (31), whereas in 1996, WHO estimated that 68% of women received ANC (32). In sub-Saharan Africa, an estimated 63–73% of pregnant women received ANC, but this may an overestimate (3, 32). The reasons for non-attendance for ANC range from fear of medical care to nonexistent services (33). Even if 68% of women access ANC, the beneﬁt to CS prevention is overestimated, because women with syphilis are less likely to access ANC. In industrialized countries, women with syphilis often have other problems, e.g. drug use, that interfere with access to ANC (34). In developing countries, women with syphilis are less Adapted from reference 28. a Figures in parentheses are percentages. b These could have been either cases of syphilis acquired during pregnancy or the result of an inaccurate, initial negative test. c Ten women had a fourfold rise in titre following an initial decline in titre, suggesting reinfection; the remainder had an initial indeterminate response to therapy, suggesting treatment failure. likely than those in industrialized countries to have risk factors (34) that distinguish them from women without syphilis (35, 36). But there is ample evidence that women who deliver an infant with CS did not access ANC (5, 30, 37, 38), and this is probably the major risk factor for CS in the developing world. Women must access antenatal care early Women must receive test results promptly To prevent CS, women must access ANC early in pregnancy. Although it was once thought that the fetus was protected from infection until the twentieth week of gestation by an effective placental barrier (6) this has recently been found to be untrue. In developing countries, the ﬁrst ANC visit generally occurs at 5–6 months of gestation (32), too late to effectively prevent CS. In both industrialized and developing countries (26, 28, 37), accessing ANC for the ﬁrst time in the second half of pregnancy is common among women who have infants with CS (e.g. a mean ﬁrst attendance at 24 weeks was reported in 158 women with syphilis in South Africa). Antenatal care programmes must provide syphilis testing Many ANC programmes do not provide syphilis testing and there may be no national policy for this. For example, in subSaharan Africa, only 17 (77%) of 22 countries have such a policy and most countries lack the practical means to implement it (3). Serological screening for syphilis using standard RPR or venereal disease research laboratory (VDRL) testing requires that a complicated chain of events takes place: equipment and personnel to draw blood, transport of specimens to the laboratory, a properly equipped and functional laboratory, and a system for reporting results back to the clinic. The inability to maintain a syphilis testing service that requires transportation of blood to a centralized laboratory for testing has been identiﬁed in numerous studies as a major obstacle. A recent survey of ANC clinics in South Africa found only four (29%) of 14 had a functioning testing system for syphilis, despite a national policy of screening twice during pregnancy; lack of transport was the single biggest obstacle to testing (10). Results must be returned to the clinic and must reach the woman concerned promptly. For this, women must either return to the clinic or there must be a notiﬁcation system in place; frequently, neither occur. However, an estimated 90% of pregnant women in developing countries who access ANC once, do so a second time (40), although the second visit may be considerably later than the ﬁrst. One study in South Africa asked women to return 14 days following blood sampling to receive test results and therapy (39). The mean number of days between sampling and initial therapy was 20, and 19% of women were never treated, presumably because they were never notiﬁed — it is likely that in a nonstudy situation these ﬁgures would be worse. A conﬁdential system to notify women of their results at home would be an attractive alternative. The logistical problems with the performance of reaginic antibody tests, e.g. RPR or VDRL at centralized laboratories have led to efforts to promote testing at clinics (decentralized testing). There are difﬁculties in this approach: staff must be willing, have sufﬁcient time, and be trained to provide testing, and materials must be available and stored appropriately (10, 41, 42). Also, results obtained at clinics differ from those obtained at reference laboratories (7, 8, 10, 41–43). Nevertheless, studies have universally shown that decentralized testing leads to more women with syphilis being detected and treated than centralized testing. Furthermore, it is cost-effective, and nursing staff prefer it (10), making it far more likely to be implemented and sustained. The difﬁculties with conducting RPR testing at clinics have led to the development of technologically simple immunochromographic strip tests (44). Although (favourable) results of ﬁeld trials are only now becoming available (10, 42), initial results show their simplicity is preferred by nursing staff to reaginic testing (10) and their favourable performance characteristics make them more cost-effective than decentralized reaginic testing (10). Notiﬁcation must result in appropriate treatment For appropriate treatment, antimicrobials must be available, but this is often not the case (31). The treatment must be available at the ANC clinic, as referral for therapy results in fewer women being treated (only 24.5% of infected women in one study) (38). Where antibiotics are available, therapy must be appropriate. Whether one, two or three weekly doses of penicillin are required for optimal prevention of CS is uncertain (6, 12, 39, 45) but, if several doses are needed (39, 45, 46), many women do not receive them (38, 39, 45, 46). Women must remain uninfected during pregnancy Women who are tested early in pregnancy and found to be seronegative must remain uninfected. Several studies in developing countries have re-tested women who were seronegative earlier in pregnancy at delivery, and found prevalences >1% (Table 2). It is almost certainly cost-effective to determine the prevalences at the time of delivery although the economics of testing at delivery differ from those during pregnancy because stillbirth has been avoided. The cases detected at delivery are likely to be a mixture of incident cases and cases with previously falsenegative results. Both occur, and both beneﬁt from treatment of mother and infant (9, 12). Women treated for syphilis at the beginning of pregnancy are probably at a higher risk of reacquiring syphilis during pregnancy than women without syphilis, either because of failure to notify the partner or because these women have sex in sexual networks in which syphilis occurs. Women treated for syphilis beneﬁt from repeat testing and partner notiﬁcation (47). Several studies have shown that women who fail to attend ANC are at higher risk of having syphilis than women who do (5, 26, 42, 48). Woman who have no history of having accessed ANC (or having had a serological test during pregnancy) should be tested at delivery. Recommended interventions International level At the international level, the prevention of CS should be made a health system priority and the following should be provided: estimates of the global CS burden, active advocacy for CS prevention, assessment of global CS prevention programme policies, and programme guidance for national prevention programmes. Assessing the global burden of CS and how national health care systems address it, and provision of appropriate programme guidance, will inform advocacy and intervention efforts. Links with international groups, e.g. International Planned Parenthood Federation or other United Nations (UN) agencies, can result in a more focused, coordinated international-level effort. Such efforts led the Pan American Health Association to draft a plan to decrease the rate of CS to <0.5/1000 live births in Latin America ( 49 ). Testing for CS should be added to the recommended essential services for pregnant women. WHO states that, at "a minimum, women should expect and demand tetanus toxoid immunization and iron/folic acid tablets" during pregnancy (50). Yet, the occurrence of fetal infection and death due to CS exceeds that of tetanus: by one estimate, a million pregnancies are affected each year by CS as opposed to 300 000 infants affected by neonatal tetanus (13). National level At the national level, a policy for testing and treating all pregnant women for syphilis should be developed. A programme of universal testing of pregnant women should be a political and health-care priority. The economic and social consequences of CS strongly argue for its prevention as a priority health-care intervention, and an important ANC intervention. However, few countries have information on syphilis screening during pregnancy. Obtaining this information together with an understanding of the morbidity due to CS and programme problems can alter government policy; e.g. in 1998, after investigating these issues the Bolivian Government decreed that all ANC services, including syphilis testing, would be free of charge (33). However, such programmes, even when successful, require continued political and ﬁnancial commitment (41). National programme managers in sub-Saharan Africa have identiﬁed the costs to the patient of testing and therapy as major obstacles to testing pregnant women for syphilis (Table 3). Bolivian physicians also identiﬁed cost as the biggest obstacle to testing in a population in which 76% of pregnant women accessed ANC services, but only 17% of them were screened for syphilis (33). Testing and treatment for syphilis in pregnant women should be free of charge. Nevertheless, it is likely that the second most commonly identiﬁed obstacle to screening in the African survey, i.e. lack of organization (and location) of services, is actually the most Table 2. Results of re-testing at delivery women who were seronegative earlier in pregnancy, in selected developing countries a Positive by both reaginic and treponemal antibody testing. b Figures in parentheses are percentages. Table 3. Reported obstacles to universal antenatal syphilis screening in sub-Saharan Africa a (n = 21) a Based on data from reference 3. signiﬁcant obstacle to testing (although lack of priority given by ministries of health certainly contributes). Putting into practice the results of a recent WHO trial, which concluded that the quality of ANC services is as important to perinatal outcome as the number of visits, could help overcome the problem of insufﬁcient services (51). National or local level At the national or local level, antenatal screening for syphilis should be linked to programmes for PMTCT of HIV, and other programmes to improve ANC. As efforts to increase knowledge of HIV serostatus among pregnant women increase, combining programmes for PMTCT of HIV with prevention of congenital transmission of Treponema pallidum makes medical, economic and political sense. Evaluation of pilot programmes to look for combined efﬁciencies would be useful, as would the combination of CS prevention with other ANC programmes, e.g. those seeking to increase ANC attendance. Community syphilis prevention and control efforts should be reinforced. Theoretically, prevention of CS could occur independently of community control efforts for syphilis if infected women access ANC services with high quality syphilis management components as soon as they know they are pregnant. A complementary strategy is to prevent women from being infected. Improvement of sexually transmitted infection services outside ANC, with strong efforts to notify male partners who are infected, would help achieve this goal. In combination with other prevention measures, such a programme may have led to a decline in syphilis seroreactivity among pregnant women in Nairobi, Kenya (52). In addition, screening at ANC services coupled with partner notiﬁcation efforts should be viewed as part of a comprehensive, community approach to syphilis control. Local level At the local level, attendance early in pregnancy at ANC should be encouraged. The reasons for non-attendance and late attendance at ANC are amenable to intervention. In Zambia, an inexpensive health education intervention conducted in general health clinics, centred on syphilis and intended to increase early ANC attendance, resulted in an increase from 9.4% to 42.5% of attendees accessing care within the ﬁrst 16 weeks of gestation ( 21 ). Laboratory testing should be decentralized. The favorable cost-effectiveness modelling of screening programmes is reduced by ineffective centralized programmes, where the cost of detecting syphilis in a pregnant women may be low (US$ 66) but, because few women actually receive therapy, the cost of successful treatment of a woman (and, thus, of averting a potential case of CS) is high (US$ 730) (53). Relative to centralized testing, decentralized testing detects and treats far more infected women and is cost-effective (10). Other interventions On-site testing procedures should be simpliﬁed. Although onsite testing has its own problems as discussed above (7, 8, 10), simpliﬁed, immunochromographic tests offer a cost-effective alternative to RPR testing (10, 42, 44), even at low prevalences. Development of similar reaginic antigen-based tests, perhaps using a single test strip, would be an important additional tool. Emphasis on partner notiﬁcation of seropositive women in ANC should be increased. Notiﬁcation of male partners is important to their health, and perhaps in preventing reinfection of women. An emphasis on notiﬁcation of partners of pregnant women with syphilis has been associated with a threefold improvement in pregnancy outcome (47). It may also be an important means of accessing male partners for HIV testing; in one study, 72% of male partners agreed to such testing (47). These men, because they probably have syphilis, are also likely to have HIV. At the time of delivery, all women should have been tested at least once during pregnancy, and groups at high risk should be retested; i.e. women who were identiﬁed as having syphilis earlier during pregnancy or women who are members of groups with high prevalence of syphilis who were earlier seronegative. The latter group includes women who reside in areas where syphilis is highly prevalent (Table 1) and women who may not reside in areas of high prevalence, but have risk factors that place them at particular risk, e.g. sex workers. The common feature of all these groups is that the prevalence of infection is high enough, based upon the economic data discussed earlier, to warrant retesting. Furthermore, testing at delivery can affect not only the outcome of the present pregnancy, but also of future ones. Pregnant women should be tested at locations other than ANC. Enlarging the concept of CS prevention to include screening at other health care centres, e.g. testing pregnant women attending an urgent care clinic if they have not attended ANC may improve the prevention of CS. Commitment to quality assurance of programmes should be obtained at the local level. Numerous studies have shown that commitment to continuous quality assurance of syphilis testing within ANC programmes is essential to their success (41, 53). O Conﬂicts of interest: none declared. Résumé Aspects économiques et programmatiques de la prévention de la syphilis congénitale Les aspects économiques et programmatiques liés à la syphilis congénitale ont été examinés, et des recommandations visant à améliorer la prévention de cette maladie ont été formulées. La syphilis congénitale est une maladie évitable contre laquelle il existe des outils de prévention depuis des dizaines d'années. Dans les pays industrialisés comme dans ceux en développement, mais plus particulièrement dans ces derniers, la prévention de la syphilis congénitale grâce au dépistage anténatal est d'un bon rapport coût-efﬁcacité et peut faire réaliser des économies. Cette maladie provoque cependant selon toute vraisemblance plus de 500 000 morts fœtales par an dans le monde, chiffre avoisinant celui de la transmission mère-enfant du virus de l'immunodéﬁcience humaine (VIH), qui retient bien davantage l'attention. La persistance de la syphilis congénitale est due à diverses causes, dont les principales sont probablement la sous-estimation tant au niveau national qu'au niveau international de la charge que représente cette maladie et l'insufﬁsance de l'engagement politique en faveur de programmes de dépistage anténatal efﬁcaces. Tous c es facteurs peuvent relever de programmes d'intervention efﬁcaces. La prévention de la syphilis congénitale doit être une priorité mondiale ; les organismes internationaux et les programmes nationaux doivent s'engager à améliorer les services de soins anténatals, détection et prévention de la syphilis incluses. Resumen Aspectos económicos y programáticos de la prevención de la síﬁlis congénita Se hizo un análisis de los aspectos económicos y programáticos de la síﬁlis congénita y se formularon recomendaciones para mejorar la prevención de esa enfermedad. La síﬁlis congénita es una dolencia prevenible, y desde hace décadas se dispone de los medios necesarios para prevenirla. Tanto en los países industrializados como en los países en desarrollo, pero sobre todo en estos últimos, la prevención de la síﬁlis congénita mediante cribado prenatal es una intervención costoeﬁcaz que puede permitir ahorrar costos. No obstante, a nivel mundial se registran probablemente cada año más de 500 000 muertes fetales por síﬁlis congénita, una cifra del mismo orden que la correspondiente a la transmisión del virus de la inmunodeﬁciencia humana (VIH) de la madre al niño, problema que acapara mucha más atención. La persistencia de la síﬁlis congénita se explica por varias razones, las más importantes de las cuales son probablemente el escaso reconocimiento nacional e internacional de la carga de síﬁlis congénita y la falta de voluntad política para ofrecer programas eﬁcaces de cribado prenatal. Todas las causas pueden ser abordadas eﬁcazmente mediante programas de intervención. La prevención de la síﬁlis congénita debería ser una prioridad mundial, y los organismos internacionales y los programas nacionales deberían comprometerse a mejorar los servicios de atención prenatal incluyendo en ellos la detección y prevención de la síﬁlis. References 1. United Nations Children's Fund. 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ISSN (Online): 2319-7064 Impact Factor (2012): 3.358 Application of Taguchi Method for Resistance Spot Welding of Stainless Steel-304 Grade Manjunath R. Rawal 1 , Dr. K. H. Inamdar 2 1 M. Tech Student, Walchand College of Engineering, Sangli, Maharashtra, India 2 Professor, Department of Mechanical Engineering, Walchand College of Engineering, Sangli, Maharashtra, India Abstract: This paper presents an experimental investigation for the Tensile Shear (T-S) strength and Nugget diameter of resistance spot weld by using Taguchi method. An experimental study is conducted under various levels of process parameters. Spot welds are carried out on Stainless Steel (304) material. Welding current, Electrode force and Weld time are process parameters with three levels of each. Taguchi quality design concept of L27 orthogonal array has been used to determine S/N Ratio, Analysis of Variance (ANOVA). The level of importance of welding parameters for T-S strength and Nugget Diameter are determined by ANOVA in Minitab 16 software. Keywords: Resistance Spot Welding (RSW), Taguchi method, Stainless Steel (304) material, ANOVA, Tensile Shear Strength and Nugget Diameter. 1. Introduction Resistance spot welding (RSW) process in which coalescence of metal is produced at the faying surface by the heat generated at the joint by the contact resistance to the flow of electric current. The materials to be joined are brought together under pressure by a pair of electrodes. A high electric current passes through the work pieces hold between the electrodes. Due to contact resistance and joule heating, a molten weld nugget is formed in the work pieces. The amount of heat produced is a function of current, time, and resistance between the work pieces. It is desirable to have the maximum temperature at the interface of the parts to be joined. Therefore, the resistance of the work pieces and the contact resistance between the electrodes and work should be kept as low as possible with respect to the resistance between the faying surfaces. The principle of operation is as shown in Fig. 1. Figure 1: Resistance spot welding principle joined. Excessive heat in the electrodes reduces the electrode cap life and deteriorates the weld quality. Hence, the electrodes are cooled via water circulation through channels opened inside them. The temperature and resistance obtained during resistance spot welding operation is as shown in Fig. 2. Where R1, R2, R3 are the resistances at the Electrode tip and plate surface, Resistance of joining plates, Resistance at the interface of two plates respectively. RSW has excellent techno-economic benefits such as low cost, high production rate and adaptability for automaton which make it an attractive choice for auto-body assemblies, truck cabins, rail vehicles and home appliances. As the name implies, it uses the resistance of the materials to the flow of current that causes localized heating between the parts to be Paper ID: 02014888 The weld strength is measured by a number of standardized destructive tests, which subject the weld to different types of loading. Some of these are tension-shear, tension, torsion, impact, fatigue, and hardness. The stiffness and the operating strength of sheet metal parts are strongly influenced by the welding parameters and location of the spot welding. It is very important to select the welding process parameters for obtaining optimal weld strength. The desired welding process parameters are determined based on experience or from a handbook. However, this does not ensure that the selected welding process parameters can produce the optimal or near optimal weld strength for that particular welding machine and environment. Various aspects of modeling, simulation, and process optimization techniques are used in the resistance spot welding process. Detailed analysis has been made to establish relationships between welding parameters weld strength, weld quality, and productivity to select welding parameters leading to an optimal process [12]. Figure 2: Resistance and temperature distribution curve ISSN (Online): 2319-7064 Impact Factor (2012): 3.358 The three main parameters in spot welding are current, contact resistance and weld time. In order to produce good quality weld the above parameters must be controlled properly. The amount of heat generated in this process is governed by the formula, interaction between weld current & weld cycle and interaction between weld current, weld cycle & hold time whereas weld current, hold time and cool time were less effective factors. Where, Q - Heat generated (J); I - Welding current (A); R - Resistance of the work piece (Ω); T - Time of current flow (Sec or cycle). There are various parameters with different levels of operation which directly or indirectly controls the quality of spot weld joint. Whereas, welding current, electrode force and welding time are the main process parameters which controls the quality of spot weld. So that these process parameters are selected for experiment with three levels of each. 2. Literature Review Ugur Esme [1] investigated on the optimization and the effect of welding parameters on the tensile shear strength of spot welded SAE 1010 steel sheets. The level of importance of the welding parameters on the tensile shear strength is determined by using ANOVA. Based on the ANOVA method, the highly effective parameters on tensile shear strength were found as welding current and electrode force, where as electrode diameter and welding time were less effective factors. The results showed that welding current was about two times more important than the second ranking factor (electrode force) for controlling the tensile shear strength. A.K. Pandey, M.I. Khan. K.M. Moeed [2] investigation indicate the welding current to be the most significant parameter controlling the weld tensile strength as well as the nugget diameter for AISI-1008 steel sheets .Also they effectively use taguchi method for optimization of spot welding parameters. D.S. Sahota, Ramandeep Singh, Rajesh Sharma, Harpreet Singh [3] has studied the effect of parameters on resistance spot weld of ASS316 material. In order to his study the significance of the process parameters i.e. current, electrode force and weld cycles, towards the percentage improvement in material hardness. From his results it is clear that parameters significantly affect both the mean and the variation in the percentage improvement in Hardness values of the ASS316 material. Niranjan Kumar Singh and Dr. Y. Vijayakumar [4] has presented an investigation on the optimization and effect of welding parameters on indentation of spot welded AISI 301L stainless steel. The level of importance of the welding parameters on indentation is determined by ANOVA (main effect plots). Based on ANOVA method, the highly effective parameters on indentation are found as weld cycle, Paper ID: 02014888 A. G. Thakur et al. [5] An experimental investigation for effect of process parameters on tensile shear strength of resistance weld joint of austenitic stainless steel AISI 304 using taguchi method. Interaction effect of welding current, Pressure and weld time are also discussed. Feramuz Karc et al. [10] this paper deals with the characterization and understanding the effect of weld time and the influence of different weld atmospheres in the resistance spot weld ability of AISI304 grade stainless steel deformed in tension by 5%, 10%, or 20%. Therefore, the microstructure of the weldment was evaluated and the hardness and tensile shear load bearing capacity of weldment were also determined. It was found that the final mechanical properties of weldment are directly related to the parameters of the process used, knowing the weld time and rate of deformation prior to welding. Nachimani Charde et al. [11] this research paper analyses the spot weld growth on 304 austenitic stainless steels with 2mm sample sheets. The growth of a spot weld is primarily determined by its parameters such as current, weld time, electrode tip and force. This paper is intended to analyze only the effects of nuggets growth due to the current and weld time increment with constant force and unchanged electrode tips. The welded samples were undergone tensile test, hardness test and metallurgical test to characterize the formation of weld nuggets. Danial Kianersi et al. [15] has presented an investigation on the optimizing welding parameters namely welding current and time in resistance spot welding (RSW) of the austenitic stainless steel sheets grade AISI 316L. Afterward, effect of optimum welding parameters on the resistance spot welding properties and microstructure of AISI 316L austenitic stainless steel sheets has been investigated. Effect of welding current at constant welding time was considered on the weld properties such as weld nugget size, tensile–shear load bearing capacity of welded materials, failure modes, failure energy, ductility, and microstructure of weld nuggets. Mehdi Mansouri Hasan Abadi et al. [17] has Studied Structure-properties relationships in dissimilar resistance spot welding of AISI 304 austenitic stainless steel (SS) and AISI 1008 low carbon steel (CS). Fusion zone microstructure was ranged from Ferrite-Austenite-Martensite to full martensite depending on the melting/dilution ratio of base metals. 3. Experimental Details The specimens were cut from a sheet metal of 4ft × 4ft. The Specimens were cut parallel to the rolling action of the sheets. The dimensions are 100 mm length (L) and 30 mm width (W), the overlap being equal to the width of the specimen. This overlap was chosen as per American Impact Factor (2012): 3.358 Welding Society (AWS) recommendation as shown in Fig. 3 [6]. The material used in the present work is Stainless Steel (304 grade) sheet of 1 mm thickness. parameter. Fig. 4 (a) and (b) shows photograph of tensile test on UTM machine and nugget diameter test on video profile projector respectively. 3.1 Chemical composition of Stainless Steel material The chemical composition for each element of the above material is listed below in table 1: Table 1: Chemical composition of Stainless Steel \| C \| 0.103 \| \|---\|---\| \| Si \| 0.302 \| \| Mn \| 1.9 \| \| P \| 0.004 \| \| S \| 0.0082 \| \| Cr \| 19.05 \| \| Mo \| 0.079 \| \| Ni \| 8.08 \| \| Fe \| 70.3 \| 3.2 Selection of Process Parameters and Levels In the present study of resistance spot welding, three main parameters namely Welding Current, Electrode Force and Weld Time are selected with three levels of each as shown in table 2. The output parameter predicting strength of weld joint is tensile shear strength. Table 2: Process Parameters and Levels \| Sr. No \| Process Parameters \| Parameter \| Level 1 \| Level 2 \| Level 3 \| \|---\|---\|---\|---\|---\|---\| \| 1 \| Welding Current (kA) \| A \| 4.8 \| 5.9 \| 7 \| \| 2 \| Electrode Force (kN) \| B \| 0.49 \| 0.539 \| 0.588 \| \| 3 \| Welding Time (cycle) \| C \| 45 \| 50 \| 55 \| 3.3 Selection of Orthogonal Array (OA) Depending upon number of levels in a factor, a 2 or a 3 level OA can be selected. If some factors are two-level and some three-level, then whichever is predominant should indicate which kind of OA is selected. Once the decision is made about the right OA, then the number of trials for that array must provide an adequate total DoF, When required DoF fall between the two DoF provided by two OAs, the next larger OA must be chosen [3,8]. Here for experimentation L27 Taguchi orthogonal array is selected for three process parameters and three levels of each Paper ID: 02014888 3.4 Overall Loss Function and S/N Ratio Taguchi recommends analyzing data using the S/N ratio that will offer two advantages; it provides guidance for selection the optimum level based on least variation around on the average value, which closest to target, and also it offers objective comparison of two sets of experimental data with respect to deviation of the average from the target. The experimental results are analyzed to investigate the main effects. According to quality engineering the characteristics are classified as Higher the best (HB), lower the best (LB) and Nominal the best. HB includes Tensile Shear strength (T-S) and Nugget Diameter (N-D) which desires higher values. Similarly LB includes Heat Affected Zone (HAZ) for which lower value is preferred. The loss function of the larger-the-better quality characteristics can be expressed as, Where, n is the number of tests, and yi the experimental value of the ith quality characteristic, Lj overall loss function and ηj is the S/N ratio [1, 3-8]. By applying Equations (2)– Impact Factor (2012): 3.358 (3), the η corresponding to the overall loss function for each experiment of L27 were calculated and given in Table 3. Table 5: Response of S/N Ratios for Nugget Diameter (mm) Table 3: Experimental data for T-S Strength, Nugget diameter and S/N ratio \| A (kA) \| B (kN) \| C (cycle) \| T-S (kN) \| N-D (mm) \| S/N Ratio for \| \| \|---\|---\|---\|---\|---\|---\|---\| \| \| \| \| \| \| T-S \| N-D \| \| 4.8 \| 0.490 \| 45 \| 3.973 \| 3.315 \| 11.9824 \| 10.409 \| \| 4.8 \| 0.490 \| 50 \| 3.728 \| 3.710 \| 11.4295 \| 11.387 \| \| 4.8 \| 0.490 \| 55 \| 4.022 \| 4.485 \| 12.0888 \| 13.035 \| \| 4.8 \| 0.539 \| 45 \| 3.777 \| 3.710 \| 11.5429 \| 11.387 \| \| 4.8 \| 0.539 \| 50 \| 4.267 \| 3.900 \| 12.6025 \| 11.821 \| \| 4.8 \| 0.539 \| 55 \| 4.120 \| 4.100 \| 12.2979 \| 12.255 \| \| 4.8 \| 0.588 \| 45 \| 3.973 \| 4.100 \| 11.9824 \| 12.255 \| \| 4.8 \| 0.588 \| 50 \| 4.022 \| 4.295 \| 12.0888 \| 12.659 \| \| 4.8 \| 0.588 \| 55 \| 4.169 \| 4.100 \| 12.4006 \| 12.255 \| \| 5.9 \| 0.490 \| 45 \| 5.494 \| 4.740 \| 14.7978 \| 13.515 \| \| 5.9 \| 0.490 \| 50 \| 5.150 \| 4.790 \| 14.2361 \| 13.606 \| \| 5.9 \| 0.490 \| 55 \| 5.101 \| 5.095 \| 14.1531 \| 14.142 \| \| 5.9 \| 0.539 \| 45 \| 4.806 \| 4.875 \| 13.6357 \| 13.759 \| \| 5.9 \| 0.539 \| 50 \| 5.297 \| 5.070 \| 14.4806 \| 14.100 \| \| 5.9 \| 0.539 \| 55 \| 5.444 \| 5.110 \| 14.7184 \| 14.168 \| \| 5.9 \| 0.588 \| 45 \| 5.199 \| 4.875 \| 14.3184 \| 13.759 \| \| 5.9 \| 0.588 \| 50 \| 5.297 \| 4.935 \| 14.4806 \| 13.865 \| \| 5.9 \| 0.588 \| 55 \| 5.640 \| 5.580 \| 15.0256 \| 14.932 \| \| 7.0 \| 0.490 \| 45 \| 6.327 \| 5.550 \| 16.0240 \| 14.885 \| \| 7.0 \| 0.490 \| 50 \| 6.180 \| 5.265 \| 15.8198 \| 14.428 \| \| 7.0 \| 0.490 \| 55 \| 6.376 \| 6.435 \| 16.0910 \| 16.171 \| \| 7.0 \| 0.539 \| 45 \| 6.131 \| 6.240 \| 15.7506 \| 15.903 \| \| 7.0 \| 0.539 \| 50 \| 6.229 \| 5.265 \| 15.8884 \| 14.428 \| \| 7.0 \| 0.539 \| 55 \| 6.916 \| 6.045 \| 16.7971 \| 15.627 \| \| 7.0 \| 0.588 \| 45 \| 6.180 \| 5.850 \| 15.8198 \| 15.343 \| \| 7.0 \| 0.588 \| 50 \| 6.523 \| 6.825 \| 16.2889 \| 16.682 \| \| 7.0 \| 0.588 \| 55 \| 6.572 \| 6.380 \| 16.3540 \| 16.096 \| The mean S/N ratio for each level of the welding parameters is summarized and called the S/N response table for tensile shear strength and Nugget diameter are as shown in table 4 and Table 5 respectively. Table 4: Response of S/N Ratios for T-S Strength (kN) \| Level \| Welding Current (kA) \| Electrode Force (kN) \| Welding Time (cycle) \| \|---\|---\|---\|---\| \| 1 \| 12.05 \| 14.07 \| 13.98 \| \| 2 \| 14.43 \| 14.19 \| 14.15 \| \| 3 \| 16.09 \| 14.31 \| 14.44 \| \| Delta \| 4.05 \| 0.24 \| 0.45 \| \| Rank \| 1 \| 3 \| 2 \| Paper ID: 02014888 \| Level \| Welding Current (kA) \| Electrode Force (kN) \| \|---\|---\|---\| \| 1 \| 11.94 \| 13.51 \| \| 2 \| 13.98 \| 13.72 \| \| 3 \| 15.51 \| 14.21 \| \| Delta \| 3.57 \| 0.7 \| \| Rank \| 1 \| 3 \| The tabulated values shown in table 4 and 5 can be well understood by main effect plot for S/N ratio as shown in Fig. 6 and Fig.7. This shows which parameter level is significant for each parameter corresponding higher T-S strength and Nugget Diameter of spot welded specimen. Figure 6: Main Effects Plot of S/N Ratios for T-S Strength 3.5 Analysis of Variance (ANOVA) A better feel for the relative effect of the different welding parameters on the tensile shear strength and nugget diameter were obtained by decomposition of variance, which is called analysis of variance (ANOVA). The main aim of ANOVA is to investigate the design parameters and to indicate which parameters are significantly affecting the output parameters. In the analysis, the sum of squares and variance are calculated. F-test value at 95 % confidence level is used to decide the significant factors affecting the process and percentage contribution is calculated. Larger F-value indicates that the variation of the Impact Factor (2012): 3.358 process parameter makes a big change on the performance. Table 6 and table 7 shows analysis of T-S strength and nugget diameter respectively. According to this analysis, the most effective parameters with respect to tensile shear strength and nugget diameter are welding current, welding time and electrode force. Percent contribution indicates the relative power of a factor to reduce variation. For a factor with a high percent contribution, a small variation will have a great influence on the performance [1, 6, and 9]. Table 6: Results of ANOVA for T-S Strength \| Source \| DF \| Seq SS \| Adj MS \| F \| P \| % C \| \|---\|---\|---\|---\|---\|---\|---\| \| A (kA) \| 2 \| 25.4366 \| 12.7183 \| 321.5 \| 0.000 \| 95.55 \| \| B (kN) \| 2 \| 0.0833 \| 0.0416 \| 1.05 \| 0.368 \| 0.03 \| \| C (cycle) \| 2 \| 0.3601 \| 0.1801 \| 4.55 \| 0.023 \| 1.35 \| \| Error \| 20 \| 0.791 \| 0.0396 \| - \| - \| 2.97 \| \| Total \| 26 \| 26.671 \| - \| - \| - \| 100 \| Table 7: Results of ANOVA for Nugget Diameter \| Source \| DF \| Seq SS \| Adj MS \| F \| P \| \|---\|---\|---\|---\|---\|---\| \| A (kA) \| 2 \| 18.2871 \| 9.1436 \| 87.69 \| 0.000 \| \| B (kN) \| 2 \| 0.7553 \| 0.3777 \| 3.62 \| 0.045 \| \| C (cycle) \| 2 \| 1.036 \| 0.5180 \| 4.97 \| 0.018 \| \| Error \| 20 \| 2.0854 \| 0.1043 \| - \| - \| \| Total \| 26 \| 22.1638 \| - \| - \| - \| 4. Conclusions The following conclusions could be drawn from the above investigation. i. The response of S/N ratio for tensile shear strength indicates that, Welding current is the most significant parameter that controls the weld strength. Whereas electrode force and weld time are less significant. ii. The optimum results are obtained by Taguchi method for tensile shear strength and nugget diameter are at Welding Current of 7 kA, Electrode force of 0.588 kN and weld time of 55 cycle. iii. The relation graph is plotted for tensile strength and nugget diameter, from the nature of graph shown in Fig. 8 one can conclude that, Nugget diameter values increases at 2nd, 6th, 11th and 12th trial but the tensile strength of joint decreases as compared to compared to remaining trials. iv. Whereas, At the 9th, 23th and 27th trial the tensile strength value goes on decreasing but value of nugget diameter decreases. Paper ID: 02014888 References [1] Ugur Esme, "Application of Taguchi Method for the Optimization of Resistance Spot Welding Process," The Arabian Journal for Science and Engineering, April 14, 2008, vol. 34, pp. 519-528. [2] A.K. Pandey, M.I. Khan. K.M. Moeed, "Investigation of the effect of current on tensile strength and nugget diameter of spot welds made on AISI-1008 steel sheets," International Journal of Technical Research and Applications, 2013, vol. 1, pp. 01-08. [3] D.S. Sahota, Ramandeep Singh, Rajesh Sharma, Harpreet Singh, "Study of Effect of Parameters On Resistance Spot Weld of ASS316 Material," Mechanica Confab, Vol. 2, No. 2, February-March 2013, pp. 6778. [4] Mr. Niranjan Kumar Singh and Dr. Y. Vijayakumar, "Application of Taguchi method for optimization of resistance spot welding of austenitic stainless steel AISI 301L," Innovative Systems Design and Engineering, 2012, vol 3, pp. 49-61. [5] A. G. Thakur, V. M. Nandedkar, "Application of Taguchi Method to Determine Resistance Spot Welding Condition of Austenitic Stainless Steel AISI 304," Journal of Scientific and Industrial Research, Sept. 2010, vol. 69, pp. 680-683. [6] http://www.millerwelds.com/pdf/Resistance.pdf cited on 11 January 2014 at 3:15 pm. [7] A. K. Pandey, M. I. Khan and K. M. Moeed, "Optimization of Resistance Spot Welding Parameters using Taguchi Method," International Journal of Engineering Science and Technology (IJEST), 2013, vol. 5, no.02, pp. 234-241. [8] A. G. Thakur, T. E. Rao, M. S. Mukhedkar and V. M. Nandedkar, "Application of Taguchi Method for Resistance Spot Welding of Galvanized Steel," ARPN Journal of Engineering and Applied Sciences, Nov. 2010, vol. 5, no.11, pp. 22-26. [9] A. Aravinthan and c. Nachimani, "Analysis of Spot Weld Growth on Mild and Stainless Steel", welding journal, August 2011, vol. 90 pp. 143-147. [10] Feramuz Karc, Ramazan Kacar, Suleyman Gunduz," The Effect of Process Parameter on The Properties of Spot Welded Cold Deformed AISI304 Grade Austenitic Stainless Steel", Journal of Materials Impact Factor (2012): 3.358 Processing Technology, vol. 209, 2009, pp. 4011– 4019. [11] Nachimani Charde, Rajprasaad Rajkumar, "Investigating Spot Weld Growth on 304 Austenitic Stainless Steel (2 Mm) Sheets", Journal of Engineering Science and Technology, Vol. 8, 2013, Pp. 69 – 76. [12] M. I. Khan1, M. L. Kuntz, E. Biro and Y. Zhou, "Microstructure and Mechanical Properties of Resistance Spot Welded Advanced High Strength Steels", Materials Transactions, Vol. 49, No. 7, 2008, pp. 1629-1637. [13] U. D. Gulhane, A. B. Dixit, P. V. Bane, G. S. Salvi, "Optimization of Process Parameters For 316l Stainless Steel Using Taguchi Method And Anova", International Journal Of Mechanical Engineering And Technology (Ijmet), vol. 3, May-August, 2012, pp. 6772. [14] Oscar Martin, Pilar De Tiedra, Manuel Lopez, Manuel San-Juan, Cristina Garcia, Fernando Martin, Yolanda Blanco, "Quality prediction of resistance spot welding joints of 304 austenitic stainless steel", Elsevier, Materials and Design, vol. 30, 2009, pp. 68–77. [15] Danial Kianersi, Amir Mostafaei, Ahmad Ali Amadeh, "Resistance spot welding joints of AISI 316L austenitic stainless steel sheets: Phase transformations, mechanical properties and microstructure characterizations", Elsevier, Materials and Design, vol. 61, 2014, pp. 251–263. [16] J.B. Shamsul and M.M. Hisyam, "Study Of Spot Welding Of Austenitic Stainless Steel Type 304", Journal of Applied Sciences Research, vol. 3(11), 2007, pp. 1494-1499. [17] Mehdi Mansouri Hasan Abadi, Majid Pouranvari," Correlation between Macro/Micro Structure and Mechanical Properties of Dissimilar Resistance Spot Welds of AISI 304 Austenitic Stainless Steel And AISI 1008 Low Carbon Steel", Association of Metallurgical Engineers of Serbia (AMES), 2010, vol. 16 (2), pp. 133-146. Author Profile Manjunath R. Rawal is M. Tech student in Mechanical – Production Engineer in Walchand College of Engineering, Sangli. He completed his graduation in mechanical engineering in 2011 from Shivaji University, Kolhapur. Dr. K. H. Inamdar is Professor in Department of Mechanical Engineering, WCE, Sangli. He has published more than 80 Technical papers in various National/International conference as well as journals. His area of interest is Quality control and he acquired patent related to it Paper ID: 02014888
OVERVIEW SECTION TITLE: "IMPLEMENTATION OF THE COMPLIANCE/PREVENTION UNDERGROUND STORAGE TANK PROGRAM AND THE CLEANUP OF LEAKING UNDERGROUND STORAGE TANK PROGRAM" ACTION: Request for Proposals (RFP) – Initial Announcement RFP NO: EPA-OLEM-OUST-18-04 CATALOG OF FEDERAL DOMESTIC ASSISTANCE (CFDA) NO.: 66.816 by 11:59 p.m. (ET) on November 15, 2018 t o receive consideration. Proposals received after 11:59 p.m. (ET) on November 15, 2018, will not be considered. DATES: The closing date and time for receipt of proposal submissions is November 15, 2018, 11:59 p.m. (ET). Proposals must be submitted electronically through https://www.grants.gov SUMMARY: This notice announces the availability of funds and solicits proposals to promote the prevention, identification, corrective action, and management of releases from federallyregulated underground storage tanks (USTs) through training of state and tribal personnel, information exchange, dissemination of the results of studies and research electronically, and coordination that promotes cooperation among federal, state, and tribal programs. Funding under this announcement shall be used for activities that support state and tribal underground storage tank compliance/prevention programs and state and tribal leaking underground storage tank cleanup programs. The goals of these cooperative agreements are to provide states and tribes with training opportunities, technical information, communication exchange of research and demonstration projects, and a forum for federal, state, and tribal partners to give insights on lessons learned. FUNDING/AWARDS: The total estimated funding available under this competitive announcement is $3,200,000, subject to availability of funds, quality of proposals received, and other applicable considerations. EPA anticipates award of two cooperative agreements whose maximum estimated value each shall not exceed $1,600,000 from this competitive opportunity. (Refer to Section 2(B)). CONTENTS BY SECTION 1. Funding Opportunity Description 3. Eligibility Information 2. Award Information 4. Proposal and Submission Information 6. Award Administration Information 5. Proposal Review Information 7. Agency Contact 1 SECTION 1 - FUNDING OPPORTUNITY DESCRIPTION A. Introduction There are approximately 555,000 active regulated underground storage tanks (USTs) nationwide that store petroleum or hazardous substances. The greatest potential threat from a leaking UST is contamination of groundwater, the source of drinking water for nearly half of all Americans. EPA, states, and tribes work together to protect the environment and human health from potential UST releases. For more information on EPA's underground storage tank prevention and cleanup programs, go to www.epa.gov/ust. B. Project Description EPA's Office of Underground Storage Tanks (OUST) is soliciting proposals to foster interaction, information sharing, and coordination among federal, state, and tribal programs responsible for the detection, prevention, and cleaning up of releases from federally-regulated USTs. EPA anticipates awarding two cooperative agreements from this competitive announcement. One cooperative agreement will support states and tribal UST release prevention programs and the other will support states and tribal leaking underground storage tank (LUST) cleanup programs. There are separate evaluation criteria for each agreement in Section 5 of this announcement. Applicants may submit proposals for either or both of the two cooperative agreements; however, applicants must submit a separate proposal for each award. EPA will not consider combined proposals. The goal of these cooperative agreements is to improve program implementation by the following: providing states and tribes with training opportunities; serving as a source of exchange of outreach and communication regarding research and demonstration projects as they relate to UST release prevention and LUST cleanup; and, providing a forum for federal, state, and tribal partners to give insights on lessons learned. At a minimum, the proposals must include a description of activities associated with each cooperative agreement as follows: 1. State and Tribal Underground Storage Tank Release Prevention Program Support The recipient will develop and implement training and information exchange opportunities for states and tribes that will foster the continued improvement of the UST release prevention program. These opportunities will allow federal, state, and tribal partners to interact with each other by sharing experiences and insights on UST release prevention issues. While face-to-face interaction is often advantageous for communication and exchange, other vehicles (such as webinars and conference calls) are encouraged, as appropriate, for lower-cost, more frequent interaction. Exchanges may include, but are not limited to the following: (a) UST Inspector Training Serve as sponsor and coordinator for national UST inspector training for state and tribal UST inspectors. Training topics may be determined by an assessment of needs from state or tribal partners, or by technical and training requests from state or tribal partners. Training delivery and frequency should be provided in the most effective and cost-efficient manner. The successful recipient will provide feedback results to EPA after each training session. Tasks include but are not limited to: * Organize a workgroup comprised of federal, state, and tribal partners that represent the interests of tank inspectors * Finalize topics that will be presented during training * Organize planning meetings, taking meeting minutes, and distributing minutes to all workgroup members * Obtain competent trainers to speak on relevant topics * Provide all logistical arrangements (e.g., training frequency, location selection, training venue, computer support, participant invitation/registration, training feedback, and other necessary training materials). Training delivery options (e.g., classroom, in-field, and web-based) and frequency should be provided in the most effective and cost-efficient manner. At the discretion of the successful recipient, travel arrangements may be provided to UST state and tribal partners to ensure their representation at UST-related training events and meetings. (b) The National Tanks Conference Serve as a co-sponsor and planning team member, representing the interests of states and tribes. Other co-sponsors/planning team members include EPA, other federal assistance agreement recipient(s), and state partners. Tasks include but are not limited to: * Organize and host planning team meetings for conference that are beneficial and cost efficient (e.g., on-site, webinar, telephone conference) * Provide minutes of all meetings and calls to planning team members * Plan, coordinate, and facilitate planning team conference calls * Represent the interests of states and tribes in the conference planning * Develop conference communications and promotional activities * Organize and promote an exhibitor hall for demonstrations of UST related technology * Provide conference support such as record-keeping, registration, and other conference logistics. * Host conference information and participant registration on the successful recipient's website, which is a non-EPA domain server. As a result, the successful recipient will be required to post a privacy notice that provides information about how registration information is collected, used, maintained, and shared. The successful recipient must incorporate green principles into every aspect of conference planning and utilize as many environmentally preferable measures as possible, in accordance with EPA's Green Meetings initiative. Environmentally preferable measures may include but are not limited to selecting venues that minimize the distance the attendees have to travel and have efficient transportation and mass transportation routes, electronic distribution of conference handouts and materials, and recycling conference badges. More information can be found at http://www.epa.gov/epp/pubs/meet/greenmeetings.htm#mandate. The successful recipient may collect fees from exhibitors (including federal exhibitors) and use those fees as "program income" to supplement EPA grant funding as authorized by 2 CFR § 200.80 and 2 CFR § 200.3072 CFR § 200.80 and 2 CFR § 200.307, as applicable. The successful recipient will provide travel arrangements to UST state and tribal partners to ensure their representation at events and meetings. At the discretion of the successful recipient, travel arrangements may also be made available to other non-federal participants (e.g., speakers, presenters) invited by the recipient to participate in related events. Please see EPA Ethics Advisory 96-15 (http://www.epa.gov/wastewatergrants/96-15.pdf) for details on the Agency's policies for co- sponsoring conferences and other events. (c) National Tribal Meeting Serve as a co-sponsor and planning team member. Other co-sponsors/planning team members include EPA and tribal UST partners. Tasks include but are not limited to: * Organize and host planning team meetings that are beneficial and cost efficient (e.g., on-site, webinar, telephone conference) * Provide minutes of all meetings and calls to planning team members * Plan, coordinate, and facilitate planning team conference calls * Represent the interests of tribes in the meeting planning * Develop meeting communications and promotional activities * Organize and promote an exhibitor hall for demonstrations of UST related technology * Provide meeting support such as record-keeping, registration, and other logistics * Host meeting information and participant registration on the successful recipient's website, which is a non-EPA domain server. As a result, the successful recipient will be required to post a privacy notice that provides information about how registration information is collected, used, maintained, and shared. The successful recipient must incorporate green principles into every aspect of meeting planning and utilize as many environmentally preferable measures as possible, in accordance with EPA's Green Meetings initiative. Environmentally preferable measures may include but are not limited to selecting venues that minimize the distance the attendees have to travel and have efficient transportation and mass transportation routes, electronic distribution of conference handouts and materials, and recycling conference badges. More information can be found at http://www.epa.gov/epp/pubs/meet/greenmeetings.htm#mandate. The successful recipient may collect fees from exhibitors (including federal exhibitors) and use those fees as "program income" to supplement EPA grant funding as authorized by 2 CFR § 200.80 and 2 CFR § 200.307, as applicable. The successful recipient will provide travel arrangements to UST tribal partners to ensure their representation at events and meetings. At the discretion of the successful recipient, travel arrangements may also be made available to other non-federal participants (e.g., speakers, presenters) invited by the recipient to participate in related events. Please see EPA Ethics Advisory 96-15 (http://www.epa.gov/wastewatergrants/96-15.pdf) for details on the Agency's policies for co- sponsoring conferences and other events. (d) State and Tribal UST Meetings At the request of states and tribes, the successful recipient will help facilitate regional all-state and tribal meetings that provide information on federal/state/tribal UST release prevention programs. Tasks may include but are not limited to: * Plan, organize, and make logistical arrangements for the meetings * Document follow-up meeting action items * Obtain speakers Topics to be discussed during these meetings may include, but are not limited to: * UST program initiatives * UST compliance * Release prevention * Training opportunities * Owner/operator training and compliance assistance * Alternative fuels and compatibility The successful recipient may organize a planning team consisting of federal, state, and tribal partners to help assist with aforementioned tasks. At the discretion of the successful recipient, travel arrangements may be provided to UST state and tribal partners to ensure their representation at UST-related training events and meetings. (e) Distribution of Information Provide a program for electronic distribution and information sharing of UST compliance/ release prevention related technical and policy information, outreach documents, studies, research, and demonstration projects that promote communication and information exchange between federal, state, and tribal UST partners. * Develop and distribute a periodic publication related to UST compliance/release prevention through electronic and other means to federal, state, and tribal partners in a timely manner. * Deliver information to states and tribes in a timely manner through electronic newsletters, websites, list servers, electronic forums, or other means. Websites may also advertise training opportunities that will be of interest to state and tribal UST compliance/release prevention programs, as well as link to other UST partner's websites. * Stay abreast of current UST compliance, release prevention, release detection issues, and pertinent technical and academic publications. EPA will review all technical information relating to UST compliance/release prevention prior to distribution. 2. State and Tribal Leaking Underground Storage Tanks Cleanup Program Support The recipient will develop and implement training and information exchange opportunities for states and tribes that will foster the continued improvement of the LUST cleanup program. These opportunities will allow federal, state, and tribal partners to interact with each other by sharing experiences and insights on LUST cleanup issues. While face-to-face interaction is often advantageous for communication and exchange, other vehicles (such as webinars and conference calls) are encouraged, as appropriate, for lower-cost, more frequent interaction. Exchanges may include, but are not limited to the following: (a) LUST Corrective Action Training Serve as sponsor and coordinator for National LUST Corrective Action Training for state and tribal LUST partners. Training topics may be determined by an assessment of needs from state or tribal partners, or by technical and training requests from state or tribal partners. Training delivery and frequency should be provided in the most effective and cost-efficient manner. The successful recipient will provide feedback results to EPA after each training session. Tasks include but are not limited to: * Organize a workgroup comprised of federal, state, and tribal partners that represent the interests of LUST program personnel * Finalize topics that will be presented during training * Organize planning meetings, taking meeting minutes, and distributing minutes to all workgroup members * Obtain competent trainers to speak on relevant topics * Provide all logistical arrangements (e.g. computer support, participant invitation/registration, training feedback, and other necessary training materials) Training delivery options (e.g., classroom, in-field, and web-based) and frequency should be provided in the most effective and cost-efficient manner. At the discretion of the successful recipient, travel arrangements may be provided to UST state and tribal partners to ensure their representation at LUST-related training events and meetings. (b) The National Tanks Conference Serve as a co-sponsor and planning team member, representing the interests of states and tribes. Other co-sponsors/planning team members include EPA, other federal assistance agreement recipient(s), and state partners. Tasks include but are not limited to: * Organize and host planning team meetings for conference that are beneficial and cost efficient (e.g., on-site, webinar, telephone conference) * Provide minutes of all meetings and calls to planning team members * Plan, coordinate, and facilitate planning team conference calls * Represent the interests of states and tribes in the conference planning * Develop conference communications and promotional activities * Organize and promote an exhibitor hall for demonstrations of LUST related technology * Provide conference support such as record-keeping, registration, and other conference logistics * Host conference information and participant registration on the successful recipient's website, which is a non-EPA domain server. As a result, the successful recipient will be required to post a privacy notice that provides information about how registration information is collected, used, maintained, and shared. The successful recipient will host conference information and participant registration on their website, which is a non-EPA domain server. As a result, the successful recipient will be required to post a privacy notice that provides information about how registration information is collected, used, maintained, and shared. The successful applicant must incorporate green principles into every aspect of conference planning and utilize as many environmentally preferable measures as possible, in accordance with EPA's Green Meetings initiative. Environmentally preferable measures may include but are not limited to selecting venues that minimize the distance the attendees have to travel and have efficient transportation and mass transportation routes, electronic distribution of conference handouts and materials, and recycling conference badges. More information can be found at http://www.epa.gov/epp/pubs/meet/greenmeetings.htm#mandate. The successful recipient may collect fees from exhibitors (including federal exhibitors) and use those fees as "program income" to supplement EPA grant funding as authorized by 2 CFR § 200.80 and 2 CFR § 200.307, as applicable. The successful recipient will provide travel arrangements to UST tribal partners to ensure their representation at events and meetings. At the discretion of the successful recipient, travel arrangements may also be made available to other non-federal participants (e.g., speakers, presenters) invited by the recipient to participate in related events. Please see EPA Ethics Advisory 96-15 (http://www.epa.gov/wastewatergrants/96-15.pdf) for details on the Agency's policies for co-sponsoring conferences and other events. (c) National Tribal Meeting Serve as a co-sponsor and planning team member. Other co-sponsors/planning team members include EPA and tribal LUST partners. Tasks include but are not limited to: * Organize and host planning team meetings that are beneficial and cost efficient (e.g., on-site, webinar, telephone conference) * Plan, coordinate, and facilitate planning team conference calls * Represent the interests of tribes in the meeting planning * Provide minutes of all meetings and calls to planning team members * Organize and promote an exhibitor hall for demonstrations of LUST related technology * Provide meeting support such as record-keeping, registration, and other conference logistics. * Develop meeting communications and promotional activities * Host meeting information and participant registration on the successful recipient's website, which is a non-EPA domain server. As a result, the successful recipient will be required to post a privacy notice that provides information about how registration information is collected, used, maintained, and shared. The successful recipient must incorporate green principles into every aspect of meeting planning and utilize as many environmentally preferable measures as possible, in accordance with EPA's Green Meetings initiative. Environmentally preferable measures may include but are not limited to selecting venues that minimize the distance the attendees must travel and have efficient transportation and mass transportation routes, electronic distribution of conference handouts and materials, and recycling conference badges. More information can be found at http://www.epa.gov/epp/pubs/meet/greenmeetings.htm#mandate. The successful recipient may collect fees from exhibitors (including federal exhibitors) and use those fees as "program income" to supplement EPA grant funding as authorized by 2 CFR § 200.80 and 2 CFR § 200.307, as applicable. The successful recipient will provide travel arrangements to LUST tribal partners to ensure their representation at events and meetings. At the discretion of the successful recipient, travel arrangements may also be made available to other non-federal participants (e.g., speakers, presenters) invited by the recipient to participate in related events. Please see EPA Ethics Advisory 96-15 (http://www.epa.gov/wastewatergrants/96-15.pdf) for details on the Agency's policies for co- sponsoring conferences and other events. (d) State and Tribal LUST Clean Up/Remediation Meetings At the request of states and tribes, the successful recipient will help facilitate regional state and tribal meetings that provide information on federal/state/tribal LUST cleanup programs. Tasks may include but are not limited to: * Plan, organize, and make logistical arrangements for the meetings * Document follow-up meeting action items * Obtain speakers Topics to be discussed during these meetings may include, but are not limited to: * LUST program initiatives * Petroleum vapor intrusion * Soil and groundwater contamination * State LUST Fund implementation * Remedial technologies and remedy selection * UST releases remaining * Other elements that are relevant to funding cleanups and improved LUST cleanup/remediation. The successful recipient may organize a planning team consisting of federal, state, and tribal partners to help assist with aforementioned tasks. At the discretion of the successful recipient, travel arrangements may be provided to UST state and tribal partners to ensure their representation at LUST-related training events and meetings. (e) Distribution of Information Provide a program for electronic distribution of LUST related cleanup, remediation, technical and policy information, outreach documents, studies, research, and demonstration projects that promote communication and information exchange between federal, state, and tribal UST partners. * Develop and distribute a periodic publication related to LUST related cleanup and remediation through electronic and other means to federal, state, and tribal partners in a timely manner. * Deliver information to states and tribes in a timely manner through electronic newsletters, websites, list servers, electronic forums, or other means. Websites may also advertise training opportunities that will be of interest to state and tribal LUST cleanup programs, as well as link to other LUST partner's websites. * Stay abreast of current LUST cleanup and remediation issues, and pertinent technical and academic publications. EPA will review all technical information relating to LUST cleanup and remediation prior to distribution. C. EPA Strategic Plan Linkage The activities to be funded under this announcement support EPA's FY 2018-22 Strategic Plan. Awards made under this announcement will support Goal 1 (Core Mission: Deliver real results to provide Americans with clean air, land, and water, and ensure chemical safety.), Objective 1.3 (Revitalize Land and Prevent Contamination). Specifically, the activities to be funded under this announcement will be linked to EPA's strategic plan consistent with EPAs current priorities for preventing releases of contamination. All applications must be for projects that support the goals and objectives identified above. Applicants must explain in their proposal how their project will further these current priorities. (View EPA's Strategic Plan online at: http://www.epa.gov/planandbudget/strategicplan.html.) D. Measuring Environmental Results: Anticipated Outcomes/Outputs. Pursuant to EPA Order 5700.7A1, "Environmental Results under EPA Assistance Agreements," EPA requires that all grant applicants and recipients adequately address environmental outcomes and outputs. Outcomes and outputs differ both in their nature and in how they are measured. Applicants must discuss environmental outcomes and outputs in their proposed work plan. 1. Outcomes. The term "outcomes" refer to the result, effect, or consequence that will occur from carrying out an environmental program or activity that is related to an environmental or programmatic goal or objective. Outcomes may be environmental, behavioral, health- related or programmatic in nature, must be quantitative, and may not necessarily be achievable during the project period. EPA anticipates outcomes from projects expected to be awarded under this announcement will include but are not limited to the following: a. For the UST Release Prevention Program Support Assistance Agreement- Improvement in compliance measures of underground storage tank systems and a corresponding reduction in UST releases as a result of state and tribal UST release prevention programs. b. For the LUST Cleanup Program Support Assistance Agreement- Increase in the number of LUST cleanups completed by states and tribes and a corresponding reduction in the releases remaining of leaking underground storage tanks. 2. Outputs. The term "outputs" refer to an environmental activity, effort, and/or associated work products related to an environmental goal or objective, that will be produced or provided over a period of time or by a specified date. Outputs may be quantitative or qualitative but must be measurable during the project period. EPA anticipates the outputs from the project expected to be awarded under this announcement will include but are not limited to the following: a. Coordination of state and tribal participation in approximately four (4) USTrelated trainings and four (4) LUST-related trainings per year. Training will be provided based on the needs of states and tribes Training will be presented both in person and electronically, and provided in the most effective manner c. Coordination of tribal participation in one (1) National Tribal Meeting per year b. Coordination of state and tribal participation in three (3) National Tanks Conferences (release prevention and cleanup activities related to USTs) d. Coordination of approximately four (4) all-states meetings per year f. Development of a web page dedicated to UST release prevention information exchange between federal, state, and tribal partners e. Development and distribution of (2) newsletters per year, that deliver UST prevention and LUST cleanup related technical and policy information to states and tribes g. Development of a web page dedicated to LUST cleanup and remediation information exchange between federal, state, and tribal partners E. Supplementary Information. The statutory authority for this action is the Solid Waste Disposal Act, Section 8001, as amended; and the Resource Conservation and Recovery Act, Public Law 94-580, 42 U.S.C. 6901 et seq. SECTION 2 - AWARD INFORMATION A. What is the amount of available funding? The total estimated funding available under this competitive announcement is $3,200,000, subject to availability of funds, quality of proposals received, and other applicable considerations. EPA anticipates award of two cooperative agreements, whose maximum estimated value each will be approximately $1,600,000. The proposed cooperative agreements will each be funded incrementally for five (5) years, depending on satisfactory performance, funding availability, and other applicable considerations. Maximum funding for the first year of each agreement shall not exceed $320,000. The proposal's total budget may not exceed a maximum value of $1,600,000, excluding any voluntary cost share or leveraging. EPA reserves the right to make additional awards under this competition, consistent with Agency policy, if additional funding becomes available. Any additional selections for awards will be made no later than six months from the date of original selection decision. B. How many agreements will EPA award in this competition? EPA anticipates award of two cooperative agreements resulting from this announcement, subject to availability of funds and the quality of the proposals received. One award will cover state and tribal underground storage tank compliance/prevention program support. The second award will cover state and tribal leaking underground storage tank cleanup program support. Cooperative agreements permit substantial involvement between the EPA Project Officer and the selected applicants in the performance of the work supported. Although EPA will negotiate precise terms and conditions relating to substantial involvement as part of the award process, the anticipated substantial federal involvement for this project will include: 1. Close monitoring of the recipient's performance to verify the expected results proposed by the recipient; 3. Review any proposed changes to the work plan and/or budget; 2. Collaboration during performance of the scope of work; 4. Review of proposed procurements in accordance with 2 CFR 200.317 and 2 CFR 200.318, as appropriate; 5. Review qualifications of key personnel (EPA does not have the authority to select employees or contractors employed by the award recipient); 7. Review and concur on project outputs for consistency with the EPA approved scope of work. 6. Review and comment on the content of printed or electronic publications prepared under the cooperative agreement (the final decision on the content of reports rests with the recipient); and Applicants whose proposals are selected will be asked to submit a cooperative agreement application package to EPA. This package will include the application (Standard Form 424), a proposed work plan, a proposed budget, and other required forms. An EPA Project Officer will work with selected grantees to finalize the budget and work plan. EPA reserves the right to reject all proposals and make no awards under this announcement or, to make fewer awards than anticipated. C. Will proposals be partially funded? In appropriate circumstances, EPA reserves the right to partially fund proposals by funding discrete activities, portions, or phases of proposed projects. If EPA decides to partially fund a proposal, it will do so in a manner that does not prejudice any applicants or affect the basis upon which the proposal or portion thereof, was evaluated and selected for award and; therefore, maintains the integrity of the competition and selection process. D. What is the project period for award(s) resulting from this solicitation? The estimated start date for projects resulting from this solicitation is September 1, 2019. All project activities must be completed within the negotiated project performance period of five years. SECTION 3 - ELIGIBILITY INFORMATION A. Eligible Entities Proposals will be accepted from public authorities (State, interstate, intrastate, agencies designated by States or Territorial Governors to receive UST notifications, federally-recognized Tribes and Intertribal Consortia, and local), public agencies and institutions; private non-profit organizations and agencies that meet the requirements of Section 8001(a) and (b) of the Solid Waste Disposal Act. Profit-making organizations and the general public are not eligible. B. Cost Sharing or Matching No matching funds are required under this competition. Although cost-sharing/matching is not required as a condition of eligibility under this competition, under Section 5 of this announcement EPA will evaluate proposals based on a leveraging criterion. Leveraging is generally when an applicant proposes to provide its own additional funds/resources or those from third party sources to support or complement the project they are awarded under the competition which are above and beyond the EPA grant funds awarded. Any leveraged funds/resources, and their source, must be identified in the proposal (See Section 4 of the announcement). Leveraged funds and resources may take various forms as noted below. Voluntary cost share is a form of leveraging. Voluntary cost sharing is when an applicant voluntarily proposes to legally commit to provide costs or contributions to support the project when a cost share is not required. Applicants who propose to use a voluntary cost share must include the costs or contributions for the voluntary cost share in the project budget on the SF424. If an applicant proposes a voluntary cost share, the following apply: * A voluntary cost share is subject to the match provisions in the grant regulations 2 CFR Part 200 as applicable. * The recipient may not use other sources of federal funds to meet a voluntary cost share unless the statute authorizing the other federal funding provides that the federal funds may be used to meet a cost share requirement on a federal grant. * A voluntary cost share may only be met with eligible and allowable costs. * The recipient is legally obligated to meet any proposed voluntary cost share that is included in the approved project budget. If the proposed voluntary cost share does not materialize during grant performance, then EPA may reconsider the legitimacy of the award and/or take other appropriate action as authorized by 2 CFR Part 200 as applicable. Other leveraged funding/resources that are not identified as a voluntary cost share. This form of leveraging may be met by funding from another federal grant, from an applicant's own resources, or resources from other third party sources. This form of leveraging should not be included in the budget and the costs need not be eligible and allowable project costs under the EPA assistance agreement. While this form of leveraging should not be included in the budget, the grant workplan should include a statement indicating that the applicant is expected to produce the proposed leveraging consistent with the terms of the announcement and the applicant's proposal. If applicants propose to provide this form of leveraging, EPA expects them to make the effort to secure the leveraged resources described in their proposals. If the proposed leveraging does not materialize during grant performance, then EPA may reconsider the legitimacy of the award and/or take other appropriate action as authorized by 2 CFR Part 200 as applicable. C. Threshold Eligibility Criteria Proposals must meet the following "threshold criteria," by the time of proposal submission. Proposals that fail to meet any one of the threshold criteria will not be considered further. Only proposals from eligible applicants (see Section 3(A)) that meet all of these threshold eligibility criteria will be evaluated. Proposals that meet the threshold criteria will then be evaluated based on the factors disclosed in Section 5(A), Evaluation Criteria. EPA will notify applicants who do not meet the threshold criteria within 15 calendar days of the "fail" determination. The threshold criteria are: 1. Proposals must address the program elements described in Section 1(B), Project Description, of this announcement, applicable to the cooperative agreement they are applying for. 2. The total requested Federal assistance funding may not exceed $1,600,000. This excludes any leveraging or voluntary cost share. Proposals requesting Federal assistance funding in excess of this value will not be considered. 3. Applicants may submit proposals for either or both of the two project areas described in Section 1(B); however, a separate proposal package must be submitted for each project. Proposals for combined assistance funding will not be considered. 4. Proposals must substantially comply with the proposal submission instructions and requirements set forth in Section 4 of this announcement or else they will be rejected. However, where a page limit is expressed in Section 4(D) with respect to the narrative proposal, pages in excess of the page limitation will not be reviewed. In addition, proposals must be received via www.grants.gov as specified in Section 4(B) on or before the proposal submission deadline published in Section 4(B) of this announcement. Proposals received through www.grants.gov after the submission deadline will be considered late and returned to the sender without further consideration unless the applicant can clearly demonstrate that it was late due to EPA mishandling or because of technical issues associated with grants.gov or relevant SAM.gov system issues. An applicant's failure to timely submit their proposal through Grants.gov because they did not timely or properly register in SAM.gov or Grants.gov will not be considered as acceptable reason to consider a late submission. Applications submitted through Grants.gov will be time and date stamped electronically. If you have not received a confirmation of receipt from EPA (not Grants.gov) within 30 days of the proposal deadline, please contact Erin Knighton at (202)-564-0684 or email@example.com. Failure to do so may result in your proposal not being reviewed. 5. All proposal materials must be submitted in English. Ineligible activities: If a proposal is submitted that includes any ineligible tasks or activities, that portion of the proposal will be ineligible for funding and may, depending on the extent to which it affects the proposal, render the entire proposal ineligible for funding. SECTION 4 - PROPOSAL AND SUBMISSION INFORMATION A. Requirements to Submit Through Grants.gov and Limited Exception Procedures Applicants, except as notes below, must apply electronically through Grants.gov under this funding opportunity based in the Grants.gov instructions in the announcement, If an applicant does not have the technical capability to apply electronically through Grants.gov because of limited or no internet access which prevents them from being able to upload the required application materials to Grants.gov, the applicant must contact firstname.lastname@example.org of the address listed below, in writing at least 15 calendar days prior to the submission deadline under this announcement to request approval to submit their application materials through an alternate method. Mailing Address: OGD Waivers c/o Jessica Durand USEPA Headquarters William Jefferson Clinton Building 1200 Pennsylvania Ave., N. W. Mail Code: 3903R Washington, DC 20460 Courier Address: OGD Waivers c/o Jessica Durand Ronald Reagan Building 1300 Pennsylvania Ave., N.W. Rm # 51278 Washington, DC 20004 In the request, the applicant must include the following information: * Funding Opportunity Number (FON) * Organization's Contact Information (email address and phone number) * Organization Name and Unique Entity Identifier (e.g., DUNS) * Explanation of how they lack the technical capability to apply electronically through Grants.gov because of 1) limited internet access or 2) no internet access which prevents them from being able to upload the required application materials through Grants.gov. EPA will only consider alternate submission exception requests based on the two reasons stated above and will timely respond to the request -- all other requests will be denied. If an alternate submission method is approved, the applicant will receive documentation of this approval and further instructions on how to apply under this announcement. Applicants will be required to submit the documentation of approval with any initial application submitted under the alternative method. In addition, any submittal through an alternative method must comply with all applicable requirements and deadlines in the announcement including the submission deadline and requirements regarding proposal content and page limits (although the documentation of approval of an alternate submission method will not count against any page limits). If an exception is granted, it is valid for submissions to EPA for the remainder of the entire calendar year in which the exception was approved and can be used to justify alternative submission methods for application submissions made through December 31 of the calendar year in which the exception was approved (e.g., if the exception was approved on March 1, 2018, it is valid for any competitive or non-competitive application submission to EPA through December 31, 2018). Applicants need only request an exception once in a calendar year and all exceptions will expire on December 31 of that calendar year. Applicants must request a new exception from required electronic submission through Grants.gov for submissions for any succeeding calendar year. For example, if there is a competitive opportunity issued on December 1, 2018 with a submission deadline of January 15, 2019, the applicant would need a new exception to submit through alternative methods beginning January 1, 2019. Please note that the process described in this section is only for requesting alternate submission methods. All other inquiries about this announcement must be directed to the Agency Contact listed in Section 7 of the announcement. Queries or requests submitted to the email address identified above for any reason other than to request an alternate submission method will not be acknowledged or answered. B. Submission Instructions The electronic submission of your application must be made by an official representative of your institution who is registered with Grants.gov and is authorized to sign applications for Federal assistance. For more information on the registration requirements that must be completed in order to submit an application through grants.gov, go to Grants.gov and click on "Applicants" on the top of the page and then go to the "Get Registered" link on the page. If your organization is not currently registered with Grants.gov, please encourage your office to designate an Authorized Organization Representative (AOR) and ask that individual to begin the registration process as soon as possible. Please note that the registration process also requires that your organization have a Unique Entity Identifier (e.g. DUNS number) and a current registration with the System for Award Management (SAM) and the process of obtaining both could take a month or more. Applicants must ensure that all registration requirements are met in order to apply for this opportunity through grants.gov and should ensure that all such requirements have been met well in advance of the submission deadline. Registration on grants.gov, SAM.gov, and DUNS number assignment is FREE. Applicants need to ensure that the AOR who submits the application through Grants.gov and whose Unique Entity Identifier (e.g., DUNS number) is listed on the application is an AOR for the applicant listed on the application. Additionally, the DUNS number listed on the application must be registered to the applicant organization's SAM account. If not, the application may be deemed ineligible. To begin the application process under this grant announcement, go to Grants.gov and click on "Applicants" on the top of the page and then "Apply for Grants" from the dropdown menu and then follow the instructions accordingly. Please note: To apply through Grants.gov, you must use Adobe Reader software and download the compatible Adobe Reader version. For more information about Adobe Reader, to verify compatibility, or to download the free software, please visit Adobe Reader Compatibility Information on Grants.gov. You may also be able to access the application package for this announcement by searching for the opportunity on Grants.gov. Go to Grants.gov and then click on "Search Grants" at the top of the page and enter the Funding Opportunity Number, EPA-OLEM-OUST-18-04, or the CFDA number that applies to the announcement (CFDA 66.816), in the appropriate field and click the Search button. Please Note: All applications must now be submitted through Grants.gov using the "Workspace" feature. Information on the "Workspace" feature can be found at the Grants.gov Workspace Overview Page. Application Submission Deadline. Your organization's authorized official representative (AOR) must submit your complete proposal electronically to EPA through Grants.gov no later than November 15, 2018, 11:59 PM Eastern Time. Application Materials The following forms and documents are required under this announcement: Mandatory Documents 1. Application for Federal Assistance (SF-424). Please note that the organizational Dun and Bradstreet (D&B) Data Universal Number System (DUNS) number must be included on the SF-424. Organizations may obtain a DUNS number at no cost by calling the toll-free DUNS number request line at 1-866-705-5711. 3. Project Narrative. The project narrative must explicitly describe how the proposed project meets the guidelines established in Sections 1-3 of this announcement (including the threshold eligibility criteria in Section 3(C)) and must address each of the evaluation criteria set forth in Section 5. 2. Budget Information – Non-Construction Programs (SF-424A) Applications submitted through grants.gov will be time and date stamped electronically. If you have not received a confirmation of receipt from EPA (not from grants.gov) within 30 days of the application deadline, please contact Erin Knighton (202) 564-0684 or email@example.com. Failure to do so may result in your application not being reviewed. C. Technical Issues with Submission 1. Once the application package has been completed, the "Submit" button should be enabled. If the "Submit" button is not active, please call Grants.gov for assistance at 1 800-518-4726. Applicants who are outside the U.S. at the time of submittal and are not able to access the toll-free number may reach a Grants.gov representative by calling 606 545-5035. Applicants should save the completed application package with two different file names before providing it to the AOR, to avoid having to re-create the package should submission problems be experienced, or a revised application needs to be submitted. 2. Submitting the application. The application package must be transferred to Grants.gov by an AOR. The AOR should close all other software before attempting to submit the application package. Click the "submit" button of the application package. Your Internet browser will launch and a sign-in page will appear. Note: Minor problems are not uncommon with transfers to Grants.gov. It is essential to allow sufficient time to ensure that your application is submitted to Grants.gov BEFORE the due date identified in Section 4 of the solicitation. The Grants.gov support desk operates 24 hours a day, seven days a week, except Federal Holidays. A successful transfer will end with an on-screen acknowledgement. For documentation purposes, print or screen capture this acknowledgement. If a submission problem occurs, reboot the computer – turning the power off may be necessary – and re-attempt the submission. Note: Grants.gov issues a "case number" upon a request for assistance. 3. Transmission Difficulties. If transmission difficulties that result in a late transmission, no transmission, or rejection of the transmitted application are experienced, and following the above instructions do not resolve the problem so that the application is submitted to Grants.gov by the deadline date and time, follow the guidance below. The Agency will make a decision concerning acceptance of each late submission on a case-by-case basis. All emails, as described below, are to be sent to Erin Knighton at firstname.lastname@example.org with the FON in the subject line. If you are unable to email, contact Erin Knighton at (202) 564-0684. Be aware that EPA will only consider accepting applications that were unable to transmit due to Grants.gov or relevant Sam.gov system issues or for unforeseen exigent circumstances, such as extreme weather interfering with internet access. Failure of an applicant to submit timely because they did not properly or timely register in SAM.gov or Grants.gov is not an acceptable reason to justify acceptance of a late submittal. a. If you are experiencing problems resulting in an inability to upload the application to Grants.gov, it is essential to call Grants.gov for assistance at 1-800-518-4726 before the application deadline. Applicants who are outside the U.S. at the time of submittal and are not able to access the toll-free number may reach a Grants.gov representative by calling 606-545-5035. Be sure to obtain a case number from Grants.gov. If the problems stem from unforeseen exigent circumstances unrelated to Grants.gov, such as extreme weather interfering with internet access, contact Erin Knighton at (202) 564-0684. b. Unsuccessful transfer of the application package: If a successful transfer of the application cannot be accomplished even with assistance from Grants.gov due to electronic submission system issues or unforeseen exigent circumstances, and you have already attempted to resolve the issue by contacting Grants.gov, send an email message to Erin Knighton at email@example.com prior to the application deadline. The email message must document the problem and include the Grants.gov case number as well as the entire application in PDF format as an attachment. c. Grants.gov rejection of the application package: If a notification is received from Grants.gov stating that the application has been rejected for reasons other than late submittal and it is too late to reapply, promptly send an email to Erin Knighton at firstname.lastname@example.org with the FON in the subject line within one business day of the closing date of this solicitation. The email should include any materials provided by Grants.gov and attach the entire application in PDF format. Please note that successful submission through Grants.gov or via email does not necessarily mean your application is eligible for award. D. Content and Form of Proposal The following documents are required for all proposal packages. In addition to the mandatory documents listed in Section 4(C), all proposals must contain a "Narrative Proposal," and a budget narrative. The "Narrative Proposal," a maximum of 18 pages in length, must explicitly describe the applicant's proposed project and specifically address each of the evaluation criteria disclosed in Section 5(A) Evaluation Criteria, and the threshold eligibility criteria in Section 3(C). 1. Narrative Proposal. Narrative proposals must be concise, well organized, and not exceed 18 typed, single-line spaced, 8 1/2 x 11" pages. The cover page, item "a" below, is included in this page limit. The Narrative Proposal must provide the information detailed in this section and include responses to all Section 3(C), Threshold Criteria; Section 5(A), Evaluation Criteria; as well as the information identified in Section 1, Funding Opportunity Description, for each project proposal area. Factual information about your proposed project must be provided. Do not include discussions of broad principles that are not specific to the proposed work or project covered by your proposal. Responses to evaluation criteria should include the criteria number and title but need not restate the entire text of the criteria. Sufficient detail must be provided to allow for an evaluation of the merits of the proposal. Vague descriptions, redundancy, and failure to address each of the evaluation criteria will result in a lower ranking. The Narrative Proposal (Sections "a" and "b" below) must substantially conform to the following outline and content: a. Cover Letter. The cover letter must include a brief description of your project, be written on your organization's official letterhead, and signed by an official with the authority to commit your organization to the proposed project. The cover letter must also include: ii. Applicant Information. Provide the name and full address of the organization applying for funds. This is the agency or organization that will be receiving the grant and will be accountable to the EPA; i. Project Title. iii. Contacts. Provide phone/fax numbers, e-mail address, and mailing address of the Project Manager and head of organization/Executive Director responsible for the project application. These individuals may be contacted if other information is needed; v. Funding Requested. Specify the total amount you are requesting from EPA. The total funding requested amount may not exceed $1,600,000, excluding any leveraging or voluntary cost share. Proposals requesting federal assistance funding in excess of this value will not be considered. iv. Cooperative Partners. Provide names and phone numbers of individuals and organizations that have agreed to participate in the implementation of the project, if any; and b. Detailed Project Narrative. The project narrative should provide the information below on how the applicant will implement and conduct its project and discuss how the proposal addresses each of the evaluation criteria in Section 5 of this announcement. i. Project Description. Provide a description of how you will implement and conduct the proposed project activities as referenced in Section 1(B), Project Description, and do so to achieve the program objectives. The description should demonstrate consideration of the activities that will be conducted to accomplish objectives of the project. The project description should: (1) demonstrate how the proposed project supports joint State and federal development and implementation of regulatory and non-regulatory activities described in Section 1(B), Project Description; (2) address how the proposed project activities relate to the EPA Strategic Plan Linkage goals, objectives and sub-objectives described in Section 1(C); (3) identify necessary tasks and activities that will be conducted to accomplish the project objectives; and (4) present an estimated timeline or schedule of expected target dates and milestones to achieve specific tasks and activities that will be conducted during the budget and project period. In addition, describe your approach to providing assistance to States, and the methodology for transferring information and lessons learned during the project to others. The tasks and activities should be realistic and achievable within the budget and project period of the grant. Also, make sure you address the elements identified in Section I(B). ii. Programmatic Capability and Past Performance. Submit a list of federally and/or non-federally funded assistance agreements (assistance agreements include Federal grants and cooperative agreements but not Federal contracts) similar in size, scope and relevance to the proposed project that your organization performed within the last three years (no more than 5 agreements, and preferably EPA agreements) and describe (i) whether, and how, you were able to successfully complete and manage those agreements and (ii) your history of meeting the reporting requirements under those agreements including whether you adequately and timely reported on your progress towards achieving the expected outputs and outcomes of those agreements (and if not, explain why not) and whether you submitted acceptable final technical reports under the agreements. In evaluating applicants under these factors in Section V, EPA will consider the information provided by the applicant and may also consider relevant information from other sources, including information from EPA files and from current/prior grantors (e.g., to verify and/or supplement the information provided by the applicant). If you do not have any relevant or available past performance or past reporting information, please indicate this in the proposal and you will receive a neutral score for these factors (a neutral score is half of the total points available in a subset of possible points). If you do not provide any response for these items, you may receive a score of 0 for these factors. In addition, provide information on your organizational experience and plan for timely and successfully achieving the objectives of the proposed project, and your staff expertise/qualifications, staff knowledge, and resources or the ability to obtain them, to successfully achieve the goals of the proposed project. iii. Performance Measurement: Anticipated Outcomes and Outputs. Anticipated Outcomes. Specify the expected environmental outcomes including those described in Section 1(D), Measuring Environmental Results: Anticipated Outcomes/Outputs of this announcement. Discuss how you propose to track and measure your progress towards achieving the project outcomes and results. (Refer to Section 5(A), Evaluation Criteria) Anticipated Outputs. Identify the expected project outputs, including those described in Section 1(D), Measuring Environmental Results: Anticipated Outcomes/Outputs of this announcement and describe how you will track and measure your progress towards achieving the expected project outputs. Outputs, quantitative or qualitative, must be measurable during the project performance period. iv. Leveraging. Demonstrate how you will leverage additional funds/resources beyond the grant funds awarded to support the proposed project activities and how these funds/resources will be used to contribute to the performance and success of the proposed project. This includes but is not limited to funds and other resources leveraged from businesses, labor organizations, non-profit organizations, education and training providers, and/or federal, state, tribal, and local governments, as appropriate. Describe the amount and type of leveraged resources to be provided, how you will obtain the leveraged resources, the likelihood the leveraging will materialize during grant performance, the strength of the leveraging commitment, and the role the leveraged resources will play to support the proposed project activities. Selected applicants are expected to abide by their proposed leveraging commitments during grant performance and the failure to do so may affect the legitimacy of the award. v. Cooperative Partnerships. Identify all proposed partnerships and stakeholder groups that will be involved in the project. Describe what each group's role will be in project staffing, funding, design and implementation. Please note that procurement of commercial services (e.g., consultants, audio visual equipment, meeting space) is subject to the competitive procurement provisions of 40 CFR Part 30 or Part 31, as applicable. Naming a commercial vendor as a "partner" does not relieve the applicant of responsibility for complying with competitive procurement requirements, including cost or price analysis, or justify sole source procurement. vi. Expenditure of Awarded Grant Funds. Describe your organization's procedures, and controls for ensuring that awarded grant funds will be expended in a timely and efficient manner. c. Attachments. The following documents shall be included as attachments to the narrative proposal. These documents will not count as part of the 18-page limit and do not have an individual page limitation. Attachments beyond the required attachments below will not be considered. Please provide a list of all attachments to the proposal. i. Budget Narrative. Include a detailed budget narrative which clearly explains how funds will be used. The successful applicant's budget narrative should identify (1) specific tasks for which EPA funding will be used; (2) the costs associated with each task, (3) the costs that the applicant or other partners will fund for each task, if appropriate, and (4) what outputs will be produced as a result of each task. (Refer to Section 1(D), Measuring Environmental Results: Anticipated Outcomes/Outputs, for a definition and examples of outputs.) The budget should include information on each major task broken out using the following cost elements: * Personnel; * Contractual Costs; * Fringe Benefits; * Travel; * Other Costs (be specific); * Supplies; * Administrative Costs (other than Indirect Costs); * Total Direct Costs; * Non-EPA Project Funding. Identify funding from other sources including in-kind resources; * Total Indirect Costs (must include Negotiated Indirect Cost Rate Agreement as documentation of federally-approved indirect cost rate (percentage); and * Total Project Cost (Total Direct + Indirect Costs). Costs proposed in the budget must be linked directly to the narrative proposal. Following is a suggested format to summarize your proposed budget. Applicants are not limited to three Project Activities. Please expand (add more columns), as necessary, to include Activities listed in Section 1(B) of this announcement. \| Budget \| Project Activities \| \| \| \|---\|---\|---\|---\| \| Categories \| Activity \| Activity \| Activity \| \| (Required \| 1 \| 2 \| 3 \| \| Field) \| (fill in) \| (fill in) \| (fill in) \| \| Personnel \| \| \| \| \| Fringe Benefits \| \| \| \| \| Contractual \| \| \| \| \| Travel \| \| \| \| \| Supplies \| \|---\| \| Equipment \| \| Other Costs \| \| Administrative \| \| Total Direct \| \| Indirect Costs \| \| Non-EPA Project \| \| Total Project Cost \| \| Non-EPA Funding \| ii. Milestones. Provide a schedule indicating start times and completion dates of significant tasks and responsibilities under your program. For efficiency, it is suggested that project milestones be coordinated with important events (e.g., budget cycle, meetings, etc.). iii. Letters of Support. The applicant should provide names and phone numbers of persons to contact at the organization providing the letter of support along with a description of what involvement (e.g., assistance, role) the organization has or will have with your organization/project. Applicants may include letters confirming commitments. If your organization intends to provide funding to any supporting organization, please refer to Sections 2(E) and (F) of this announcement. E. Additional Provisions for Applicants Incorporated into the Solicitation Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to confidential business information, contracts and subawards under grants, and proposal assistance and communications, can be found at https://www.epa.gov/grants/epa-solicitation-clauses. These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing proposals for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions. SECTION 5 - PROPOSAL REVIEW INFORMATION A. Evaluation Criteria Each eligible proposal will be evaluated according to the criterion set forth below that applies to each type of cooperative agreement as described in Section 1(B). Applicants must directly and explicitly address these criteria as part of their "Narrative Proposals." Each proposal will be rated under a points system, with a total of 100 points possible. proposal effectively addresses the UST compliance/prevention scope of work activities described in Section 1(B) of this announcement. This includes: * The extent to which the "Proposal Narrative" clearly, concisely and realistically provides a description of the proposed UST compliance/prevention project goals, activities, budget, and project milestones. (10 points) * The extent to which the proposed project will lead to improved UST compliance/prevention training, communication, and assistance for states and tribes. (10 points) * The extent to which the proposed project activities will contribute to overall UST compliance/prevention program implementation for states and tribes. (20 points) Programmatic Capability and Environmental Results Past Performance Criterion. Under this criterion, applicants will be evaluated based on their ability to successfully complete and manage the proposed project taking into account: * Past performance in successfully completing and managing the assistance agreements described in Section 4 of this announcement. (5 points) * Organizational experience and plan for timely and successfully achieving the objectives of the proposed project, and staff expertise/qualifications. (10 points) * History of meeting the reporting requirements under the assistance agreements described in Section 4 of this announcement including whether the applicant submitted acceptable final technical reports under those agreements and the extent to which the applicant adequately and timely reported on their progress towards achieving the expected outputs and outcomes under those agreements and if such progress was not being made whether the applicant adequately reported why not; (5 points) * Staff knowledge, and resources or the ability to obtain them, to successfully achieve the goals of the proposed project. (10 points) Note: In evaluating applicants under items of this criterion, the Agency will consider the information provided by the applicant and may also consider relevant information from other sources including agency files and prior/current grantors (e.g., to verify and/or supplement the information supplied by the applicant). If you do not have any relevant or available past performance or past reporting information, please indicate this in the proposal and you will receive a neutral score for these subfactors (items i and ii above-a neutral score is half of the total points available in a subset of possible points). If you do not provide any response for these items, you may receive a score of 0 for these factors. Performance Measurement: Anticipated Outcomes and Outputs. Under this criterion, proposals will be evaluated based on the extent to which the "Narrative Proposal" realistically describes how the project will lead to measurable environmental results. The proposal will be evaluated based on whether it: * Clearly specifies anticipated environmental outcomes and outputs as described in Section 1(D), Measuring Environmental Results: Anticipated Outcomes/Outputs. (4 points) * Clearly describes the measures of success for the project. Measure of success should be either measures of environmental improvement or should be directly linked to such measures. EPA will look for quantitative and qualitative measurability. (3 points) 30 10 Maximum \| Project Description. Under this criterion, EPA will evaluate the extent to which the proposal effectively addresses the LUST cleanup scope of work activities described in Section 1(B) of this announcement. This includes: • The extent to which the “Narrative Proposal” clearly, concisely and realistically provides a description of the proposed LUST cleanup project goals, activities, budget, and project milestones. (10 points) • The extent to which the proposed project activities will contribute to overall LUST cleanup program implementation for states and tribes. (20 points) The extent to which the proposed project will lead to improved LUST cleanup training, communication, and assistance for states and tribes. (10 points) \| 40 \| \|---\|---\| \| Programmatic Capability and Environmental Results Past Performance Criterion. Under this criterion, applicants will be evaluated based on their ability to successfully complete and manage the proposed project taking into account: • Past performance in successfully completing and managing the assistance agreements described in Section 4 of this announcement. • (5 points) • History of meeting the reporting requirements under the assistance agreements described in Section 4 of this announcement including whether the applicant submitted acceptable final technical reports under those agreements and the extent to which the applicant adequately and timely reported on their progress towards achieving the expected outputs and outcomes under those agreements and if such progress was not being made whether the applicant adequately reported why not; (5 points) • Organizational experience and plan for timely and successfully achieving the objectives of the proposed project, and staff expertise/qualifications. (10 points) • Staff knowledge, and resources or the ability to obtain them, to successfully achieve the goals of the proposed project. (10 points) Note: In evaluating applicants under items of this criterion, the Agency will consider the information provided by the applicant and may also consider relevant information from other sources including agency files and prior/current grantors (e.g., to verify and/or supplement the information supplied by the applicant). If you do not have any relevant or available past performance or past reporting information, please indicate this in the proposal and you will receive a neutral score for these subfactors (items i and ii above-a neutral score is half of the total points available in a subset of possible points). If you do not provide any response for these items, you may receive a score of 0 for these factors. \| 30 \| \| Performance Measurement: Anticipated Outcomes and Outputs. Under this criterion, proposals will be evaluated based on the extent to which the “Narrative Proposal” realistically describes how the project will lead to measurable environmental results. The proposal will be evaluated based on whether it: • Clearly specifies anticipated environmental outcomes and outputs as described in Section 1(D), Measuring Environmental Results: Anticipated Outcomes/Outputs. (4 points) • Clearly describes the measures of success for the project. Measure of success \| 10 \| \| Budget/Resources. This criterion refers to the proposed budget, in-kind goods and services, and other resources that the applicant outlines to carry out the proposed project. The proposal will be evaluated based on the extent that: • The budget is clearly stated, detailed, and appropriate to achieve the project’s objectives. How will your proposed budget effectively sustain your proposed project? How will you plan on managing this budget? Does the budget include cost estimates for each of the proposed project activities to be conducted using EPA funds. (5 pts) • The proposal identifies partnering organization(s) and documents the relationship with the applicant, for example, through letters of support, joint statements, or principles of agreement signed by other parties. (5 pts) \| 10 \| \|---\|---\| \| Expenditure of Awarded Grant Funds. Under this criterion, applicants will be evaluated based on their approach, procedures, and controls for ensuring that awarded grant funds will be expended in a timely and efficient manner. \| 5 \| B. Other Factors The EPA Headquarters Selection Official may consider the following factors, in addition to the evaluation results based on the criteria above, in making the final funding decisions: (1) program priorities and (2) the availability of funds. C. Review and Selection Process All proposals received by the closing date and time for submission will first be reviewed to determine eligibility for funding based upon compliance with all threshold criteria listed in Section 3(C). Only proposals determined eligible will be evaluated for technical merit. Each eligible proposal will be evaluated by a review panel of EPA Headquarters staff for technical merit based on the evaluation factors detailed in Section 5(A) of this announcement. Upon completion of the technical merit evaluation, each proposal will be given an evaluated numerical score, with a total of 100 points possible. The review panel will recommend the proposals with the highest numerical score. In the event of a tied score, the review panel will recommend for selection the applicant with the highest numerical score for the Programmatic Capability and Environmental Results Past Performance Criterion. Preliminary funding recommendations will be provided to the EPA Headquarters Selection Official based on this ranking. Once final decisions have been made, a funding recommendation will be developed and forwarded to the EPA Award Official. D. Additional Provisions for Applicants Incorporated into the Solicitation Additional provisions that apply to this solicitation and/or awards made under this solicitation including the clause on Reporting and Use of Information Concerning Recipient Integrity and Performance can be found on the EPA Solicitation Clauses page. These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing proposals for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions. SECTION 6 - AWARD ADMINISTRATION INFORMATION A. Award Notices EPA anticipates notification to successful and unsuccessful applicants by telephone, or postal, or electronic mail by July 1, 2019. The notification will be sent to the original signer of the proposal or the project contact listed in the proposal. This notification, which informs the applicant that its proposal has been selected and is being recommended for award, is not an authorization to begin work. Applicants are cautioned that only a grants officer is authorized to bind the Government to the expenditure of funds; selection does not guarantee an award will be made. For example, statutory authorization, funding or other issues discovered during the award process may affect the ability of EPA to make an award to an applicant. The award notice, signed by an EPA grants officer, is the authorizing document and will be provided through electronic or postal mail. The successful applicant may need to prepare and submit additional documents and forms (e.g., workplan), which must be approved by EPA before the grant can officially be awarded. The time between notification of selection and award of a grant can take up to 90 days or longer. EPA also reserves the right to negotiate appropriate changes in work plans after the selection of a proposal and before the final award of a grant consistent with the Agency's Competition Policy (EPA Order 5700.5A1, Section 11). B. Administrative and National Policy Requirements 1. A listing and description of general EPA regulations applicable to the award of assistance agreements may be viewed at: https://www2.epa.gov/grants/grant-terms-and conditions. 2. Applicants selected for award will be required to submit a final cooperative agreement proposal package to the EPA. This package will include an EPA-approved final work plan that describes the work to be performed, a final budget, and the required certification forms. Programmatic terms and conditions will be negotiated with the selected recipient. Terms and conditions specify what grantees must do to ensure that grant-related and program-related requirements are met. 3. Grants and cooperative agreements with non-profit organizations and institutions of higher education are subject to 40 CFR Part 30 and OMB Circular A-122 (2 CFR Part 230) for non- profits and A-21 (2 CFR Part 220) for institutions of higher learning. Grants and cooperative agreements with governmental organizations are subject to 40 CFR Part 31 and OMB Circular A-87 (2 CFR Part 225). 4. Reimbursement Limitation. If the recipient expends more than the amount of funding in its EPA approved budget in anticipation of receiving additional funds from EPA, it does so at its own risk. EPA is not legally obligated to reimburse the recipient for costs incurred in excess of the EPA approved budget. 5. Intergovernmental Review. Executive Order 12372, Intergovernmental Review of Federal Programs, may be applicable to awards resulting from this announcement. EPA implemented the Executive Order in 40 CFR Part 29. EPA may require applicants selected for funding to provide a copy of their application to their State Point of Contact (SPOC) for review as provided at 40 CFR 29.7 and 40 CFR 29.8. The SPOC list can be found at the Intergovernmental Review (SPOC List) page. EPA may require successful applicants from states that do not have a SPOC to provide a copy of their application for review to directly affected state, area-wide, regional and local government entities as provided at 40 CFR 29.7 and 40 CFR 29.8. These reviews are not required before submitting an application. Only applicants that EPA selects for funding under this announcement are subject to the Intergovernmental Review requirement. C. Reporting Requirement Quarterly progress reports and a detailed final report will be required. The quarterly progress reports will be submitted to the EPA Project Officer within thirty days after each reporting period. These reports shall cover work status, work progress, difficulties encountered, preliminary data results and a statement of activity anticipated during the subsequent reporting period. A discussion of expenditures along with a comparison of the percentage of the project completed to the project schedule and an explanation of significant discrepancies shall be included in the report. The report shall also include any changes of key personnel concerned with the project. At the close of the grant, the successful applicant will submit a final technical report to the EPA Project Officer within 90 calendar days of completion of the period of performance. The final technical report shall include a summary of the project or activity, advances or goals achieved, and costs of the project or activity. In addition, the final technical report should discuss the problems, successes, and lessons learned during the project period. D. Use of Funds An applicant that receives an award under this announcement is expected to manage assistance agreement funds efficiently and effectively and make sufficient progress towards completing the project activities described in the work-plan in a timely manner. The assistance agreement will include terms/conditions implementing this requirement. E. Disputes Disputes related to this competition will be resolved in accordance with the dispute resolution procedures published in 70 FR (Federal Register) 3629, 3630 (January 26, 2005), which can be found at https://www.epa.gov/grants/grant-competition-dispute-resolution-procedures. Copies of these procedures also may be requested by contacting Erin Knighton at email@example.com or 202-564-0684. F. Additional Provisions for Applicants Incorporated into the Solicitation Additional provisions that apply to this solicitation and/or awards made under this solicitation, including but not limited to those related to DUNS, SAM, copyrights, disputes, and administrative capability, can be found at EPA Solicitation Clauses. These, and the other provisions that can be found at the website link, are important, and applicants must review them when preparing proposals for this solicitation. If you are unable to access these provisions electronically at the website above, please communicate with the EPA contact listed in this solicitation to obtain the provisions. SECTION 7 - AGENCY CONTACT Erin Knighton, U.S. EPA, Office of Underground Storage Tanks (MC 5401-R), 1200 Pennsylvania Avenue, NW, Washington, DC 20460; Phone 202-564-0684; or email firstname.lastname@example.org.
Week At A Glance - Sabbath School (Church at Study): 9:45 AM - Divine Worship: 11:00 AM - Sunset: 4:28 PM Sabbath, December 5th Sunday, December 6th - Choir Rehearsal: 3:30-5:00 PM - Church Planning/Town Hall Meeting: 11:00 AM Monday, December 7th Wednesday, December 9th - Prayer and Fasting: 6:00 AM -6:00 PM - Prayer and Power Hour: 7:00 PM - Sunset: 4:27 PM Friday, December 11th Sabbath, December 12th - Lower Division Sabbath School Christmas Program: 10:45 AM - Sabbath School (Church at Study): 9:45 AM - Divine Worship: 11:00 AM - Sunset: 4:27 PM Church Ministries and Leaders Leaders don't forget to check your inbox for incoming items. Note: 'Information subject to change' Sharon Seventh-day Adventist Church December 5, 2015 "Where the Arms of Christ Are Always Open!" Sabbath School (Church at Study) 9:45 A.M. Classes are held for everyone. For directions to the classes please see one of our Greeters. Young People: In the Sanctuary: Meditational Selections Musician Season of Prayer Congregation Lesson Study Topic: "The Destruction of Jerusalem" Memory Text: "Also, seek the peace and prosperity of the city to which I have carried you into exile. Pray to the Lord for it, because if it prospers, you too will prosper (Jeremiah 29:7, NIV). Key Thought: Within a few short years the king of Babylon was to be used as the instrument of God's wrath upon impenitent Judah. Again and again Jerusalem was to be invested [surrounded] and entered by the besieging armies of Nebuchadnezzar. Company after company-at first a few only, but later on thousands and tens of thousands-were to be taken captive to the land of Shinar, there to dwell in enforced exile. As we have seen, and will see, none of this came upon them without plenty of warnings and pleadings by the prophets, especially Jeremiah. Their refusal to obey brought only ruin. May we learn from their mistakes! ***** Purpose: To make Disciples Core Values Prayer, Preparing People, and Praise Mission Statement: To welcome with Love and minister to our families, our church, and our community. Divine Worship Service 11:00 AM Members of the Prayer Team are available for prayer after the service Remember In Prayer Ernest Bryant 3 Marie Crane 3 James Foster 1 Lucien & Armande Loiseau Nena Enyinwa 4 Malachi Enyinwa Norma Gabner 3 (out of state) Mazell Rudder 1 Margaret Curtis & family 4 Clarence Streeter 1 Cindy Cobbs 1 Michael Beresford 1 (George Lake's father-in-law) Gloria Olive1 Roslyn Mitchell 4 Tina & Ricky Hines 1 Debra Mayes and family1&4 Girtha Norman Ellie Benson 1 1 Arthur Payne 3 Etta Grayson 1 Vergie Sloan 1 Dovie Taylor 3 (out of state Jerry Robinson 1 Joyce Southall 1 Alonzo Watts 1 Burrell Family 1&4 Rhamie Family 1 Kumice Jackson 1 Health Concern 1 Hospital 2 Care Facility 3 Other 4 Church family: if you know of anyone who should be added to the list or is in need of visitation, please call the church office. Bereavement Notice: Please continue to pray for Sister Sarah Vanarsdale and her family as they mourn the death of her nephew, Noble who passed away last week. Message Notes Title(s):_________________________________________________________ Scripture(s):_____________________________________________________ Messages Main Point(s)________________________________________ _________________________________________________________________ What did God say to me during the Message?________________ _________________________________________________________________ _________________________________________________________________ 1 1 Announcements - Page One Contact Information: Welcome to the Sharon Seventh-day Adventist Church…"Where the Arms of Christ are Always Open!" If you are in search of a church home, we invite you to make our church your place of worship and become part of our church family. Church Address…..…….....….....5209 NE 22nd Ave; Portland, OR 97211 Church Telephone...........................................….………503-287-7649 Church Fax………………..……..………...…….…..………....503-287-8688 Church Email.........……......firstname.lastname@example.org Church Website…………..……..…....……..……....www.sharonsda.net For Wi-Fi Access-see Sharon SDA………..…….code:5032877649 More Prayer, More Power: - Prayer & Fasting Day for Sharon Church, Every Monday 6:00 a.m. - 6:00 p.m. A great day to pray with your Prayer Partner. Fast from one or more meals; Fast from junk food; Fast from the Media. We are encouraging everyone to fast from media for 24 hours (6:00 a.m. - 6:00 a.m.). There is Power in united prayer. - Women's Prayer Line every Sunday, 11 AM. Dial 605-4753220, code: 553-065#. For more details see Denise Williams. - Join us for an inspirational hour of Prayer, Praise and Power every Wednesday from 7:00 - 8:00 p.m. It will be a blessing! - Choir Members, please note these alternate rehearsal dates: Rehearsal Sunday, December 6th 3:30-5:00pm. NO Rehearsal Friday, December 11, 2015. Rehearsal Monday, December 14th 7-8:30pm and Friday, December 18th 7-8:30pm. Music Ministry: - Sharon Choir and Friends present: "Heavenly Peace" sounds of the season concert. Sabbath, December 19, 2015 at 5:00 PM. Plan to attend and bring your family and friends. Sabbath School – Lower Division: - Family Christmas Program will be on Sabbath, December 26, 2015 during divine worship at 11:00 AM. ALL members encouraged to participate. Please sign-up on the bulletin board in the foyer. - Lower Division Children's Christmas Program…December 12 th at 10:45 AM. All Children are invited to participate. Practice right after Sabbath School in the Kindergarten class. - Our Children Gift Project: please visit our tree in the foyer and take an envelope and place your donation in it. Donations will be used to bless our children this holiday season. Return your envelope to an usher or place in the offering plate. Questions see Sister Brewer or Brenda Holcey. - My Advent Offering Coin Card Project: Cards are being distributed to be filled in with coins and returned. Interested see either Sister S. Brewer or Sister D. Brewer for details. Announcements – Page Two Bulletin Information needs to be submitted Tuesday afternoon for inclusion in the current week's bulletin. Send information via e-mail: email@example.com or call the office at 503.287.7649 where a message can be left. Church Courtesies: - Please be sensitive to others…no talking during services. - Please turn off or silence alarms, pagers, phones, etc. - Please, no food or drinks are to be consumed in the Sanctuary. - Please insure that the Children's Quiet Bags are left behind after use. - Please do not use our Tithes & Offering envelopes to record notes. - Please do not run in the building - Please check the bulletin board for additional church and community announcements. - Please be sure to check around you and take all your belongings and any debris. Events of Interest: - Lower Division Sabbath School Christmas Program …December 12 @ 10:45 AM in the Sanctuary. - Church Planning/Town Hall Meeting…Sunday, December 6 at 11:00 AM. - Sharon Choir and Friends Concert…Saturday, December 19 at 5:00 PM. - Family Christmas Program…Sabbath, December 26. - Christmas Day…December 25 Facing Your Giants DVD set from our Revival meeting in September are now available for order. The DVD set have been priced reasonably at $20.00. See Brother David Shambry for more details. Sabbath Employment Challenges? Do you struggle to explain your convictions about Sabbath or labor unions to your employer? Are you being asked to work on Sabbath? The Seventh-day Adventist Northwest Religious Liberty Association can help. Call Greg Hamilton and Rhonda Bolton at 360-857-7040. Follow The Star a Free Outdoor Live Nativity and Indoor Holiday Musical Event at the Gladstone Park Conference Center, 19500 Oatfield Road, Gladstone, Oregon. Times: December 5, 6, & 11, 12, 13.Gates open Fri. - 5:30 pm. and Sat. & Sun. - 4:30 pm. For tickets and more information visit www.followthestar.us. Portland Adventist Academy Christmas Concert Friday, December 11 at 6:30 pm held at Sunnyside Adventist Church, 10501 SE Market St. Pdx. We will be privileged to hear the band, choir, steel drums, the gospel choir, and more. Plan now to enjoy this feast of music for the season. Announcements - Page Three Offerings-Combined Budget - Contributions to Combined Budget remain at Sharon Church to help pay for church expenses and ensures that the church is able to meet its financial obligations and support our local ministries. It costs about $460 a day to pay for local church expenses. These include payments to subsidize Portland Adventist Elementary and Portland Adventist Academy schools (approximately $1900 mo); church ministries, utilities e.g. water, gas, electricity, equipment rental, personnel, landscaping and facility upkeep and maintenance. Financial Information (Tithes, Combined Budget & Expenses) Tithes - primarily support the preaching, pastoral, evangelistic work of ministers and Bible teachers. In addition, because Adventist schools are an ongoing ministry to students, tithe funds are used to subsidize selected administrative salaries and a percentage of salaries for teachers. Tithe provides for the support of local, union, division and General Conference services. Tithe is not used to purchase property, build churches or fund the general operations of churches or schools. Tithes are sent directly to the Oregon Conference to support the aforementioned efforts. Finance Update as of October 31, 2015 \| \| Year to Date \| \|---\|---\| \| Total Conference Funds Received \| $205,753.00 \| \| Total Combined Budget- Local Church Funds Received \| $140,710.00 \| \| Expenses \| $144,219.00 \| Online Giving: Want a convenient way to give, anytime, 24hrs a day? Scan the QR code w/ smart device to reach webpage or visit our website www.sharonsda.net; click the link on the left "Tithe/Offering". It's safe, secure and an easy way to make your contribution using your checking account and/or debit/credit card. Join others who have found this to be a convenient way to be faithful stewards in returning to God the financial blessings he has given to each of us. What is Needed? We appreciate member's support of his/her favorite ministry. However once a ministry has received sufficient monies to support its goals, it may become necessary to direct additional donations to other church ministries or combined budget. This will provide balance and ensure all ministries are successful and the church remains financially sound. Please give accordingly. We ask for your continuing prayers and financial support to the Sharon Seventh-day Adventist Church Combined Budget. If you have any questions or know someone that wants to be a special blessing to the church, please contact Head Elder Troy Price or Church Treasurer Derrick Foxworth (see back page for contact information). May God continue to Bless You! Response: Get Right Church Get right church and let's go home. Get right church and let's go home. Get right church, get right church; Get right church and let's go home. Get right church and let's go home. Get right church, get right church; Get right church and let's go home. I'm going home on the mornin' train I'm going home, I'm going home I'm going home on the mornin' train. Cause that evenin' train might be too late That evenin' train might be too late; That evenin' train, that evenin' train' That evenin' train might be too late. Back, back train gotta get your load Back, back train, back, back train Back, back train gotta get your load Back, back train gotta get your load Get right church and let's go home. Get right church, get right church; Get right church and let's go home. Get right church and let's go home. Get right church and let's go home. Get right church, get right church; Get right church and let's go home. Get right church and let's go home. Get right church, get right church…get right church and let’s go home Praise Service Sabbath, December 5, 2015 Introit: I worship Thee By Joe Pace Oh Lord, I worship Thee. Oh Lord, I worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Oh Lord, I worship Thee. Oh Lord, I worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Invocation Response Vamp: Lord I worship Thee, Lord I worship Thee, Lord I worship Thee. Lord I worship Thee. (Repeat) Key Change Lord I worship Thee, Lord I worship Thee, Lord I worship Thee. Lord I worship Thee. (Repeat) Key Change Lord I worship Thee, Lord I worship Thee, Lord I worship Thee. Lord I worship Thee. (Repeat) Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Lord just for who You are. Just for keeping me this far. You've been good to me and I do worship Thee. Selection #1: O Come All Ye Faithful Selection #2: People Get Ready O Come All Ye Faithful Joyful and triumphant, O come ye, O come ye to Bethlehem. Come and behold Him, Born the King of Angels; O come, let us adore Him, O come, let us adore Him, O come, let us adore Him, Christ the Lord. O Sing, choirs of angels, Sing in exultation, Sing all citizens of heaven above. Glory to God, glory in the highest; O come, let us adore Him, O come, let us adore Him, O come, let us adore Him, Christ the Lord… People get ready, there's a train coming' You don't need no baggage, you just get on board All you need is faith to hear the diesels humming' you don't need no ticket you just thank the lord All aboard get on board, All aboard get on board People get ready, there's a train to Jordan Picking up passengers coast to coast Faith is the key, open the doors and board them There's hope for all among those loved the most All aboard get on board, all aboard get on board People get ready there's a train coming' You don't need no baggage, you just get on board All you need is faith to hear the diesels humming' you don't need no ticket, just thank the lord All aboard get on board, all aboard get on board (Continued on next page) → People Get Ready Continued: There ain't no room for the hopeless sinner whom would hurt all mankind Just to save his own Have pity on those whose chances grow thinner For there is no hiding place against the kingdoms throne All aboard get on board, All aboard get on board People get ready there's a train coming' You don't need no baggage, just get on board All you need is faith to hear the diesels humming' you don't need no ticket, you just thank the lord All aboard get on board, all aboard get on board All aboard get on board, all aboard get on board Prayer Song: Down in My Soul Down in my soul cries Holy O down in my soul, cries Holy O Lord, down in my soul In my sanctified soul Down in my soul, cries Holy Down in my soul cries Holy O down in my soul, cries Holy O Lord, down in my soul In my sanctified soul Down in my soul, cries Holy Ooo, Ooo, Ooo Down in my soul cries Holy O down in my soul, cries Holy O Lord, down in my soul In my sanctified soul down in my soul cries Holy PS-3 (Over)
MARCIN GALENT Jagiellonian University PAWEŁ KUBICKI Jagiellonian University New Urban Middle Class and National Identity in Poland Abstract: This article discusses the question of the emergence of new forms of collective identities brought about by the recent social and cultural changes and their inﬂuence on Polish national identity. Speciﬁcally, it attempts to analyse those evolutionary changes which have been transforming the character of this identity from an exclusive, ethnic model towards a pluralistic, civic one. The article aims to show that the most signiﬁcant agent of these processes is a new urban middle class whose growing role in the Polish society challenges traditional national discourses. The article advances a thesis that we are witnessing an emergence of a new platform of identiﬁcation which signiﬁcantly blurs the overwhelming contours of traditional national identity and instead strengthens on the one hand local identiﬁcation and on the other, a cosmopolitan one. Keywords: social identity, nationalism, urban culture, multiculturalism, social change. Introduction This article discusses the question of the emergence of new forms of social identities brought about by the contemporary dynamics of social and cultural change and their inﬂuence on Polish national identity. Speciﬁcally, it attempts to analyse those evolutionary changes which have been transforming the character of this identity from an exclusive, ethnic model towards a pluralistic, civic one. Certainly, one should bear in mind that it is difﬁcult to treat national identities as monolithic, seamless entities, especially in the contemporary world where they are subject to constant renegotiation and redeﬁnition by different segments of these groups. That is why we have chosen a speciﬁc social category, namely the inhabitants of the main Polish cities, ﬁrstly because we think that indicators of the changes in the Polish national identity are most detectable among this segment of the Polish society and secondly because this group's role in the society has signiﬁcantly changed. What we wish to indicate is the emergence of new collective identities that have inﬂuenced the dynamics of the reconstruction of national discourse in many important ways. One of the most important agents of these processes is new urban middle class, which is apparently the most signiﬁcant bearer of these changes. To illustrate these processes we decided to employ a comparative approach in our research. Its two streams were conducted in two Polish cities: Kraków and Wrocław. Both are very important centres of new economy, culture, science, and despite actual cultural homogeneity, both cities are trying to take advantage of their multicultural heritage in building their symbolic images. The ﬁndings are based on ﬁeldwork conducted between 2008–2009 as a part of the Sixth Framework Programme: RECON. Reconstructing Democracy in Europe project. The research consisted of 60 semi-structured in-depth interviews with relatively young (25–40) active inhabitants of both cities, dozens of informal conversations and participant observation. The Nature of Polish National Identity Social reality is something which is constantly "becoming" and not just "being" and collective identities should be seen as a permanent process of their construction and reconstruction. This process is conducted through a dialogue not only with "significant others," without whom it would not be possible to draw boundaries and ﬁnd differences (Barth 1969), but also within social groups who use different elements to renegotiate a collective self-image. This is especially true at the beginning of the 21 st century, which is often labelled by social scientists as late modernity, postmodernity or liquid modernity. Under such deﬁned conditions, social identities appear to be increasingly inconsistent and fragmentary. The collectivities which are the basis of social identity today are greater in number, more varied, more intermingled, and more open to redeﬁnition than ever before (Maier and Risse 2003). These changes are also detectable in Poland and we believe that we are witnessing an emergence of a new platform of identiﬁcation which signiﬁcantly blurs the overwhelming contours of traditional national identity and instead strengthens on the one hand local identiﬁcation and on the other, cosmopolitan ones (Beck 2009: 40–55). National identiﬁcation, as well as other social phenomena like culture or social structure, cannot be described as ﬁnished, primordial and "given," but rather as in a state of ﬂux, and as a never-ending process. The famous thinker Ernest Gellner said that: "(…) nations, like states, are a contingency, and not a universal necessity" (Gellner 1983: 6). Most scholars agree that since there are different nationalisms there is no single theory of nationalism. Nevertheless, there has been a long tradition in sociology to identify two kinds of nationalisms. On the one hand we have the socalled "civic" model, which is much more territorial in character and is based more on the citizen's loyalty to the state, with less reference to primordial ethnic roots. On the other hand, the so-called "ethnic" model of nationalism is of a predominately organic character and is based on the myth of common ancestry and shared symbols. This point of view is very characteristic of those Polish sociologists who, as a result of Poland's turbulent history, stressed the cultural and moral essence of the nation. Stanisław Ossowski put forward a very characteristic, in this respect, concept of two aspects of the patrie. One, called "private," consisted of an individual's or a group's identiﬁcation with local or regional territory and cultural heritage, while the other, "ideological," was based on self-identiﬁcation with a broad tradition, history, a system of values and ideas as an attribute of the nation as a whole. As Ossowski has pointed out, in the past Poles often suffered from displacement, had to abandon their territory, emigrate, and reconstruct their identity, and this was possible only because of this ideological national identity which provided an individual with a symbolic basis of identiﬁcation, despite the loss of his or her private patrie. Thus, a nation is not only a cultural community or a politically organized society, but is most of all an ideological entity (Ossowski 1984: 26). There have been a series of historic factors that have inﬂuenced the Polish national identity in such a way that it has been formed according to a predominantly ethnic model. There is common agreement that three variables played a key role in the development of European nationalisms. Firstly, one of the most important reasons for these developments was the question of whether ethnic groups possessed their own state in the 19 th century or not. Those with their own political entities could use the institutions of the state to transform peasants into citizens, as described in the seminal book by Eugene Weber (1976) using the example of French society. Those nationalisms that could not harness political institutions to the nation-building processes were forced to turn their mass mobilisation efforts towards ethnic and cultural ties. The second variable that determined the type of nationalism was related to the presence or absence of a strong bourgeoisie at the moment when the ideology of nationalism was diffused to particular areas around the globe. States and areas with strong bourgeoisies tended to opt for a rationalist and voluntaristic version of the ideology of nationalism, which required everyone to choose a nation of belonging but did not prescribe a particular nation; whereas states and areas with weak bourgeoisies opted for organic nationalism which prescribed the nation of belonging for each individual from birth (Smith 2003: 17). The third variable was indicated by Tom Nairn, who maintained that the kind of nationalism was determined by the location of the centre-periphery continuum. In the centre and in the 19 th century this was overwhelmingly the West—ethnic nationalism was not a particularly visible issue (although there were and obviously are ethnic identities). This was because the centre was dominated by an expansive bourgeoisie, which possessed the self-conﬁdence that comes with successful social and economic development. The hegemony of the Western bourgeoisie at the height of the colonial era was so entrenched that there was no need to seek solidarity with the lower strata of their societies. Obviously, the situation looked completely different at the other end of the scale—peripheries which were dominated and exploited. As described vividly by Gellner (1983), peripheries had to adopt ethnic nationalism because of the underdevelopment and marginal status of their elites who did not want to agree to the domination of the centre. In the case of the 19 th century—the time of the emergence of modern nations— in Poland all three of these variables created structural conditions where the Polish national identity had to be constructed around cultural, religious and ethnic lines. All these structural determinants did not disappear until the collapse of the communist regime. At the end of the 20 th century most of Polish researchers agreed that: "representants of most political parties deﬁne the nation in ethnic categories" (Kurczewska 2000: 262). Zbigniew Bokszański showed in his research that in comparison to some other European societies, "the Poles are closer to traits of national identity that are closely related to ethnicity, understood as a source for individual identity and as a base of social organization" (Bokszański 2006: 242). In his research he contrasted certain European countries as modern and postmodern, and argued that one can detect a trend that shows that a transformation towards the condition of the late modern society weakens the ethnic character of national identities in Europe. At the same time, Andrzej Piotrowski asked an important question: To what extent the shift towards a capitalist market economy, the entrance into the European Union, the pressure of globalization, and ﬁnally tendency towards the development of multiculturalism, marked by facilitation of migration and the explosion of electronic communication networks, so, to what extent, and in what direction all these factors will have all left their mark on the traditional structures of Polish national identity? (…) Will these structures lose their signiﬁcance for regional identiﬁcations in the inner regions or for these ones which cross national borders? (Piotrowski 2006: 252). It seems to us that one can take a risk and try to show how those indicated by the Polish sociologists processes contributed to the fact that the Poles have gone from "a strong dependent nation, towards an independent, but weaker one" (Kurczewska, 2010). What lies at the heart of this article are the changes in the Polish national identity which accompanied the transformation of Polish society from a rural to an urban one. The Foreignness of Urban Culture in Polish Nationalism The unique conditions that determined the emergence of Polish nationalism during the 19 th century meant that Polish national identity developed on the basis of two strata: the gentry and the peasantry. These two strata created two models of culture which differed between themselves to a large extent but shared one common feature which is fundamental, in our view, to understanding Polish national identity: a complete opposition to urban, industrial culture. This alienation can be described on a cultural level as well as on a structural one, and has resulted in a situation where values characteristic of urban, industrial society were perceived as "alien," whereas features which were connected with folk and gentry culture were identiﬁed with "homeliness." An important feature of the structure of Polish society in the 19 th century was the weakness of the bourgeoisie. Polish historian Tadeusz Łepkowski estimated that in 1870 the urban population of Polish areas 1 was about 16–17% (Łepkowski 1967: 119). Additionally, the inhabitants of small towns made up a large proportion of the bourgeois population and had nothing in common with the term "urban," which was characteristic of the industrialised western part of Europe. As a seminal Polish sociologist noted: "In Poland, capitalism did not create cities as much as industrial areas (…). There were clusters of people who lived from and for factories but did not create a higher form of social and cultural life" (Chałasiński 1948: 206). 1 The term "Polish area" stands for Polish territory before the partitions. In 1870 the Polish state did not exist. Moreover, the territory identiﬁed as Poland changed radically during the ﬁrst half of the 20 th century, as a result of the First and Second World Wars. Hence, it would not be inaccurate to say that during the age of modernity the Polish bourgeoisie almost did not exist in the demographic sense. However, far more important in this context is the exclusion of bourgeois values in the mainstream of national culture. In fact, whilst Polish history consists of one long struggle for sovereignty, this was especially so in the 19 th century, when mythologised history, art and literature gloriﬁed the ﬁght for independence. This resulted in a situation where the problem of political sovereignty took ﬁrst place in the discourse of Polish nationalism. It is obvious that in this situation the values of the bourgeois—rationalism, accumulating property and cultural pluralism—could not ﬁt into the dominant model of Polish culture. Thus, the Polish model of national identity was characterised by the structural alienation of the city and everything that represented urban culture. This alienation of cities and urban culture in art has its basis in the unique structure of Polish society in the 19 th century. The elites who possess symbolic power—in the sense of Bourdieu (1991)—were strongly connected with the culture of the gentry. Although the Polish gentry identiﬁed themselves as Poles on the basis of being citizens of the state—Rzeczpospolita—not on the basis of ethnic origin, religion, or even language (see: Tazbir 1998), the situation changed radically after the partitions. At that time the Polish intelligentsia came from the impoverished gentry who were undervalued and discriminated against economically, socially and politically by Russian and Prussian invaders 2 . In that situation, when the political reality was perceived as alien, the myth of the lost paradise began to spread. In this case, paradise was symbolised by a manor house and rustic landscape. It is very characteristic, in this matter, that most works of art call to attention the manor house as the symbol of Poland. For example, masterpieces of Polish literature like Pan Tadeusz (Mr Tadeusz) by Adam Mickiewicz and Wesele (The Wedding) by Stanisław Wyspiański introduced two rustic, iconic houses into the Polish culture—Soplicowo and Rydlówka—which have become an archetypal image of Poland. These poems were, and in fact still are, a fundamental part of Polish culture, shaping the symbolic picture of Polishness. Moreover, the visual arts, and especially paintings, concentrated only on rustic landscapes or ancient battle scenes, bypassing the cities. Thus, all these art forms made up a symbolic image of Polish culture where there was no place for cities or urban culture. This is why Polish art as well as journalism perceived cities and urban culture as alien. This process of alienation was strengthened by the fact that during that time a signiﬁcant part of the bourgeoisie in Polish cities came from different ethnic groups, being mainly Germans, Russians and Jews. The alienation of the city in Polish culture continued in the 20 th century by the process of the ruralisation of cities. It was a complex and mulitdimensional phenomenon, which was mainly caused by the following reasons. Firstly, the tremendous catastrophe that descended on Polish cities and the bourgeoisie with World War II and its consequences. Putting aside the enormous material losses, what was most important was the fact that the biggest victim of the war was the 2 The exception was Galicia, ruled by the Austro-Hungarian Empire. During the period of liberalisation, Poles contributed to Austrian bureaucracy and politics. But the unique situation in the Austro-Hungarian Empire—relatively backward, especially in Galicia—led to a renewal of the tradition of the gentry in this region. urban intelligentsia, deliberately exterminated by the German and Soviet occupants. Warsaw is the most tragic example. In 1947 the statistics estimated that out of 6 million Polish citizens who died between 1939–1945, urban inhabitants consisted of 78.9% of those victims, a shocking ﬁgure of 4.76 million (Szarota 1969: 78). Secondly, in Poland, urbanisation had a different character than it had in Western Europe: rapid industrialisation only began—with a few exceptions—after World War II, and was centrally planned by the ruling Communist Party. Moreover, in this respect, we should speak about two different processes of urbanisation. On the one hand, belated industrialisation occurred in a predominantly peasant environment, as it was portrayed by the study of new industrial centres like Płock, Puławy and Tarnobrzeg (Sagan, 1995: 63–65). The most spectacular example is the creation of Nowa Huta, a city of workers recruited from the Polish countryside, which was thought to be the counterpart to traditional intelligentsia circles (Purchla 1996). Thus, giant factories were staffed mostly by peasants from neighbouring villages. This resulted in a situation in which another era in the history of Polish cities dawned: a social category which possessed a symbolic power that had nothing in common with urban culture. During the 19 th century it was the "gentry-intelligentsia," whereas after World War II it was "peasant-workers." These new inhabitants of Polish cities, the "peasant-workers," possessed symbolic power in a double sense. Firstly, because of the weakness of the bourgeoisie, who had no power to impose their patterns of culture on them, and secondly because of communist ideology, according to which the real ruling classes in the Polish People's Republic were peasants and workers, and where other groups were described as "enemies of the people." Thirdly, After the Yalta Treaty, Poland lost its eastern provinces, mostly inhabited by a rural society, but in exchange acquired ex-German urbanised provinces. Thus, Poles were expropriated from their eastern villages and settled in abandoned German cities. As Georg Thum points out, the cities located in the Western Lands possesed the capacity to take in around 4 million people, but the number of repatriates from eastern cities was only 423 thousand, mainly from Lwów and Vilnius (Thum 2005: 133–134). Needless to say, insecurity and instability persuaded most of them to stay in the central part of Poland. Thus, Poles as new inhabitants of these cities felt a double alienation: ﬁrstly because of an urban environment which was completely the opposite of their native one, and secondly because these cities were German and, despite the communist propaganda, most of them had nothing in common with Polish culture. This meant that for a long time these migrants were not able to reconstruct their identity and feel at home in these places, living in permanent temporariness. This situation was described by Zdzisław Mach—who conducted his research on these cities in the 1980s—in a book whose title puts the situation very eruditely: Niechciane miasta (Unwanted Cities) (Mach 1998). A similar situation occurred in the Polish ethnic part of Poland in the case of ex-Jewish towns, the so-called shtetls. Small towns, which were typical in pre-war Poland, were inhabited mostly by Jews; in the former Galicia, Jews often constituted 70–80% of the total population of these towns. As a result of the Holocaust and the emigration of Jews, their houses were subsequently inhabited by Poles from neighbouring villages. These examples are very interesting in the context of Polish national identity because German and Jewish heritage of urban culture played the role of a typical "alien" in Polish culture. Fourthly, most Polish cities after the Second World War were seriously damaged, and re-building them consisted mostly of constructed housing estates from concrete slabs, isolated from the city centre and from each other. This resulted in a situation where individual housing estates fulﬁlled the function of suburbs, and did not constitute an importance for urban culture —an agora, a public space. These factors indicate that in the case of Poland after World War II we cannot speak about cultural urbanisation, but rather about the ruralisation of urban culture. Despite the fact that the population of Polish cities increased dynamically, this did not mean that the patterns of Polish culture were transformed in the same way. Regaining Cities. Urban Culture as a Way of Life The city has always possessed a central position in Western civilization. Starting from ancient Greece and Rome through the medieval period, the city was a space of freedom and innovations. After the period of "crisis discourse" in the 1970s and 1980s, when neo-marxist authors created a strongly pessimistic perspective of the future of city, this feature has again become important during the last two decades. New economy based on knowledge and innovations has opened new perspectives for cities. A new discourse of resurgence of city has emerged. Such authors like Richard Florida (2002) and Edward Glaeser (2011) have pointed out the role of city in the process of creation of social and cultural capital, which are essential assets for new economy. Also, in Poland many authors have come to analyze social and cultural changes in Polish cities, mainly as a consequence of the growth of symbolic economy and processes of Europeanization. Wojciech Burszta and Barbara Fatyga have stressed the crucial role of culture in the growth of cities in Poland (Burszta, Fatyga 2010), which has similarly been raised by Mołgorzatę Dymnicką (2011). A seminal collection of articles collected by Bohdan Jałowiecki (2009) explains complex processes of globalization and metropolisation in the contemporary world. Marek S. Szczepański and Anna Sliź in turn deal with some consequences of these trends which transform contemporary cities into increasingly multicultural places. There are also more focused studies such as Marta Smagacz's work on the revitalization of urban spaces (2008), Tomasz Nawrocki's inquiry into the condition of public space (2011), or Magdalena Łukasik's illuminating study on the recent mass migration to major cities in Poland (2007). Since 1989 we have witnessed a number of complex and interdependent processes at play, such as: an economic transformation creating the economic and legal foundation for the growth of the bourgeoisie, globalisation, domination of new economy, European integration, and the emergence of a network society. They have created all of the structural changes that have brought about the redeﬁnition of the role of the city and urban culture in Poland, and, by this token, have shifted the main traits of the Polish national identity from ethnic elements towards civic ones (Galent, Kubicki 2010). This redeﬁnition depends on several important structural elements. During our research we identiﬁed four of the most signiﬁcant ones. De-ruralisation First and foremost is the process of the de-ruralisation of Polish cities; for at least the last decade we have been able to observe the fast-growing process of the deruralisation of Polish cities. This is because there is a growing second and thirdgeneration urban population in these cities, who have started to identify themselves with urban culture. Yet, this new category, as with every new social phenomenon, is searching for axiological and symbolic values that can legitimise its identity—an urban identity. As we have tried to explain, traditional Polish nationalism excluded urbanism and cultural pluralism from the mainstream of Polish culture. Nowadays, we can observe in the case of Poland, that urban culture is being invented and discovered. One of the better examples of this process is the reinvention of a multicultural heritage of Polish cities. Wrocław is a city that was settled by Polish migrants who lived with a feeling of temporality, but whose children and grandchildren have grown up in the city and have started to construct their identity in line with the urban culture through its German heritage. A similar phenomenon can be noticed in Krakow. Before the Second World War, about 70,000 Jews lived in Krakow; they made up about 30% of the total population and mostly lived in one, separate district—Kazimierz. After the Holocaust this district was completely depopulated, and the local government sent people there from the dregs of society, creating a district of the underclass, thus giving it a very bad reputation. Starting from the end of the 1990s however, this situation changed completely. Nowadays Kazimierz is one of the most fashionable and vibrant places in Krakow, and this gentriﬁcation is mostly based on its Jewish heritage. Twenty years ago this district was a no-go area, now it is a must visit for everybody who lives and stays in Krakow. This positive attitude towards reintroducing multiculturalism into contemporary social and cultural life of Polish cities was fully conﬁrmed by the empirical research. One of the main goals we wanted to achieve through conducting in-depth interviews was to establish to what extent our interviewees were positive about this part of the image of their cities, which included explicit references to multicultural heritage and multiculturalism in current social life. There was no single respondent who challenged this idea, either in Wrocław or in Krakow. One could even think that multiculturalism was seen as something that was associated with the "normal" shape of a proper western cosmopolitan city. Some of them invoked memories of living abroad where they had experienced a multicultural environment ﬁrst hand and recalled it in a positive way. The lack of cultural heterogeneity in Polish cities was often perceived as a legacy of the homogeneity enforced by the socialist regime and as something that made the respondents feel inferior to Western cities. However, they were rather aware of the fact that the marketing strategies promoting their cities were using their multicultural traits as a sort of invention without real content. The quotes below are typical of all respondents: It is said that Wrocław is the city of many cultures: Polish, Czech, German, but in fact, it is just a myth. It isn't perceived in everyday life (M/W/05). I had a rather bad opinion about Kazimierz, as Disneyland with lot of pubs, but when I started attending lectures and cultural events there, I realised that Jewish culture is really vivid in this place and is not artiﬁcial (…) look, the synagogues are not rebuilt, they have been there all along (M/K/07). They knew that the multiculturalism of their cities was something that could be used as a good promotional strategy, but even such forms of multiculturalism were appreciated by our respondents —especially so in Wrocław, where the whole advertising strategy is focused on creating an image of the open city, "the city of meetings," where everybody can ﬁnd his or her place among others. Even though they knew that the multiculturalism of Wrocław did not resemble that of the multiculturalism in genuinely diverse cities, they liked this kind of image and identiﬁed with it fully. As one of the respondents pointed out: I mean, what we're talking about, that it's a multicultural city … it's really easy to generalise, to apply that kind of label to Poland, because we don't really know what it's like, what it's like to live with other cultures, let's just say that to me, there has been a slight increase on the whole but that it is a good programme. I'd rather that it looked that way rather than people said that here is just for us and for no one else. I think that Wrocław will have to adjust to the image that it is creating pretty quickly because we are starting to really get that kind of international community here (M/W12). Despite the fact that, in general, multiculturalism is perceived rather as a marketing slogan, respondents in both cities agree that this is a good idea and they want their cities to become multicultural. Thanks to their experiences they seem to be fairly certain that multiculturalism broadens the mind, teaches tolerance and is not a threat to their identity. This is very important especially in the context of a knowledge-based society, which is constituted on creative class according to Richard Florida's (2002) well-known theory. Florida argues that in the contemporary world only cities that are tolerant to a range of people, to ethnic and social diversity, can develop successfully, and this success depends on attracting talented people, including high-technology workers. In other words, the city must utilise a multicultural approach in practice, which respects and promotes difference and creativity, regardless of the character of ethnic and social minorities. These cities possess low barriers for the entry of human capital, because they encourage open-minded and creative people to settle down. Therefore Polish cities started competing against each other for human and creative capital and began building their images as open and tolerant, using an idea of multiculturalism in marketing campaigns in order to stress the uniqueness of their city. This is why their promotional strategies try to include references to their multicultural character, which is supposed to send a clear message that they are open, creative and tolerant. These strategies produce a special discourse which negates those discourses that are based on collective and national content where the most important value is ascribed to the notion of cultural homogeneity and unity. In fact most Polish cities, as well as other Central European cities, are deeply rooted in multicultural heritage, however, as described above, this tradition was perceived as alien and dangerous for an exclusive ethnic culture. Nowadays, we can observe a completely opposite attitude. Multicultural heritage is a valuable feature and can be exchanged for crucial products in a symbolic economy such as, creative capital, human capital and above all tourism. Nowadays, the "others" play an attractive and useful role because they stimulate the local economy, add an additional ﬂavour to a city and they do not compete with Poles for rare resources. Interesting data is found in the Eurobarometer "Perception survey on quality of life in European cities," which was conducted in November 2009 in 75 cities in the EU, Croatia and Turkey. In this survey, respondents were asked if the presence of foreigners is good for the city. Respondents from Krakow 3 were one of the most likely to think that the presence of foreigners was beneﬁcial to their city, just after respondents from Luxembourg and Stockholm. A few other Polish cities also ranked high on the survey: Gdansk was 7, Bialystok 14, and Warsaw 15. Growing Domination of the Symbolic Economy As Allen Scott said: Numerous attempts have been made to characterize the essential features of the new economic order. It has been variously evoked in terms of postindustrial society (Bell 1973), ﬂexible accumulation (Harvey 1987), and postFordism (Albertsen 1988), among other labels, although none of them is satisfactory. Perhaps the best way of alluding to what is at stake here is to say simply that the leading markers of growth and innovation in the contemporary economy are made up of sectors such as high-technology industry, neo-artisanal manufacturing, business and ﬁnancial service, culture production industries (including the media), and so on, and that these sectors constitute a new economy (Scott 2006: 3). In our opinion, the best example of this "new economy" that has been transforming Polish cites is the symbolic economy. According to Sharon Zukin, this can be deﬁned by three points: it is urban; it is based on the production of symbols as basic commodities; and it is based on the production, in a very self-conscious way, of spaces as both sites and symbols of the city and of culture. The problem of the symbolic economy has become a subject of interest in cities because of the decline and relocation of manufacturing facilities, which has left a gap in many traditional industrial economies. The gap, to a small degree, was ﬁlled by the rise of the socalled knowledge-based industries and activities that placed design and innovation at the forefront of production in order to construct images of cities, to attract people and to draw them in to improve the life of the public sphere. Yet the construction of the urban imaginary is not just a deliberate effort by the government, by businesses or by the media. It is also made up of ordinary people living and working in cities and developing a sense of excitement that we ﬁnd in world cities (Zukin 1995). This process, described by Zukin, has been observed since the 1970s but in 3 45% strongly agree and 38% somewhat agree, 6% somewhat disagree, 4% strongly disagree and 6% DK/NA. Poland, for several reasons, we have only identiﬁed it in the last decade. Furthermore, the symbolic economy is not only related to post-industrial cities. Kraków and Wrocław are good examples of this—cities that have never been dominated by industry and industrial culture. Nowadays these cities are building their symbolic image as fresh and vivid, creative places with lots of urban attractions, such as clubs, restaurants, art galleries, museums, festivals, etc., which attract young, well-educated people to settle. In the contemporary world, based mostly on cultural consumption, the workplace is attractive if it is connected with the possibility of consuming the symbolic economy and yet this is inextricably linked with urban culture. Thus, cities are perceived not as dehumanised places as they were before, but rather as places which are conducive to living in, where everybody can fulﬁl themselves, not only in terms of their professions but, above all, through entertainment, lifestyle, hobbies, etc. Today it is consumption, which to a large extent locates individuals in a social structure and inﬂuences the construction of identity. Hence, urbanism as a way of life becomes a desired and much appreciated value and constitutes significant grounds for deﬁning the identities of generations of the "new urban middle class." As a result, the inhabitants of such cities have acquired a symbolic power, which inﬂuences Polish culture and politics.This was also conﬁrmed by our empirical research. Growing Subjectivity The emergence of new identities has also been triggered by the signiﬁcant growth in the freedom of local government, allowing individuals to construct new identities and practice democratic attitudes in everyday life at a grassroots level. Identity is activity—it is action in relation with others, creating and transgressing boundaries, the active realisation of feelings of belonging and symbolic identiﬁcation. Despite the ofﬁcial declaration of self-governance in the Polish system, this self-governance has in fact never existed. This situation started changing as a result of administrative reforms (1999) and an amendment to local elections—the mayors of cities being elected via direct election (2002). This meant that cities gained local leaders who could mobilise and engage citizens and, in fact, we can observe a dynamic increase in local activity as a result, especially in cities that have genuine leaders. This is especially noticeable in Wrocław, where the local authorities were highly regarded by almost each respondent, since they were convinced that the current success of the city resulted from a wellthought out and long-term policy, which had been consistently applied by the same group of people since 1989: At the very beginning the aim of the ruling team was to restore Wrocław to a European dimension, and it has been doing [this] all the time (M/W/12). This growing subjectivity of cities made the new urban class members fragment the picture of national politics and focus their attention and resources on the local scene. What is also very important is the fact that authorities are not perceived through the prism of political afﬁliation. One of the respondents pointed out that one of the most important achievements of the authorities was: To overcome the typical Polish dichotomy "we-others;" people in the city identify themselves as "we" (M/W/12). The mayor of Wrocław (who stresses his political non-alignment) has been in ofﬁce for two terms and 80.8% people in Wrocław still trust him, whereas political parties are trusted by just 10.2% citizens of Wrocław. A very interesting situation in this respect can be observed in Rzeszów —a traditional bastion of Catholicism and the Right, where at the end of his second term the left-wing mayor was trusted by 87.7% of citizens, whereas the Catholic Church was trusted by only 72.4% (SPLOT and PBS DGA, 2010). Both mayors were re-elected for a third term in the ﬁrst round during the last local election (November 2010). In our opinion a good indicator for growing subjectivity could also be civil participation and NGO activity. The new urban middle class wants to be the creators of a social and cultural reality in their surroundings. During our ﬁeldwork we observed the dynamic proliferation of urban NGOs and civil participation. Their activities extend to nearly every aspect of urban life, such as: protecting green zones and local heritage, planning bicycle paths, promoting the city and its culture, etc. However, in this context we observed important differences between inhabitants of Krakow and Wrocław. Inhabitants of these cities undertake their social activities in different ways because their activities are determined by the discourse of the city and its speciﬁc history 4 . Emergence of the Net of Global Cities Another important factor that has contributed to the creation of a "new urban middle class" identity has been the emergence of global cities. According to Saskia Sassen, global cities hold a key position in the new geography of centrality. The annihilation of space in the global economy is countered by the reassertion of the signiﬁcance of place. Global cities are key places in this sense since they host the ﬁnancial districts where global investment decisions are made as well as the producers of services that support the command functions of transactional corporation. Cities that perform such a function often have greater interlinkages between them than they do with their respective regions or nations (Sassen 1998). A discussion was initiated by Sassen on the role of global cities at the beginning of the 1980s concerning, Tokyo, New York and London, and was developed by Manuel Castells in his seminal trilogy The Information Age (1996, 1997, 1998), where he highlights the fact that thanks to communication technologies, an increasing number of cities are being included in networks, thus leading to a deepening of the social phenomenon which Giddens 4 More on this problem see: P. Kubicki 2010. called the "disembedding" of social systems (1990). He deﬁnes this process as "the lifting out of social relations from local contexts of interaction and their restructuring across indeﬁnite spans of time-space" (ibid. 22). For Poland, this global network opened ﬁrst after the transition, but the process accelerated mainly after the accession to the EU, and has started creating new opportunities for cities and their inhabitants. The scale of the circulation of different kinds of goods has risen rapidly over recent years. The new opportunities of joining these ﬂows are also utilised by members of a "new urban middle class," who seem to be very mobile, and among whom international experience is very common. As one of our respondents stated: Well, yes, now it's hard to imagine someone who was born in one place and never left (M/W/07). What was also very telling was the very positive attitude towards transnational experiences gained during and through migration. This inclusion into a network of exchanges allows the dynamic spread of cultural patterns and creates the opportunity to experience multiculturalism and pluralism through direct contacts. In this sense, Polish urban centres are going through a much more dynamic process of social change than the population of smaller towns and villages where a multicultural environment and pluralism is present only via stereotypical images and where cultural or social strangeness is still seen through the prism of threat. In the case of urban culture this heterogeneity and strangeness is associated with positive meanings such as creativity and innovation. Manuel Castells points out that "The dynamics of networks push society towards an endless escape from its own constraints and control, towards an endless reconstruction of its values and institutions (…). Networks transform power relationships. Power in the traditional sense still exists: capitalist over worker, men over women (…). Yet, there is a higher order of power: the power of ﬂows in the networks prevails over the ﬂows of power" (Castells 2002: 133). This means that the traditional elites who possessed symbolic power are now losing it. The real power that produces culture and symbolic meanings is located in the ﬂows. These ﬂows operate between nodes—cities and Polish cities like Wrocław or Krakow are gradually included into the network, which transforms the traditional frame of reference determined by the nation state. For inhabitants of some big cities there is a visible process where a new "signiﬁcant other" emerges. Together with strengthening the collective identity based on an identiﬁcation with the city, one can observe the introduction of new points of reference for shaping these identiﬁcations. For the new urban middle class these new points of reference are simply other cities and their cultures, either Polish or located in other European countries. Conclusions According to the medieval saying Stadtluft mach frei, the city, understood as a social space, creates more opportunities for social agency in a normative sphere. This allows for the creation of new cultural elements which would otherwise be suppressed in a framework of the traditional structure. Therefore, the new urban middle class can be treated as an important player in the process of changing Polish national identity, especially since they are well equipped with three kinds of capital: cultural, social and ﬁnancial. Of these, the most important are the ﬁrst two, which, as was shown during the research on the attitudes of Poles towards European integration, play a key role in creating the kinds of competences which best allow people to cope with the changing consequences of structural social change (Galent, Natanek, Turyk 2001). In our view, this social category is characterised by the highest dynamics of change in their social identity and by the fact that they acquire material and symbolic power that can inﬂuence other segments of the Polish society. We do not want to claim that there is a fundamental difference between the younger and older generations or between the population of the big cities and the rest of the country. We merely think that the changes in social identity among the "new urban middle class" are more intense, and by this token, more detectable. Thanks to their social and cultural resources, they are becoming the most important subjects in building civic and open society. They perceive and treat "the others" as those who they cooperate and sometimes compete with, on the broad free market of material and cultural resources, but they do not treat this competition through a prism of distrust and resentment. References Albertse n, Niels. 1988. 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Urbana: University of Illinois Press. Zuki n, Sharon. 1995, The Cultures of Cities. Cambridge, Mass.: Blackwell. Biographical Notes: Marcin Galent is an Assisstant Professor at the Institute of European Studies, Jagiellonian University, Poland. His PhD research has been focused on immigration in the European Union. His current research focuses on relation between Europeanisation and identity formation processes. Member of the 6 th Framework Research Project: Reconstituting Democracy in Europe and research project: Ethnological Understanding of Cultural Diversity in Central European Urban Spaces. Author of twenty scholarly publications, co-author of the book: Migration and Europeanisation. Changing identities and values among Polish migrants and their Belgian employers NOMOS, Kraków (2009). He held visiting fellowships at Peter Pazmany University, Hungary, University of Leuven, Belgium, University of Osaka, Japan. He was also the coordinator of the Erasmus Mundus Master of Excellence Euroculture Programme at the Jagiellonian University. Paweł Kubicki is an Assisstant Professor at the Institute of European Studies, Jagiellonian University, Poland. He was a member of three international research projects: Ethnological Understanding of Cultural Diversity in Central European Urban Spaces, La Place un patrimoine europée, The Square:a European Heritage and RECON Reconstituting Democracy in Europe. Author of the book: Miasto w sieci znaczeń. Kraków i jego tożsamości (City in a net of meanings. Krakow and its identities), Księgarnia Akademicka, Kraków (2010). He is the coordinator of a post-graduate programme at the Jagiellonian University: Miasto i miejskość. Jak współtworzyć dobre miasto (City and urbanism. How to create a good city).
A&A 608, A46 (2017) Constraining cosmic scatter in the Galactic halo through a differential analysis of metal-poor stars ⋆ Henrique Reggiani 1 , 2 , Jorge Meléndez 1 , Chiaki Kobayashi 3 , Amanda Karakas 4 , and Vinicius Placco 5 1 Universidade de São Paulo, Instituto de Astronomia, Geofísica e Ciências Atmosféricas, IAG, Departamento de Astronomia, rua do Matão 1226, Cidade Universitária, 05508-900, SP, Brazil e-mail: email@example.com 3 Centre for Astrophysics Research, School of Physics, Astronomy and Mathematics, University of Hertfordshire, College Lane, Hatﬁeld AL10 9AB, UK 2 Max-Planck Institute for Astronomy, Konigstuhl 17, 69117 Heidelberg, Germany 4 Monash Centre for Astrophysics, School of Physics & Astronomy, Monash University, Clayton VIC 3800, Australia 5 Department of Physics, JINA Center for the Evolution of the Elements, University of Notre Dame, Notre Dame, IN 46556, USA Received 8 March 2017 / Accepted 1 September 2017 ABSTRACT Context. The chemical abundances of metal-poor halo stars are important to understanding key aspects of Galactic formation and evolution. Results. We present the abundances of Li, Na, Mg, Al, Si, Ca, Sc, Ti, V, Cr, Mn, Co, Ni, Zn, Sr, Y, Zr, and Ba. The diﬀerential technique allowed us to obtain an unprecedented low level of scatter in our analysis, with standard deviations as low as 0.05 dex, and mean errors as low as 0.05 dex for [X/Fe]. Aims. We aim to constrain Galactic chemical evolution with precise chemical abundances of metal-poor stars (−2.8 ≤ [Fe/H] ≤−1.5). Methods. Using high resolution and high S/N UVES spectra of 23 stars and employing the diﬀerential analysis technique we estimated stellar parameters and obtained precise LTE chemical abundances. Conclusions. By expanding our metallicity range with precise abundances from other works, we were able to precisely constrain Galactic chemical evolution models in a wide metallicity range (−3.6 ≤ [Fe/H] ≤−0.4). The agreements and discrepancies found are key for further improvement of both models and observations. We also show that the LTE analysis of Cr II is a much more reliable source of abundance for chromium, as Cr I has important NLTE eﬀects. These eﬀects can be clearly seen when we compare the observed abundances of Cr I and Cr II with GCE models. While Cr I has a clear disagreement between model and observations, Cr II is very well modeled. We conﬁrm tight increasing trends of Co and Zn toward lower metallicities, and a tight ﬂat evolution of Ni relative to Fe. Our results strongly suggest inhomogeneous enrichment from hypernovae. Our precise stellar parameters results in a low star-to-star scatter (0.04 dex) in the Li abundances of our sample, with a mean value about 0.4 dex lower than the prediction from standard Big Bang nucleosynthesis; we also study the relation between lithium depletion and stellar mass, but it is diﬃcult to assess a correlation due to the limited mass range. We ﬁnd two blue straggler stars, based on their very depleted Li abundances. One of them shows intriguing abundance anomalies, including a possible zinc enhancement, suggesting that zinc may have been also produced by a former AGB companion. Key words. stars: abundances – stars: evolution – stars: Population II – Galaxy: abundances – Galaxy: evolution – Galaxy: halo 1. Introduction The information imprinted in the chemical patterns of metalpoor ([Fe/H] ≤−1.0) stars hold one of the keys to understanding the formation and evolution of the Milky Way in its early stages (Eggen et al. 1962; Searle & Zinn 1978). These objects arguably oﬀer the most powerful insights into the evolution, nucleosynthetic yields, and properties of the ﬁrst supernovae, they constrain the shape of the IMF, and provide clues to the rise of the s- and r-processes in the Galaxy and the sites that produce them (Audouze & Silk 1995; Ryan et al. 1996; Shigeyama & Tsujimoto 1998; Chieﬃ & Limongi 2002; Umeda & Nomoto 2002; Meynet et al. 2010). Studies of metal-poor stars are usually focused on extremely metal-poor stars ([Fe/H] ≤−3.0 − EMP) (e.g., Cayrel et al. 2004; Arnone et al. 2005; Cohen et al. 2008; Bonifacio et al. 2009; Hollek et al. 2011; Aoki et al. 2013; Yong et al. 2013; Jacobson et al. 2015), or in CEMP, carbon enhanced metal-poor, stars (e.g., Aoki et al. 2007; Spite et al. 2013; Keller et al. 2014; Placco et al. 2014, 2016a,b), which are the objects most likely to hold the keys to uncover details of the ﬁrst generation of stars, the Pop III stars. There are also studies of the more metal-rich end of metal-poor stars (Nissen & Schuster 2010; Schuster et al. 2012; Ramírez et al. 2012; Fishlock et al. 2017), focused on stars of metallicities [Fe/H] ≥−1.5, which provide evidence of extra-galactic stars in the Milky Way halo. ⋆ Tables A.1–A.6 are also available at the CDS via anonymous ftp to cdsarc.u-strasbg.fr (184.108.40.206) or via http://cdsarc.u-strasbg.fr/viz-bin/qcat?J/A+A/608/A46 However, there is a gap in metallicities between −2.5 ≤ [Fe/H] ≤−1.5, where there are few comprehensive studies of accurate chemical abundances and as such there are signiﬁcant gaps when comparing to models of Galactic chemical evolution (e.g., Chiappini et al. 1999, for a comparison using robust statistics; Cescutti 2008, for a stochastic model; Kobayashi & Nakasato 2011, for a chemodynamical simulation). With this gap in precise abundances, model results are often compared to inhomogeneous works, obtained with diﬀerent spectral resolutions and analysis methods causing large spreads in the [X/Fe] ratios, and making it very diﬃcult for models to be properly constrained. In this metallicity range mixing in the interstellar medium (ISM) would not have been active long enough to make all observed scatter statistical, as is the case of metal-rich stars. Thus, an extensive spread in the data would indicate the presence of real cosmic scatter and/or inhomogeneous mixing in the ISM, which could be due to the presence of diﬀerent populations (as found by Nissen & Schuster 2010). For this reason, studies of these objects can also give us important insights into the accretion of extra-galactic stars by the Milky Way. However, to uncover such details, we must obtain precisions at the level of 0.05 dex. In order to accomplish that, we make use of the diﬀerential technique. Recently, the diﬀerential technique in twin stars (meaning stars with similar stellar parameters), made it possible to considerably improve the precision achieved in spectroscopic studies. This was possible because many error sources, such as imprecise log(g f ) values, largely cancel out, allowing a much better precision in the determination of relative stellar parameters and abundances. Studies with this technique have been used to recognize planet signatures on the chemical composition of stars (Meléndez et al. 2009; Ramírez et al. 2009; Tucci Maia et al. 2014; Biazzo et al. 2015), stellar evolution effects (Monroe et al. 2013; Tucci Maia et al. 2015; Carlos et al. 2016), chemical evolution as a function of age in the solar neighborhood (Nissen 2015; Spina et al. 2016), chemical abundance anomalies in globular clusters (Yong et al. 2013) and open clusters (Önehag et al. 2014; Liu et al. 2016b,a), distinct populations in the metal-rich halo (Nissen & Schuster 2010) and distinct chemical abundances in EMP stars by Reggiani et al. (2016). O'Malley et al. (2017) has also employed a diﬀerential analysis for an exploratory work on main sequence −2.7 ≤ [Fe/H] − 1.4 stars. The abundance analysis they performed, however, is based on spectra of lower quality than in the present work, acquired using diﬀerent instrumentation, and only a few elements were explored. In this context we present a LTE diﬀerential study of the chemical abundances of 18 elements (Li, Na, Mg, Al, Si, Ca, Sc, Ti, V, Cr, Mn, Co, Ni, Zn, Sr, Y, Zr and Ba), in 23 metal-poor stars, and compare the results with a chemical evolution model, which we describe in Sect. 4. The paper is divided as follows: in Sect. 2 we describe observations and data reduction, we detail the stellar parameters in Sect. 3, comparing our parameters to other works in Sect. 4. Chemical abundances and results are shown in Sect. 5, and lithium is studied in Sect. 6. The pair of blue straggler stars are discussed in Sect. 7 and conclusions are presented in Sect. 8. 2. Observations and data reduction 2.1. Sample selection and observations All stars observed in this work were selected due to a proximity in their stellar parameters that allowed us to obtain precise abundances through the diﬀerential technique. Using the updated catalog of stellar parameters of Ramírez & Meléndez (2005), we selected 26 stars with previous assessments of stellar parameters within: Teﬀ = 6250 ± 250 K, log g = 4.0 ± 0.5 dex and metallicities − 2 . 8 ≤ [Fe / H] ≤− 1 . 5, and brighter than V = 12, which assured that we were able to observe all stars in a reasonable time (up to 2 h of exposure time) and S / N ∼ 150 − 250. The observational data were obtained with the UVES spectrograph (Dekker et al. 2000) at the 8.2 m VLT telescope, during 2015A (project 095.D-0504(A)). All the spectra were taken with the same instrumental conﬁguration, which guarantees similar spectra quality and improves the precision in a line-by-line differential analysis. The blue side of the spectra has an eﬀective range from 3300 Å to 4500 Å, and the red side of the spectra has a range of 4800−6800 Å. We used a 0.8 ′′ slit on both arms of the spectrograph, with a ﬁnal resolution of R ≈ 50 000 per pixel in both the blue arm and red arms. The average S/N of the sample is: S/N ≈ 130 at 4000 Å and S/N ≈ 250 at 6000 Å. Of the original 26 observed stars, we removed three from the ﬁnal analysis. Two of them were too metal-rich, and one star has a very high rotation. All three were excluded from the analysis for not being compatible with the remainder of the sample. 2.2. Data reduction The bias and ﬂat ﬁeld corrections, order extraction and wavelength calibration, were performed by the UVES-Echelle pipeline. Barycentric and radial velocity corrections were performed automatically via the IRAF package for python (pyraf) and the spectra normalization were performed manually for each spectra via IRAF. After the normalization process the spectra of each star were combined for the abundance analysis. 3. Stellar parameters We have performed manual EW measurements, via the splot task in IRAF using Gaussian proﬁle ﬁtting, for our entire sample, measuring a given line one at a time in all stars, which assures that the continuum placement of a given line is the same for all the stars, reducing the ﬁnal abundance errors. We employed the semi-automatic q2 1 code (Ramírez et al. 2014), with MARCS plane-parallel 1D model atmospheres (Gustafsson et al. 2008) and the 2014 version of the LTE analysis code MOOG (Sneden 1973). The log(g f ) values and energy levels of our linelist are from the Vienna Atomic Line Database (VALD). The Fe I lines were updated using data from Den Hartog et al. (2014) and transition probabilities for the Fe II lines are from Meléndez & Barbuy (2009). The Ti II values were updated using Lawler et al. (2013). Nevertheless, we note that the choice of log(g f ) values is inconsequential in a diﬀerential analysis. We started by performing an absolute spectroscopic measurement of the stellar parameters. Using excitation equilibrium for determining Teﬀ, ionization equilibrium for log g, allowing no trend of Fe I line abundances with respect to the reduced EW gave us the microturbulence (v T), and using the measured EW, we obtained the initial [Fe/H] for all stars. Analyzing the preliminary spectroscopic results we chose stars HD 338529 and CD-48 2445 as our reference objects because the stellar parameters are in between the initial guess for the parameters of our other targets. We have chosen two diﬀerent standard stars because the range in metallicity of our complete sample is too large. Thus, we separated the sample into two, with −2.1 ≤ [Fe/H] ≤−2.7 and −2.1 ≤ [Fe/H] ≤−1.4. 1 https://github.com/astroChasqui/q2 We opted to use as our initial stellar parameters of HD 338529: Teﬀ = 6426 ± 50 K from the infrared ﬂux method (IRFM, Meléndez et al. 2010), log g = 4.09 ± 0.03 dex from the GAIA parallax and, using our EW, we obtained [Fe/H] = −2.29 and v T = 1.5 km s − 1 . The initial stellar parameters of CD-48 2445 are: Teﬀ = 6453 ± 50 K from the IRFM (Meléndez et al. 2010), log g = 4.23 ± 0.03 dex from the GAIA parallax and, using our EW, we obtained [Fe/H] = −1.96 and v T = 1.5 km s − 1 . Then, we employed a strictly line-by-line diﬀerential approach (e.g., Reggiani et al. 2016; Meléndez et al. 2012; Yong et al. 2013; Ramírez et al. 2015) to obtain the stellar parameters for the remaining targets. Using as reference the Fe I and Fe II abundances from HD 338529 and CD-48 2445, we determined Teﬀ through diﬀerential excitation equilibrium (e.g., Fig. 1). The Teﬀ have an overall good agreement with the IRFM values from Meléndez et al. (2010), when available. We obtained the log g through diﬀerential ionization equilibrium, and v t by allowing no trend in the diﬀerential Fe I line abundances with reduced EW (e.g., Fig. 1), and found [Fe/H] with our line measurements. The errors for the atmospheric parameters include the degeneracy of the parameters and were determined strictly through a diﬀerential approach. The adopted stellar parameters, including errors, are provided in Table A.1. 4. Comparison with other works In order to check the consistency of the adopted atmospheric parameters, we have compared them to three diﬀerent studies. The ﬁrst is Sitnova et al. (2015) with ﬁve stars in common, the second is Bensby et al. (2014) with ﬁve stars in common, and Meléndez et al. (2010) with nine stars in common. We have calculated the diﬀerence from the atmospheric parameters (Teﬀ and log g) of each of the works cited above and our study, and calculated the median (less sensitive to the presence of outliers) of the absolute diﬀerence: ∆Tmedian = 66 K, and ∆ log g median = 0.18. For the median discrepancy in temperature between our Teﬀ and those of the above references we ﬁnd ∆Tmedian = 66 K. This shows that the temperature is within a reasonable agreement between the works cited above, as the median is very similar to our calculated measurement errors and always smaller than the combination between our errors and the errors of the other works. Sitnova et al. (2015) determined log g by using as a ﬁrst guess the log g from H ipparcos parallaxes and adjusting them to obtain ionization balance, and Bensby et al. (2014) by applying a correction to log g (from ionization balance) after a comparison between the diﬀerent methods they used (which included parallaxes measurements from H ipparcos ). Meléndez et al. (2010) determined Teﬀ using the IRFM, while the surface gravities are from a compilation of literature values. The median discrepancy in surface gravity is ∆ log g median = 0.18 dex, which is at the upper limit of our uncertainties, but within the combined error bars of our errors and those from the literature. We note that there are diﬀerences both in the methods and data used to estimate this parameter. For example, while we used the more precise GAIA parallaxes for our standard stars, previous works used the more uncertain H ipparcos parallaxes. For the other stars in our sample we determined log g with our diﬀerential spectroscopic approach, relative to our two standard stars, which are representative of our metal-poor sample. In this regard, we remark that other works use the Sun as a standard star, which might not be the best choice due to the large diﬀerence in stellar parameters between the Sun and such metal-deﬁcient stars. The largest discrepancies are between our results and the recent work of Sitnova et al. (2015). In their work they have calculated the eﬀective temperatures using diﬀerent IRFM data sources and performed corrections of up to 50 K to obtain the ionization balance of Fe I and Fe II NLTE measurements and remove the slope in [Fe/H] vs. Eexc (excitation energies). They also employed a diﬀerential approach to calculate the parameters of their non benchmark stars, using the Sun as a standard point of comparison. 5. Chemical abundances All the chemical abundances presented here are the result of a line-by-line diﬀerential analysis. The solar abundances used in this work are all from Asplund et al. (2009). We present the abundances in Figs. 2 to 6, and in Tables A.2 to A.5. In Figs. 2 to 5 we plot the K15 model (Sneden et al. 2016; Zhao et al. 2016), which is the updated Galactic chemical evolution (GCE) of Kobayashi et al. (2011, hereafter K11). We note that Kroupa IMF is applied in K15 and K11 models, while the Salpeter IMF is applied in Kobayashi et al. (2006). These models give almost the same results, except for C, N, Sc, Ti, V, Co, and Zn (see Sect. 5.1 for more details). Two stars with extremely low lithium abundances, which could be blue stragglers, are indicated in the ﬁgures. Their chemical abundances have not been used to calculate the linear regression slopes of our data, the standard deviations and the mean errors presented in the ﬁgures. Although we do not use these values it is important to stress that the errors from their measurement do not increase the mean errors of the remaining sample, as they are similar to the errors of the rest of the sample. We also added to the ﬁgures, when available, data from other precise works on unevolved stars, in order to compare observations and the galactic evolution model in a wider metallicity range (−3.6 ≤ [Fe/H] ≤−0.4). For EMP stars we add the work from Andrievsky et al. (2007, 2008), Bonifacio et al. (2009), A&A 608, A46 (2017) Mean:0.32; Mean_error:0.06; Standard_Deviation:0.06 Mean:0.16; Mean_error:0.07; Standard_Deviation:0.05 [Fe/H] [Fe/H] Fig. 2. [X/Fe] abundances for α-elements (Mg, Si, Ca and Ti). The green line represent the best linear ﬁt to the data and the slope is shown in the plots. The black line is the GCE prediction. The mean diﬀerential, our errors and the standard star-to-star scatter (standard deviation) for each element (for our measurements) are shown in top of each panel. The blue crosses are data of EMP stars from Bonifacio et al. (2009), the blue and red triangles are metal-poor stars from Nissen & Schuster (2010), the black ﬁlled circles are the data measured in this work and the red ﬁlled circles are the blue straggler stars from this sample. 1.00 As mentioned in Sect. 3 we have separated our sample in two. We have scaled the diﬀerential abundances of Sample 2, as designated in Table A.1, based on the absolute abundances of the standard star of Sample 2, while the diﬀerential abundances of Sample 1 were scaled using the standard star of Sample 1. 5.1. Light even-Z metals The abundances of α-elements can be seen in Fig. 2 and Table A.2. 5.1.1. Magnesium Abundances of magnesium were determined based on 8 Mg I lines, and for each star we used only lines with EW ≥ 10 mÅ. As can be seen in Fig. 2 the star-to-star standard deviation of our diﬀerential [Mg/Fe] measurements is 0.06 dex, which is the same as the average error found. The small negative slope of −0.06 ± 0.04 in our results, is in good agreement with the GCE prediction of a ﬂat slope in the observed metallicity region. Previous comparisons with model data, such as the comparison in Kobayashi et al. (2006), are unable to constrain the behavior due to the large scatter in the data. However, the comparison data used in the aforementioned work is based on data from diﬀerent authors, using diﬀerent analyses and data sets, resulting in a large dispersion, which means it was not possible to constraint their results based on data with deviations as small as presented in this work. To exemplify the data dispersion, we have gathered [Mg/Fe] data from the SAGA database (Suda et al. 2008, 2011; Yamada et al. 2013) with the following search parameters: 6000 ≤ Teﬀ ≤ 6500, 3.5 ≤ log g ≤ 4.5 and −2.8 ≤ [Fe/H] ≤ −1.5, to mimic the coverage in stellar parameters of our sample. We plotted all the data returned, even the same object with from the First Stars large program turn-oﬀ objects, and for the more metal rich end we add data from Nissen & Schuster (2010, 2011) and Fishlock et al. (2017). We present these latter data in the ﬁgures (high-α and low-α, as deﬁned in Nissen & Schuster 2010). We also emphasize that the above studies are based on dwarf stars of comparable atmospheric parameters as our data set. It is important to stress that the mean values, mean errors, standard deviations, and data slopes are calculated using only our data set. The slopes calculated for the GCE model are the slopes for the −2.7 ≤ [Fe/H] ≤−1.5 region, which is the metallicity covered by our data set. [Fe/H] Fig. 4. Same as Fig. 2 for light odd Z elements (Na, Al and Sc). The data for EMP stars (blue crosses) for Na, Al, and Sc come from Andrievsky et al. (2007, 2008), Bonifacio et al. (2009) respectively, the data for the metal rich end for Na, and Sc (triangles) are from Nissen & Schuster (2010), Fishlock et al. (2017) respectively, the black ﬁlled circles are the data measured in this work and the red ﬁlled circles the two blue straggler stars from this sample. several measurements, with a total of 364 data points, which can be seen in Fig. 3. Data points from the SAGA database and the stars from our sample are both plotted. We also show the linear ﬁt to our data and the galactic chemical evolution model prediction. As can be seen, the SAGA data agrees with the model predictions within measurement errors, in contrast to our abundance ratios which are not compatible with the GCE model. This happens because the data spread in SAGA is about 1 dex, ranging from ≈−0.2 to ≈+0.8 dex. With such a high dispersion, it is not possible to precisely constrain model results, as anything within that large range can be ﬁtted. The deviation between model and observations for [Mg/Fe] also extends to the works of Bonifacio et al. (2009) and Nissen & Schuster (2010), which can be seen in Fig. 2. As in our case, their sample of unevolved stars are very homogeneous. The bigger dispersion in the Bonifacio et al. (2009) results probably arise from the fact that at lower metallicities the ISM may have been more inhomogeneous. It is also interesting to see how the two populations found by Nissen & Schuster (2010) merge into one at the metal-poor end of their sample and continue without any discernible distinction from our sample toward lower metallicities. These data are important to verify the galactic chemical evolution model in a wider metallicity range. We notice that the GCE model starts to match the observational [Mg/Fe] data only at the metal-rich end. The mean absolute value we found for Mg is [Mg/Fe] = +0.32 ± 0.06 dex, which is within the expected values for the metallicity range and our low scatter is a very good improvement over what has been previously reported. Bonifacio et al. (2009) found a mean value of [Mg/Fe] = +0.21 dex with a standard deviations of 0.10 dex. This observed diﬀerence is likely due to the diﬀerent samples, analyses and errors. The diﬀerence from our work and the study of giant EMP stars by Cayrel et al. (2004) is smaller. They found a mean [Mg/Fe] ≈ +0.27 ± 0.10 dex. But, as mentioned by Bonifacio et al. (2009), part of this discrepancy may be due to problems in line measurements of Cayrel et al. ( 2004 ), also described in Sect. 3.3 of Andrievsky et al. ( 2010 ). Our mean [Mg/Fe] = 0.32 dex is also in agreement with the mean [Mg/Fe] = 0.29 ± 0.07 dex found by Zhao et al. (2016) in their NLTE analysis (in the same metallicity region). The departures from NLTE are small for Mg (Zhao et al. 2016), hence the very good agreement with our results. They also found an oﬀset between their NLTE abundances and the K15 GCE model of ∼0.25 dex, which is the same as the mean discrepancy of our data (0.24 dex). We note that Zhao et al. (2016) showed that [O/Fe] is consistent with the K15 GCE model at [Fe/H] ∼−1. This means that the model [O/Mg] is inconsistent with these observations, which is not a problem of galaxy evolution but of nucleosynthesis yields. There is an uncertainty in C(α, γ)O reaction, and the observations of stellar abundances suggest that the rate adopted in Kobayashi et al. (2006) yields (1.3 times the value given in Caughlan & Fowler 1988) is not correct. To constrain the rate, it is necessary to use 3D and NLTE analysis for both Mg and O. 5.1.2. Silicon Our silicon abundances are based on only one measured line (3905.523 Å), which is blended with CH, but is the only line that can be detected in all of our stars. Silicon has a mean error of 0.07 dex that is higher than the star-to-star standard deviation of 0.05. The calculated 0.02 ± 0.04 slope in our data is ﬂatter when compared to the model prediction of −0.06 slope. The galactic chemical evolution model has a plateau at about 0.6 dex and there is a large oﬀset between the data and the model of ≈0.2 dex. The mean abundance we found, [Si/Fe] = +0.16, is in agreement with the data from both (Bonifacio et al. 2009, 0.09 dex) and (Nissen & Schuster 2010, 0.25 dex), thus our work connects the low and high-metallicity studies. [Fe/H] Fig. 5. Same as Fig. 2 for iron peak elements (V, Cr, Mn, Co, Ni and Zn). The blue crosses are data from Bonifacio et al. (2009), the red and blue triangles are the Nissen & Schuster (2010, 2011) measurements, the black ﬁlled circles are the data measured in this work and the red ﬁlled circles the two blue straggler stars from this sample. The discrepancy between model and observations seen in this work are also observed in Zhao et al. (2016). Their mean NLTE abundances for the region −2.6 ≤ [Fe/H] ≤−1.4 is +0.32 dex, which still has a considerable diﬀerence from the mean ≈0.59 dex given by the model in the same region. Thus, although there are important NLTE corrections to be made in the silicon abundances, the diﬀerence between model and observations are not reconciled by the more accurate abundance estimate provided by the NLTE calculations. 5.1.3. Calcium We measured Ca abundances from Ca I lines. We only considered lines with EW ≥ 10 mÅ. Calcium is one of the best ﬁts between all the data sets and GCE model predictions. As can be seen in Fig. 2 the agreement between data and predictions is impressive. It is also remarkable that the calcium slope is the same as magnesium. The GCE model agrees with almost all of our data within the error bars (0 . 05 dex), which are considerably lower than previous works; notice also that our error is the same as the star-to-star standard deviation of our sample. On the more metal-rich end, we see that the highα population is in better agreement with the model predictions, which support the conclusion by Nissen & Schuster ( 2010 ) that the lowα stars might have originated in a di ﬀ erent environment (dwarf spheroidal galaxies). At the metal-poor end we see that the data from Bonifacio et al. ( 2009 ) agrees well with the model predictions, but once again has a higher dispersion, which is not uncommon to EMP stars. The slope we found from our data set is the same as that found for Mg, which is produced via the same mechanism as Ca, but the Ca slope has a better agreement between data and model prediction. Our mean [Ca/Fe] = 0.37 dex agrees very well with Kobayashi et al. (2006), which predicts a plateau of [Ca/Fe] ≈ 0.27−0.39 for the metallicity range −3 ≤ [Fe/H] ≤ −1, which also matches the mean value from Arnone et al. (2005) ([Ca/Fe] = +0.37). As seen before (Bonifacio et al. 2009), we ﬁnd a small diﬀerence between our work with dwarfs and the study with giants of Cayrel et al. (2004), that found a somewhat lower value in their sample. Zhao et al. (2016) reported a mean [Ca/Fe] = 0.32 ± 0.08, that also agrees with our own results and the K15 model. The discrepancy between observations and the K15 model also extends to the NLTE analysis of Zhao et al. (2016), although they found a somewhat smaller abundance [Ti/Fe] = 0.30 ± 0.05, decreasing the discrepancy with the model. We emphasize that, within the errors, the results of Zhao et al. (2016) are compatible with ours. 5.1.4. Titanium There were approximately 50 lines of titanium measured, including Ti I and Ti II. The diﬀerential results for both species are very homogeneous (the mean values of Ti I and Ti II diﬀer in 0.04 dex only). Our Ti data has a slope of −0.13 ± 0.04 and the galactic evolution model predicts a slope of −0.04. There is also an oﬀset of ≈0.4 dex between model and our data. Even larger discrepancies had already been seen in Kobayashi et al. (2006), and the eﬀects of jet-like explosions to enhance Ti, ﬁrst proposed by Maeda & Nomoto (2003), has been applied in the K15 GCE model plotted here. But these eﬀects are not enough to remove the discrepancy with the observed data. The mean value (averaging Ti I and Ti II) is [Ti/Fe] = 0.41 dex. The overall behavior of Ti, also considering the data sets from Bonifacio et al. (2009), Nissen & Schuster (2010), is a decrease in [Ti/Fe] with an increase in metallicity. At the more metal-rich end the model seems to agree with the low-α population, which is in contrast with what is seen in [Ca/Fe]. If we are to interpret the low-α as a population from another environment, we should expect that [Ti/Fe] to be in agreement with the high-α population, born in the Milky Way. Thus, the model and observations of Ti also do not match at the more metal-rich end, although the discrepancy is smaller. The results presented in Fig. 2 do not indicate the presence of any extra-galactic objects or diﬀerent populations other than regular Milky Way metal-poor stars in our sample of very metalpoor objects. However, it is important to stress that the star-tostar scatter in our abundances is similar to the abundance errors, thus, to fully discard the presence of separate populations, it is necessary to obtain better data, with higher S/N and spectral resolution, which will improve the errors to a level below the current observed star-to-star scatter, hence bringing tighter constraints on the true cosmic scatter in metal-poor stars. The comparison between GCE model and observations show that there still is a discrepancy of ∼0.3 dex in Mg, Si, and Ti predictions, but Ca nucleosynthesis seems to be very well deﬁned in the K15 model, matching the observations from EMP to almost solar metallicity stars. 5.2. Light odd-Z metals All the odd-Z light elements results can be seen in Fig. 4 and Table A.3. 5.2.1. Sodium The LTE diﬀerential results have the largest star-to-star standard deviation among the light elements (0.17 dex) and a mean error of 0.09 dex with a slope of +0.35 ± 0.09, much higher than the 0.17 predicted by the GCE model. Such high star-to-star standard deviation and steep slope had already been reported by other authors (e.g., Cayrel et al. 2004). The absolute mean value we found [Na/Fe] = +0.22 dex, is much higher than the −0.07 dex predicted by the GCE model. It is well known, however, that there are considerable NLTE departures for sodium that can change the estimated abundances up to 0.5 dex (Baumueller et al. 1998), especially on the resonant 588.9 and 589.5 nm lines that were used to determine the LTE diﬀerential abundances. We corrected our abundances using the Lind et al. (2011) data, available trough the Inspect 2 project. These corrections were done to each of the resonant lines, which suﬀer large NLTE eﬀects and saturate on the more metal-rich stars. After taking the useful suggestions from the referee we also added measurements of the 568.2 and 568.8 nm lines (which are less sensitive to NLTE departures) when the lines were clearly measurable – stars with [Fe/H] ≥−2.1 (except for a couple of stars where the lines were not detected due to bad S/N in that region of the spectra). The ﬁnal [Na/Fe] abundances are listed in Table A.3 and shown in Fig. 4. With the NLTE corrections, the behavior of our sample is in good agreement with the data from other works, making a solid "bridge" between the EMP and MP stars, and the slope (−0.02 ± 0.08) is in better agreement with the model. The starto-star standard deviation of 0.12 dex is also similar to the scatter of 0.13 dex found by Andrievsky et al. (2007). Since Na production highly depends on the initial metallicity of progenitor stars, it is very unlikely to have a negative slope in the [Na/Fe] evolution. It is also important to see how the observations begin to deviate from the model for metallicities [Fe/H] ≥−2.2, probably due to problems in the NLTE treatment of the data. Better measurements of the weaker 568 nm lines in all the stars could possibly alleviate the issue. The considerable NLTE corrections had a major eﬀect on the mean [Na/Fe]. The LTE mean is [Na/Fe] = +0.22 dex, while the NLTE result is [NaNLTE /Fe] = −0.22 dex. In contrast to the halo data shown in Kobayashi et al. (2006), the scatter in our results are small. It is also worth mentioning that with the applied corrections the scatter in our data is smaller, which might validate the adopted NLTE corrections. Sodium abundances from Zhao et al. (2016) are well reproduced by the K15 model, but their observations have a larger scatter than what we ﬁnd here. We also see the Na overproduction for higher metallicities in the K15 model, when compared to their measurements, also seen in the [Na/Fe] shown here, from Nissen & Schuster (2010). We note the Na overproduction of AGB stars has been solved in the Karakas (2010) yields, and this problem is likely to be caused by the metallicity dependence of core-collapse supernovae. 5.2.2. Aluminum As for sodium, NLTE eﬀects play an important role in aluminum abundances in metal-poor stars. It can be seen from the lower panel of Fig. 2 of Andrievsky et al. (2008) that in the temperature, surface gravity, and metallicity range of our stars, the NLTE corrections are almost constant (they range from 0.6 to 0.7 dex). This is a similar result to what was seen in the correction grid provided by Baumueller & Gehren (1997). Thus, we applied the same correction of +0.65 dex to all our stars, which left the diﬀerential abundances, and errors, unaltered. However, it is important to use these corrections with caution, because as pointed by Andrievsky et al. (2008), the shapes of the LTE and NLTE proﬁles are diﬀerent, therefore spectral synthesis is more appropriate than NLTE corrections. As we did not have 2 http://inspect-stars.com/ access to the NLTE spectral synthesis of Al, we chose to use NLTE corrections to assess their eﬀect on the GCE. The Al data scatter and the mean error are on the same level (0.09 and 0.08 dex), which indicates a very small, if any, astrophysical scatter for Al in our sample. The scatter we found is similar to the low standard deviation of the turnoﬀ objects published in Andrievsky et al. (2008; 0.09 dex), both our work and that of Andrievsky et al. (2008) have a lower scatter than the LTE work by Cayrel et al. (2004; σ Al = 0.21). When compared to the GCE model, there is a small disagreement. In Fig. 4 we see that the data from Andrievsky et al. (2008) agrees with the model prediction until [Fe/H] ∼−3. For higher metallicities there is a disagreement of up to 0.25 dex and the overall behavior is a ﬂat slope. Notice that the more metal-rich stars from Andrievsky et al. (2008) are in good agreement with our data. Albeit there is discrepancy between the model predictions and our data, which fall lower than predicted, a more proper NLTE approach should be followed to conﬁrm this behavior. Although there is a discrepancy, our results have a much smaller scatter than previous works and, along with quality data on diﬀerent metallicities ranges, will be important to improve GCE models. Zhao et al. (2016) found a similar result in his NLTE analysis. The Al trend in the K15 model is similar to the Na trend, and there is an oﬀset of ∼0.25 dex between data and model. Our oﬀset is slightly higher (0.29 dex), but the overall behavior of the data is similar and supports the previous work. The mismatch of [Na/Al] at low metallicity might also be related to the mismatch of [O/Mg] ratios. 5.2.3. Scandium Our Sc abundances were measured using Sc II lines. We corrected the lines for hyperﬁne structure using HFS data from Kurucz 3 linelists. The scatter in our sample is 0.07 dex, which is the same as reported by Cayrel et al. (2004) and also very similar to the ∼0.1 dex standard deviation on Bonifacio et al. (2009). One could expect a higher scatter for Sc abundance, compared to other elements, due to the fact that the nucleosynthesis of this element is heavily dependent on the mass of the progenitor (Chieﬃ & Limongi 2002). We, however, ﬁnd the scatter of Sc to be at the same level as in the other light elements. The overall behavior of our data points is consistent with previous results from Cayrel et al. (2004) and follow closely what was found by Bonifacio et al. (2009) and seems to be quite in good agreement with the trend they found. It is intriguing to observe that both Bonifacio et al. (2009) and our work have [Sc/Fe] ratios signiﬁcantly higher than the metal-rich halo stars studied by Fishlock et al. (2017), which are from the high and low-α populations from Nissen & Schuster (2010). Their analysis was based on spectral synthesis and χ 2 minimization of one Sc II line, while ours was performed via analysis of the curve of growth, both using MOOG (Sneden 1973). Although at ﬁrst sight we could think of systematic errors, our curve of growth LTE analysis of Sc in a star from the Nissen & Schuster (2010), shows that indeed the metal-rich halo stars have [Sc/Fe] ratios slightly lower than solar (Reggiani & Melendez, in prep.). There is a disagreement between scandium measurements (ours and Bonifacio et al. 2009) and the galactic chemical evolution model, but such a diﬀerence was already reported in Kobayashi et al. (2006). In that work there is a diﬀerence of almost 1 dex, while the diﬀerence with our data is about 0.7 dex. This is likely due to the eﬀect of jet-like explosions applied to the K15 model (Sneden et al. 2016). Sc yields could be more enhanced by the ν process (Kobayashi et al. 2011), which is not included in the K15 model. Interestingly the GCE model agrees better with the data from Fishlock et al. (2017) for the more metal-rich stars. The [Sc/Fe] data by Zhao et al. (2016) follows a similar behavior to our data, Bonifacio et al. (2009) and Fishlock et al. (2017), showing a disagreement with the K15 model at low metallicities and an agreement for the metal-rich objects. However, the Zhao et al. (2016) scandium abundances are lower ([Sc/Fe] ∼ 0.2 dex versus our [Sc/Fe] ∼ 0.3 dex), and do not have a big oﬀset between the more metal-poor and more metalrich stars, thus having a somewhat smaller diﬀerence when compared to the K15 model. That indicates that a NLTE treatment is more accurate for Sc measurements for more metal-poor stars. 5.3. Iron-peak The results for the iron-peak elements are presented in Fig. 5, and in Table A.4. 5.3.1. Vanadium Vanadium abundances were calculated from V II lines with hyperﬁne structure data from Wood et al. (2014). There are only a few abundances of V for halo stars in Kobayashi et al. (2006) and the data points are scattered, which shows the diﬃculty in comparing model results with actual data. Our results indicate a slope of −0.25 ± 0.06, that is steeper than the GCE predictions. The data results are also somewhat higher than the GCE model, as previously seen in Kobayashi et al. (2006) and in the K15 model with the eﬀects of jet-like explosions. As for Sc, V yields could be enhanced by the ν process (Kobayashi et al. 2011). The mean error and scatter are on the same level. It is puzzling the extremely lower V abundance of one of the blue straggler stars; this will be discussed further in Sect. 7. 5.3.2. Chromium In previous works, such as Cayrel et al. (2004), Cr is found to have a positive slope, meaning a decreasing abundance with decreasing metallicity. Bonifacio et al. (2009) also found a similar behavior for their turnoﬀ stars (see their Fig. 8). Our Cr I data is consistent with that behavior but presents a steeper slope (0.40 ± 0.06 against a 0.12 reported by Cayrel et al. 2004). All the chromium results from Cr I (Bonifacio et al. 2009; this work; and Nissen & Schuster 2010) are inconsistent with GCE model predictions and our Cr I abundances vary from lower to higher than the model, for the more metal-poor and more metal-rich end of our sample, respectively. The behavior of Cr II is, however, very diﬀerent. In our sample the slope of Cr II is 0.01 ± 0.03, which is consistent with the −0.01 GCE model results, as can be seen in Fig. 5. This diﬀerence between Cr I and Cr II measurements had already been reported in Kobayashi et al. (2006), Lai et al. (2008), Bonifacio et al. (2009). As in Kobayashi et al. (2006), we consider the LTE analysis of Cr II to be better than Cr I in LTE, to trace the chemical evolution of this element. The star-to-star standard deviation of Cr II is smaller than the errors (0.04 dex and 0.07 dex respectively) and this scatter is among the lowest of our sample. In Fig. 5 we show Cr I and Cr II abundances in diﬀerent panels, for our data and those of Bonifacio et al. (2009) and Nissen & Schuster (2010), together with the GCE model, which predicts roughly a ﬂat plateau in [Cr/Fe]. It is clear than the agreement is better for Cr II. The lesser agreement for Cr I is probably due to NLTE eﬀects. 5.3.3. Manganese Manganese abundances were calculated using hyperﬁne components from Kurucz 3 . In Fig. 5 we can see that the mean error and the scatter for Mn are 0.07 and 0.09 dex, suggesting the scatter might have an astrophysical origin. Our results are in agreement with the star-to-star scatter in the metal-poor giants of Cayrel et al. (2004). The steep slope we found for Mn (0.23 ± 0.03) is much steeper than GCE model prediction, but it seems to be in good agreement with data from Bonifacio et al. (2009), Nissen & Schuster (2011). Thus, our [Mn/Fe] measurements connect well with lower and higher metallicity data. Manganese is an odd-Z element and Mn yields depends on the progenitor metallicity, but such a steep increase in abundance with increasing metallicity was not seen in the GCE model. When comparing our data with the scattered data plot seen in (Kobayashi et al. 2006, see their Fig. 22) one can notice that their data also has higher values of Mn when compared to the model, but the scatter is big and makes it diﬃcult to assess whether the model agrees or not with those earlier literature values. 5.3.4. Cobalt We have also used Kurucz's HFS data for Co abundances. We see in Fig. 5 that the cobalt abundances decrease with increasing metallicity throughout the entire metallicity range being analyzed. Our data have a steep slope of −0.28 ± 0.03, which is steeper than the −0.02 value predicted by GCE model. The disagreement between data and GCE model is also seen in Kobayashi et al. (2006). Our errors are at the same level as the scatter, but our data is more precise than previous works. 5.3.5. Nickel Although nickel is synthesized in the same process as Co, in the complete Si burning region, Cayrel et al. (2004), Lai et al. (2008), Bonifacio et al. (2009) had already reported that while [Co/Fe] decreases with increasing [Fe/H], [Ni/Fe] remains ﬂat. We also found a ﬂat slope for nickel (0.00 ± 0.02), which is consistent with the 0.02 predicted by the GCE model, and data from diﬀerent metallicity ranges. There is an impressive ﬂat plateau for the [Ni/Fe] ratios between −3.6 ≤ [Fe/H] ≤−0.4, indicating a very homogeneous nickel production throughout cosmic history. It is also important to stress that the [Ni/Fe] star-to-star scatter (0.04 dex) is signiﬁcantly smaller than the error (0.08 dex). 5.3.6. Zinc Zinc is also mainly produced in the complete Si burning region, but can also be produced in neutron capture processes in more metal-rich stars (Kobayashi et al. 2006), and there is a negligible portion of Zn being produced in electron-capture supernovae (Kobayashi et al., in prep.). Depending on the neutrino physics, Co can be enhanced instead of Zn by electron-capture supernovae (Pllumbi et al. 2015). Both Cayrel et al. (2004) and Bonifacio et al. (2009) found a slope similar to previous results, indicating a formation processes consistent with complete silicon burning. We see the same behavior as in Co (complete Si burning), with a steep slope (−0.16±0.05) against a ﬂat model prediction, going from the Bonifacio et al. (2009) data, all the way to a metallicity of [Fe/H] = −0.4. When we consider our data set alone there is one data point (the more metal-poor blue straggler) that has a higher abundance, and being a blue straggler this eﬀect could be interpreted as the result of a possible diﬀerent nucleosynthetic origin. However, when considering also the data from Bonifacio et al. (2009), it seems that the higher zinc abundance of this object is just an eﬀect of cosmic scatter. More data on blue stragglers (BSS) zinc abundances are necessary in order to say if the higher abundance of this star has anything to do with the BSS phenomena. It is important to note that this GCE model is a so-called one-zone model where instantaneous mixing is assumed. This assumption is valid probably for [Fe/H] > −2, but not for [Fe/H] < −2.5 where chemical enrichment should take place inhomogeneously and EMP stars are enriched only by one or two supernovae (Audouze & Silk 1995). The increasing trends of Co and Zn (and the ﬂat trend of Ni relative to Fe) may be explained more realistically, via chemodynamical simulations (e.g., Kobayashi & Nakasato 2011). From a nucleosynthetic point of view, both [Co/Fe] and [Zn/Fe] increase with higher explosion energy (i.e., hypernovae, Kobayashi et al. 2006) and it is possible to predict some variation in Co/Zn. With higher energy, the Fe production mass is larger, but because of the larger amount of H mixed into the ejecta, the [Fe/H] of the EMP stars can be smaller (Nomoto et al. 2013). Our tight trend of Co and (less tight) trend of Zn is suggestive of inhomogeneous enrichment from hypernovae. Ni/Fe does not depend on the explosion energy nor on mass very much, and the ﬂat trend with the small scatter gives strong constraints on the mixing-fallback mechanism of core-collapse supernovae (both for supernovae and hypernovae). 5.4. Neutron-capture elements The abundances of the heavy elements Sr, Y, Zr and Ba can be seen in Fig. 6, and are shown in Table A.5. The GCE model we have been using to compare our data does not go further than Zn. Heavier elements are predominantly produced by neutron capture events (Meyer 1994). The two main neutron capture processes are the rapid neutron capture process (r-process) and the slow neutron capture process (s-process; Busso et al. 1999; Karakas & Lattanzio 2014), where most of the s-process production occurs in low-mass AGB stars (Busso et al. 2001). The s-process can also occur in fast rotating massive stars (Pignatari et al. 2010; Frischknecht et al. 2016), which may have an important contribution at low metallicity. The yields of s-process elements depend on masses and initial compositions of these stars, and the result of these processes can be observed as cosmic scatter for more metal-poor stars, formed before the interstellar medium properly mixed the material, and a more statistical scatter for the more metal-rich stars where mixing in the ISM had more time to work. While there are uncertainties surrounding the details of the s-process, the site is reasonably well understood, in contrast to the r-process. The origin of the r-process is unknown and it could occur in diﬀerent sites, such as SNe II or neutron stars mergers (Cowan & Sneden 2004; Thielemann et al. 2011; Ji et al. 2016). There is also a third possible mechanism to produce heavy elements, an intermediate neutron capture process, which takes places in neutron ﬂux densities between the s and r processes, called the i-process (Cowan & Rose 1977; Hampel et al. 2016). There are evidences of i-process in the metal-poor stars nucleosynthetic history (Herwig et al. 2014; Roederer et al. 2016). These uncertainties in the production sites of i-process and r-process elements, along with a limited number of published yields of s-process from metal-poor stellar models limit the capability of modeling such elements. All these diﬃculties increase the importance of precise chemical abundances of as many stars as possible with broad wavelength coverage. 5.4.1. Strontium Strontium abundances were calculated from two Sr II lines, which are not signiﬁcantly aﬀected by NLTE eﬀects according to Hansen et al. (2013). The authors show that accurate Sr II abundances can be obtained if reliable eﬀective temperatures and surface gravities are available, such as in our case. The steep positive slope is mainly due to two more metal-poor stars that appear to have an extremely lower Sr abundance. This lower abundance, almost 1 dex for the most Sr deﬁcient star, could suggest that this star was formed in an environment where AGB stars had not been activated yet, which would greatly decrease the s-process element production and become apparent in its abundance pattern. However, it is important to stress that the scatter in Sr is the second biggest in our measurements, lower only to the scatter in barium. The scatter becomes more clear when considering also the data from Bonifacio et al. (2009), which allows us to see that the two low Sr stars in our sample are probably just other examples of the very big large spread in [Sr/Fe]. This scatter has been previously reported (McWilliam 1998; Cayrel et al. 2004; François et al. 2007; Lai et al. 2008; Bonifacio et al. 2009) and was conﬁrmed in the NLTE analysis of Andrievsky et al. (2011). As pointed out by Andrievsky et al. (2011), the scatter of strontium decreases at higher metallicities, which agrees with our observations. Overall, the data suggests that the scatter in [Sr/Fe] decrease for [Fe/H] > −2.4. Unfortunately, even with high precision data available, the current errors on stellar yields do not allow us to draw conclusions about the chemical evolution of strontium in the early Galaxy (Hansen et al. 2013), and the nucleosynthetic sites in which it might be produced. 5.4.2. Yttrium According to Hannaford et al. (1982): "the eﬀects due to isotopic splitting and hyperﬁne structure in yttrium are insigniﬁcant, because there is only one stable isotope, and the hyperﬁne splitting is very small, typically less than 1 mA". Thus, yttrium abundances were calculated from ﬁve Y II lines, without hyperﬁne or isotopic corrections. As with Sr, there is signiﬁcant scatter. The slope is almost ﬂat, but with a big uncertainty, and we see one star with much lower [Y/Fe], which is the same object that deviates almost 1 dex in Sr, showing that this star indeed does have lower s-process abundances. The scatter in Y abundances also extends to the higher metallicity sample of Nissen & Schuster (2011), but there is a very well deﬁned separation between their low and high-α populations. It is diﬃcult to assess if our data follow a similar behavior because the high scatter we observe is only present in the neutron-capture elements, not the α-elements, as seen in Nissen & Schuster (2010, 2011). Also, the scatter seems largest for [Fe/H] < −2.4. 5.4.3. Zirconium Zirconium abundances were obtained from three Zr II lines and it has the smallest deviation among the heavy elements in this work. The calculated slope is negative, but the mean error is closest to the star-to-star standard deviation than any other heavy element. Among the neutron-capture elements, Zr is the element that deviates the most from the more metal-rich sample of Fishlock et al. (2017). Their data show a much lower mean abundance of this element, and diﬀerently from the other neutroncapture elements, it does not seem to be a connection between their higher metallicity sample and our lower metallicity range. It is unclear if this is a result of the nucleosynthetic history of the element or due systematic diﬀerences in the analyses. 5.4.4. Barium The last heavy element analyzed in our sample is barium. We have applied isotopic splitting corrections from McWilliam (1998). In the solar system Ba is mainly produced via the s-process (85%, McWilliam 1998), while the remainder is produced via the r-process. However, this production scenario can be diﬀerent for metal-poor stars, where the r-process might have more signiﬁcant contribution. Our results indicate a very steep slope for Ba, not consistent with the other s-process elements. This is mainly due to diﬀerences in the most metalpoor end of our sample, which have consistently lower abundances, perhaps bringing insights on s-process nucleosynthesis. Considering the large scatter observed, our [Ba/Fe] ratios are consistent with the metal-poor sample from Bonifacio et al. (2009) and partly consistent with the metal-rich sample by Nissen & Schuster (2011), albeit most of their sample seem to group around [Ba/Fe] ∼−0.2. The [X/Fe] abundances of heavy elements in our sample show a very big dispersion. The star-to-star scatter are greater than all the mean errors and also much higher than in the other elements studied. This higher scatter, and diverse nucleosynthesis origins, indicate that the results point to cosmic scatter. This suggests that a linear regression might not be the best function to describe the chemical evolution of these elements. Thus, we added a non-parametric regression to our data set, which can be seen as the pink lines in all panels of Fig. 6. We used a LOWESS function, which ﬁts simple models to localized subsets of data, models that are used to build the function that best describes the variation in the data, point by point. The LOWESS regression works better with large data sets, but we have applied it to our sample of heavy element abundances in order to see the diﬀerence between a local regression and a linear regression. This rather large scatter in [Ba/Fe] could be partly due to NLTE eﬀects. As pointed out in Andrievsky et al. (2009), the NLTE corrections in this metallicity regime rapidly increase with increasing temperature. Thus, even in a homogeneous sample like ours there might be important NLTE corrections in barium abundances. Andrievsky et al. (2009) showed that, even with the NLTE calculations, there is considerable scatter in barium abundances, which support a complex evolution throughout cosmic time, with the possible additional contribution of the r-process (e.g., François et al. 2007). It is also important to stress that the low Sr and low Y star, also has a lower Ba abundance, compared to the other object with the same [Fe/H], although the diﬀerence is not as considerable. The LOWESS function, Fig. 6, indicates that where the interstellar medium had more time to mix the materials (the more metal-rich end) the linear regression and the non-parametric regressions are close to each other and, as the metallicity decreases the two regressions deviate. Our smaller error bars and precise abundances will be important to constrain the nucleosynthesis of these elements and will help to constrain the rise of the s-process in the Galaxy. 6. Lithium Spite & Spite (1982) found that warm metal-poor stars have a constant lithium abundance, and interpreted their ﬁnding as relic lithium from primordial nucleosynthesis. However, Big Bang nucleosynthesis (BBN) predictions, along with baryon density observations from Planck, predicts A(Li) = 2.67 (Coc et al. 2014b; Cyburt et al. 2016), which is ≈0.4 dex higher than what is observed in metal-poor stars (e.g., Spite & Spite 1982; Asplund et al. 2006; Bonifacio et al. 2007; Meléndez et al. 2010; Spite et al. 2015). This discrepancy has been the focus of many diﬀerent studies over the years. Possible explanations include new physics (e.g., Coc et al. 2009, 2014a; Iocco et al. 2009; Kohri & Santoso 2009; Civitarese & Mosquera 2013; Salvati et al. 2016; Hou et al. 2017) and stellar evolution eﬀects (Richard et al. 2005; Fu et al. 2015). Our lithium abundances are computed in NLTE, following Lind et al. (2009), and are presented in Fig. 7. The stellar masses from Fig. 8 were estimated using the q2 code, which uses Y2 isochrones (Yi et al. 2001; Kim et al. 2002) to the adopted stellar parameters and their errors. The code estimates the masses using probability distribution functions (see Ramírez et al. 2013, for more details). The lithium abundances and estimated masses can be seen in Table A.6. Our results have a very low scatter (0.04 dex) and the mean value A(Li) = +2.27 is compatible with measurements of similar metal-poor stars, such as those studied in Meléndez et al. (2010). As can be seen, the plateau is very well deﬁned and the deviations are within our measurement errors. Models of lithium depletion based on stellar evolution, such as Richard et al. (2005), predict that the least massive stars will be more depleted in Li. Meléndez et al. (2010) shows the existence of a correlation with the initial stellar mass using Richard et al. (2005) model predictions. The correlation found is especially good for the stars in the same metallicity range as this work. In Fig. 8 we show lithium abundances against the mass of the stars, based on Y2 isochrones. However, most of our targets have very similar masses which makes it very diﬃcult to assess if there is any trend with mass. For stars in the mass range we are working on (0.7−0.8 M⊙), Fu et al. (2015) were able to reproduce the Spite plateau by invoking pre-stellar lithium depletion. In their model they take into consideration microscopic diﬀusion, overshooting, UV radiation photoevaporation and late accretion during the pre main sequence and main sequence phases. These eﬀects are responsible for the lithium depletion in their model, which happens mainly in the pre main sequence phase and, to a lower extent, at the main sequence phase. Fu et al. (2015) calculated a A(Li) ≈ 2.26, for stars with ages ranging from 10 to 12 Gyr (see Fig. 8 of Fu et al.), and reproduced the spite plateau over metallicities ranging from −3.5 ≤ [M/H] ≤−1.5. We also point out that stars with an even lower lithium abundance might have suﬀered eﬀects from rotationally-induced mixing. Such eﬀects have already been shown to deplete lithium in solar like stars (Carlos et al. 2016; Ryan et al. 2002) and might also be important to explain the lower lithium abundances found in some metal-poor stars, which might be the case of the two blue straggler stars found in our sample (see Sect. 7). 7. The blue straggler stars Blue straggler stars (BSS) are main-sequence stars signiﬁcantly bluer than the main-sequence turnoﬀ population they belong to (Ryan et al. 2001). Due to the color diﬀerence from the regular main sequence stars, they are usually identiﬁed in globular clusters. Field BSS however are harder to identify because it is diﬃcult to establish other main sequence stars with a common origin, to be used as standards in a color comparison. However, this identiﬁcation is possible through other means, as employed by Santucci et al. (2015), who identiﬁed approximately 8000 BSS stars using color cuts, FWHM of the hydrogen spectral lines and stellar parameters. Blue stragglers can also be identiﬁed via spectroscopy by using their Li or Be abundances. As showed by Ryan et al. (2001), halo ultra lithium-deﬁcient stars can be BSS. We identiﬁed stars HD 340279 and G 66-30 as blue stragglers based on their Li abundances, as was ﬁrstly done by Ryan et al. (2001). BS stars show much lower Li content when compared to stars of similar metallicity. There are two possible scenarios for the formation of BS stars. In one of them the star is recipient of mass transfer from a more evolved AGB companion (the McCrea 1964, scenario), and in the second there was a collision with a companion. In both scenarios angular momentum is transferred to the BS star. This additional momentum can extend the convection zone, which is a possible explanation for part of the Li depletion. Blue straggler stars may also have enhanced s-process material, if it underwent mass transfer from an AGB companion. As stellar collisions will only occur in very dense environments, such as the core of globular clusters (Sills et al. 2009), it is more likely that the blue straggler stars found in the ﬁeld have suﬀered mass transfer rather than collided. We measured an upper limit to the Li abundance of star HD 340279 of A(Li) ≤ 0.94 and A(Li) ≤ 1.3 for G 66-30. Ryan et al. (2001) determined an upper limit of A(Li) ≤ 1.39 for star HD 340279 and Boesgaard (2007) determined a conservative upper limit of A(Li) ≤ 1.5 to G 66-30. In both cases the stars are identiﬁed as BSS trough their ultra-deﬁcient Li abundances compared to stars of similar eﬀective temperature. Boesgaard (2007) has also showed that G 66-30 is beryllium poor. They determined an upper limit of A(Be) < −1.0, which is below the expected value for Li normal stars, which also led to the conclusion that additional momentum has extended the convection zone and further depleted both elements. Although there is a clear diﬀerence in Li abundance, not all other elements show such a clear diﬀerence, as can be seen in Figs. 2 to 6 (BS stars are the red objects). In Fig. 2 we see that the more metal-poor BSS may have a slight underabundance of α-elements, while star G 66-30 is within the overall trends when the errors are taken into consideration. The same eﬀect happens when we look at the odd-Z light element Sc (Fig. 4), which is lower in HD 340279 when compared to stars of similar metallicity. Star HD 340279 has another very puzzling peculiarity. Its vanadium abundance is lower than the abundances of all other stars. The calculated abundance is 0.6 dex lower when compared to the linear regression. It is not clear why there is such an underabundance, as the other BSS has a normal vanadium abundance and HD 340279 has normal abundances of the other iron peak elements, except for zinc. In Fig. 9 we show the spectra of stars HD 340279 and BD+26 2621, which have similar metallicities, around the 3952 V II line. We can see that the vanadium line of star BD+26 2621 is identiﬁed but in HD 340279 the line is barely visible. However, we caution the reader that the noise in our spectra is on the same level as the vanadium lines. Improved spectra are necessary to conﬁrm this peculiarity. The BSS star HD 340279 might also be enhanced in zinc if compared exclusively with the rest of the stars of very similar metallicity, including the [Fe/H] = −2.58 star from Bonifacio et al. (2009). The zinc abundance of this star is also considerably higher than the linear regression predicts. However, if compared to the abundances of the more metal-poor stars of Bonifacio et al. (2009), one could attribute the enhancement to cosmic scatter. Considering the possibility of Zn enhancement in HD 340279, we can discuss its cause in light of the nucleosynthetic processes that a BSS star undergoes. While studying nucleosynthesis in Pop III stars, Heger & Woosley (2002) and Umeda & Nomoto (2002), ﬁrst proposed the possibility of Zn being produced by the s-process. Although zinc production in AGB stars is not large enough to cause comprehensive changes to the GCE (e.g., Karakas et al. 2009), it is possible that a star that underwent mass transfer from an AGB can show enhanced Zn. Under that assumption the excess of zinc in BSS could be another tool to estimate the mass of the AGB progenitor, as production of Zn in the AGB phase is more important in intermediate M ≥ 3 M⊙ AGB stars. Zinc is at the beginning of the s-process chain but overall production is low, on the order of [Zn/Fe] < 0.3. The exception is in intermediate mass AGB stars where [Zn/Fe] ∼ 0.5. In order to conﬁrm if there is an excess of Zn in this star or if that is just an eﬀect of cosmic scatter, it is of extreme importance to obtain more Zn abundances of BSS stars, providing tools to constrain a possible enhancement in the BSS process, or to exclude the possibility. Strontium, yttrium and barium are very enhanced in HD 340279. It indicates a very big inﬂuence of s-process nucleosynthesis in this star. G 66-30 on the other hand, does not seem to have an enhanced s-process and the abundance is low when compared to the other objects. Unfortunately the spectroscopic works on BSS that we found are usually focused on one or just a few elements, as for example in Ferraro et al. (2006, 2016). We emphasize the importance of more comprehensive studies on the abundance patterns of BSS. 8. Conclusions Previous studies of metal-poor stars in the halo are mainly focused on the most metal-poor end, [Fe/H] ≤ −2.5 (e.g., Ryan et al. 1996; Norris et al. 2001; Cayrel et al. 2004; Yong et al. 2013; Norris et al. 2013). Our study, on the other hand, has metallicities [Fe/H] ≥−2.7. Our sample was chosen to obtain good spectra of similar stars, allowing us to seek precise abundances. The diﬀerential analysis technique allow us to greatly decrease the data scatter, and also the errors of the diﬀerential chemical abundances. The well-deﬁned trends we observe in our results are, for most elements, compatible with what has been previously found at lower precision. The small scatter in our data set shows that the chemical evolution was, overall, very homogeneous. Among α-elements, our data for Ca is in excellent agreement with the GCE model while we found ∼0.2 dex oﬀset for Mg, in concordance with the NLTE study of Zhao et al. (2016). We do not see any indication of different populations in α-elements, as found by Nissen & Schuster (2010), below their metallicity threshold. If the stars in their sample were acreted from satellite galaxies, the fact that we do not see these populations in our sample can indicate that the main accretion events started to take place only after SNe Ia already had time to increase the overall metallicity to [Fe/H] ≈−1.5. This is supported by the fact that the separation between the two populations is mostly seen in the more metal-rich end, and seems to become homogeneous at the metal-poor end of their sample. The very good homogeneity we observe in the α-elements is also seen in odd-light elements and iron peak elements. The Co and Zn trends at very low metallicities also suggests an inhomogeneous enrichment with hypernovae. Our diﬀerential LTE analysis shows a very good reliability even when compared to a full NLTE analysis. As shown, the results we obtain are very similar to the NLTE analysis of Zhao et al. (2016), and the comparison with the K15 GCE model they performed are very similar to those presented in this work. Although there is a very good agreement, in some cases the NLTE approach decreases the discrepancy between model and observations, as is the case of scandium, where there is a mean diﬀerence of ≈0.1 dex between ours and their abundances. In the case of calcium, however, the results are very much alike and both NLTE and LTE have an impressive agreement with the K15 model. It is also important to stress that the values we compared to the K15 model are our mean values, and also the diﬀerence between data and model is based on our own measurements. Zhao et al. (2016) studied a broader metallicity range and thus is internally consistent, unlike our comparisons that are less homogeneous as employed data from other works, however overall there seems to be a good connection between our work and lower and higher metallicities. LTE calculations of Cr II are much more reliable than Cr I. As shown by Bergemann & Cescutti (2010), Cr I suﬀers from strong NLTE eﬀects due to the over-ionization from the lowexcitation odd Cr I levels, which is more severe in more metalpoor stars, explaining the positive slope seen in the Cr I data, while Cr II NLTE eﬀects on abundances are negligible for dwarfs. Taking Cr II as the indicative of [Cr/Fe], we see a good agreement between GCE predictions and observed abundances for the entire metallicity range (−3.6 ≤ [Fe/H] ≤−0.4), indicative of the good understanding of Cr nucleosynthesis. The bigger oﬀsets between observational data and GCE predictions are seen for elements with an already known deviation, such as Co or Mn, which are in agreement with other observational works (e.g, Cayrel et al. 2004; Bonifacio et al. 2009) but somehow still far from GCE models. For these elements there might be important NLTE eﬀects that are not being taken into consideration in this work, such as for Mn (Bergemann & Gehren 2008). This disagreement between observation and GCE predictions is not seen in Kobayashi et al. (2006), for example, as the absolute [X/Fe] values for most elements agree with observations, because the observations are spread due to results from diﬀerent authors, making the comparison samples inhomogeneous. This is also shown in Fig. 3, by the big dispersion we found using data from the SAGA database. The Co and Zn trends also suggests an inhomogeneous enrichment with hypernovae. Although AGB stars do not produce enough zinc to inﬂuence Galactic chemical evolution, the fact that the BS star HD 340279 may be enhanced in zinc, suggests that this could be an important tracer of the AGB progenitor masses of BS stars. Also, further observations of neutron-capture elements for this star might be beneﬁcial to constrain the origin of Zn in this object. It is also worth commenting on the analysis of star WISE J072543.88-235119.7, a high proper motion star crossing the Galactic plane with a bound retrograde orbit. Scholz et al. (2015) used a spectrum of lower resolution and S/N than ours, ﬁnding stellar parameters that are roughly consistent with the parameters found in our work. They suggested that this star might be a good target for follow-up high-resolution spectroscopy. In our results we did not ﬁnd any distinctive chemical peculiarity in this star. The abundance pattern seems to be in good agreement with the remaining of our sample. Spite et al. (2015) performed a spectroscopic analysis of this star, calculating the eﬀective temperature using a diﬀerent method (Hα ﬁtting), resulting in a different set of stellar parameters. The diﬀerences in the stellar A&A 608, A46 (2017) parameters translated into the abundance diﬀerences between our work and theirs. We veriﬁed this by recalculating the abundances using our equivalent widths and their stellar parameters, showing a mean diﬀerence of 0.08 dex in A(X), which can be easily explained by the measurement errors of both works. Thus, the diﬀerences between our measurements arise from the diﬀerence in the stellar parameters. They conclude through the Li abundance that despite the extreme kinematics the star might have formed in situ, which is in agreement with our ﬁndings, as it has an abundance pattern resembling that of our own Galaxy. Cyburt, R. H., Fields, B. D., Olive, K. A., & Yeh, T.-H. 2016, Here we used a line-by-line diﬀerential work to better constrain the chemical evolution of the Galaxy in a metallicity range that does not have many high precision works. Our abundances, along with the data from works in other metallicity ranges, allow us to do a comprehensive comparison of observational data of stars with similar atmospheric parameters, to the K15 Galactic evolution model. Our careful analysis yields precise and accurate data, which have small errors and low scatter, being thus important to better constrain future developments of GCE models. Finally, we encourage NLTE calculations in further works, in particular for the elements Na, Al, Si, Sc, and Ba. Acknowledgements. This work was based on observations collected at the European Organisation for Astronomical Research in the Southern Hemisphere under ESO program 095.D-0504(A). We would like to thank the referee for his/her valuable inputs. 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L., et al. 2016, ApJ, 833, 225 ``` Appendix A: Stellar parameters and chemical abundances Table A.1. Stellar parameters for each star. Notes. The standard stars are in bold and with *. Superscript numbers 1 and 2 represent the samples compared to the standard stars HD 338529 and CD-48 2445, respectively. Table A.2. Abundances of the α-elements. H. Reggiani et al.: Constraining cosmic scatter in the Galactic halo through a diﬀerential analysis of metal-poor stars Table A.3. Abundances of the light odd Z elements. H. Reggiani et al.: Constraining cosmic scatter in the Galactic halo through a diﬀerential analysis of metal-poor stars Table A.5. Abundances of the neutron-capture elements. Table A.6. Lithium abundances and mass estimates for our stars. Notes. We note that the two blue straggler stars are not included in this table. Appendix B: Linelist Table B.1. Linelist used for the abundances determinations. Notes. The linelist is formatted to be used with the radiative transfer code MOOG (Sneden 1973), and also include the hyperﬁne splitting, indicated by the negative wavelengths. Table B.1. continued. H. Reggiani et al.: Constraining cosmic scatter in the Galactic halo through a diﬀerential analysis of metal-poor stars Table B.1. continued. Table B.1. continued. Table B.1. continued. Wavelength Table B.1. continued. g g Wavelength Species EP log( f) Species EP log( f) H. Reggiani et al.: Constraining cosmic scatter in the Galactic halo through a diﬀerential analysis of metal-poor stars Table B.1. continued. Table B.1. continued. Wavelength Species EP log(gf) Wavelength Species EP log(g f ) Table B.1. continued. Table B.1. continued. H. Reggiani et al.: Constraining cosmic scatter in the Galactic halo through a diﬀerential analysis of metal-poor stars Table B.1. continued. Table B.1. continued. Table B.1. continued. A&A 608, A46 (2017) Table B.1. continued. Wavelength Species EP log(gf) Wavelength Species EP log(g f)
Nitrate leaching from arable crop rotations in organic farming J.E. Olesen, M. Askegaard and J. Berntsen Department of Agroecology, Danish Institute of Agricultural Sciences, Box 50, DK-8830 Tjele, Denmark Abstract Nitrate leaching from crop rotations for organic grain production were investigated in a field experiment on different soil types in Denmark from 1997 to 2002. Three experimental factors were included in the experiment in a factorial design: 1) proportion of grass-clover and pulses in the rotation, 2) cover crop (with and without), and 3) manure (with and without). Two fourcourse rotations were compared. They had one year of grass-clover as a green manure crop, either followed by spring wheat or by winter wheat. The nitrate leaching was measured using ceramic suction cells. The nitrate leaching did not differ between the rotations, as a change in leaching following the grass-clover was compensated by a reverse effect in the grain crops. Use of cover crops reduced N leaching by 23 to 38% at crop rotation level with the highest reduction on the coarse sandy soil. Simulation of N leaching using the FASSET model showed that a practice of using part of the summer period in the grass-clover as a bare fallow to control couch grass could increase leaching substantially, in particular on the sandy soil. Keywords: organic farming, crop rotation, cover crops, manure, nitrate leaching. Introduction The proportion of organic farming in Denmark has increased considerably over the past decade, and the organic farmed area constituted 6.4 % of the agricultural area in 2001 (Anonymous, 2002). This organic farming was during the 1990's mainly based on dairy farms with a high percentage of grass-clover and fodder crops in the crop rotation in combination with a stock of ruminant animals. However, during the last few years, many Danish arable farms have converted to organic farming. Archived at http://orgprints.org/xxxx The increase in organic farming is partly explained by financial support from the Danish government and the EU through agri-environmental schemes (Stockdale et al., 2001). In Denmark many of these schemes are directed towards protecting groundwater and surface waters from pollution with nitrates and pesticides. In the Aquatic Action Plan II agreed by the Danish parliament in 1998 organic farming has been included as one of the measures to reduce nitrate leaching from Danish agriculture (Grant et al., 2000). However, large uncertainties remain in the estimates of nitrate leaching from organic farming (Hansen et al., 2000). The aim of the study presented here was to quantify the nitrate leaching from arable organic farming as affected by use of cover crops and manure application. Additionally the effect of crop rotation design and the interaction with soil and climate was included. Materials and methods The crop rotation experiment was designed as a factorial experiment with three factors (Olesen et al., 2000). The experimental factors were (1) fraction of grass-clover and pulses in the rotation (crop rotation), (2) cover crop (with and without cover crop) and (3) manure (with and without animal manure applied as slurry). Results are presented for three sites representing different soil types and climate regions in Denmark. Jyndevad is located in Southern Jutland and represents a coarse sandy soil with an normal annual rainfall of 964 mm. Foulum is located in Central Jutland on a loamy sand with an annual rainfall of 704 mm. Flakkebjerg is located in Western Zealand on a sandy loam with an annual rainfall of 626 mm. The soil properties of the ploughing layer are shown for all sites in Table 1 and the climate during the experimental period 1998 to 2001 is shown in Table 2. Table 1. Soil texture, content of organic C and total N, and pH in the top 25 cm of the soil at the three experimental sites in autumn 1996 prior to the onset of the experiment. pH is taken as pH(CaCl2)+0.5. Soil minerals, organic C and total N are measured in per cent of dry soil (Olesen et al., 2000). Tabel 2. Average annual temperature, precipitation and simulated drainage in rotation 2 during the period 1998 to 2001. Four four-year crop rotations were compared (Olesen et al., 2000). However, results from two of the rotations are presented here (Table 3). These rotations differ with respect to the cereal following the grass-clover green manure crop. The grass-clover crop was followed by spring wheat in rotation 1, and by winter wheat in rotation 2. Crop rotation 1 was only represented at Jyndevad. Minor changes in the crop choice were made in 2001 (Table 3). All fields in all rotations were represented every year in two replicates. The plot size was 378, 216 and 169 m 2 at Jyndevad, Foulum and Flakkebjerg, respectively. The undersown cover crops were either a pure stand of perennial ryegrass (Lolium perenne) or a mixture of perennial ryegrass and four clover species (hop medic Medicago lupulina, trefoil Lotus corniculatus, serradella Ornithopus sativus and subterranean clover Trifolium subterraneum). In 2001 chicory (Chicorium intybius) was also included with ryegrass in all cover crop mixtures. These cover crops were undersown in the cereal or pulse crop in spring. In the spring cereals the sowing took place on the same day as the cereal or pulse crop was sown, except for Jyndevad where sowing was delayed in order to permit weed harrowing in the rotations with cover crops. In the winter cereals the cover crop was sown in April just after the first weed harrowing. The plots receiving manure were supplied with anaerobically stored slurry at rates corresponding to 40% of the N demand of the specific rotation. The N demand was based on a Danish national standard (Plantedirektoratet, 1997). The N demands from grass-clover and from peas/barley were set to nil. Cereal crops received slurry corresponding to a target of 50 kg NH4-N/ha. Table 3. Structure of the two different four-course crop rotations with and without cover crops. The sign ':' indicates that a grass-clover ley, a clover or a ryegrass/clover cover crop is established in a crop of cereals or pulses. The sign '/' indicates a mixture of peas and spring barley. 1 : S. oats in 2001, 2 : Peas/barley in 2001, 3 : Winter rye at Jyndevad in 2001, 4 : Lupin in 2001. The experimental treatments were started in 1997. In 1996 a spring barley crop undersown with grass-clover was grown at all sites. No pesticides were applied in 1996. All locations were previously under conventional cropping. The crops during the five years prior to initiation of the experiment included different arable crops at Jyndevad and Flakkebjerg, and grass-clover and cereal crops at Foulum (Djurhuus & Olesen, 2000). The experiment was unirrigated at all sites except at Jyndevad. All straw and grass-clover production was incorporated or left on the soil in all treatments. In 2000 and 2001 the grassclover at Jyndevad was ploughed in early June (rotation 1) or late June (rotation 2) followed by harrowing several times to control couch grass (Elymus repens). In rotation 1 this bare fallow was followed by sowing of a cover crop of winter rye, winter vetch and rapeseed in mid July. In rotation 2 the following winter rye was sown mid August. Leaching of nitrogen was measured using porous ceramic cups in selected plots. Four suction cells are permanently installed in each of these plots at a depth of 80 cm at Jyndevad and 100 cm at the other sites. The leaching is measured at all sites in those plots that corresponded to entry point one in the rotations when the experiment was initiated in 1997 (Table 3). At Foulum and Flakkebjerg leaching was additionally measured in all plots in rotation 2 without cover crops and with fertiliser. At Jyndevad leaching was measured in all plots with the manure treatment. Every 1-4 weeks, depending on site and precipitation, a suction of approximately 80 kPa was applied 3 days prior to sampling. The samples were bulked with equal sample volume from each of the four replicates per plot before analysis of nitrate concentrations. The water balance was calculated using the Evacrop model (Olesen & Heidmann, 1990) for which inputs were daily meteorological measurements (precipitation, temperature and potential evapotranspiration). The observed precipitation at 1.5 m height was corrected to ground level using the methodology of Plauborg et al. (2002). Nitrate leaching was estimated using the trapezoidal rule (Lord & Shepherd, 1993), assuming that nitrate concentrations in the extracted soil water represents flux concentrations on the observation dates, and that concentrations change between measurement points in proportion to drainage. The accumulated annual leaching was calculated from 1 April to 31 March. The mean leaching was calculated for the four years from April 1998 to March 2002. The FASSET soil-plant-atmosphere model (Olesen et al., 2002) was used to simulate the nitrate leaching from crop rotations 1 and 2 in all combinations with and without cover crops and with and without manure application. The simulations were also performed for soil and climate data from Foulum and Flakkebjerg. The observed management at the Jyndevad site from 1996 to 2002 was used for all simulations. However, irrigation was omitted at these two sites. The annual leaching was calculated from 1 April to 31 March and results are presented for the four years from April 1998 to March 2002. Results and discussion The nitrate-N concentration measured in the suction cups showed considerably larger and quicker fluctuations over time at Jyndevad compared with both Foulum and Flakkebjerg (Figure 1). This reflects the low retention of water and nutrients in the coarse sandy soil. The nitrate-N concentration tended to decrease over time at Foulum and to increase at Flakkebjerg. This may be an effect of the site history prior to onset of the experiment, which included a large proportion of grass crops at Foulum and continuous cereal cropping at Flakkebjerg. This thus indicates that soil N fertility plays an important role for the general or background N leaching at a given site. There were only small effects of manure application on nitrate leaching (data not shown). On average manure application increased N leaching by 1 kg N/ha/yr. The results also showed no difference between crop rotations 1 and 2 in N leaching (Figure 2). There was a substantial effect of cover crops on N leaching. Cover crops thus reduced N leaching by 38% at Jyndevad and 23 to 25% at Foulum and Flakkebjerg (Figure 2). The reduction from cover crops was identical at Jyndevad in rotations 1 and 2 at rotation level (Figure 2). The magnitude of the leaching reduction is in line with other studies on cover crops in Denmark, which have shown the highest reductions on sandy soils and least reduction on loamy soils (Hansen & Djurhuus, 1997). The pattern of the N-leaching was substantially different in the two rotations (Figure 3). In rotation 2 the highest leaching occurred following the ploughing of grass-clover in the autumn prior to winter wheat, whereas leaching peaked after the pulse crop in rotation 1. Other studies have also shown substantial N leaching following the cultivation of grass-clover leys, in particular with winter cereals (Watson et al., 1993; Djurhuus & Olsen, 1997). The cover crops effectively reduced nitrate-N concentration during the winter period (Figure 4). However, the nitrate-N concentration at Jyndevad was high at Jyndevad in the autumn until the grass cover crop had grown to fully cover the ground. This did not happen until late October after which the nitrate-N concentrations were reduced markedly. This suggests a need for cover crops that are more effective in taking up soil nitrogen during the autumn period. Faster growing undersown grass crops may achieve this. However, such effective cover crops may also compete with the cereal crop thus reducing yields. 2002 The simulated N leaching showed only small differences between the three sites using the observed management from Jyndevad (Figure 5). However, N leaching was substantially reduced following grass-clover at Foulum and Flakkebjerg. The simulations also showed a substantial effect of cover crops on N leaching. Surprisingly there was no difference between the two rotations in N leaching from the grass-clover crop, despite the fact that grass-clover was followed by spring wheat in rotation 1 and winter wheat in rotation 2. This may be explained by the fact that a bare summer fallow was applied to the grass-clover in 2000 and 2001. In the simulations this increased N leaching more in rotation 1 than in rotation 2, which may have been an effect of differences in the timing of the bare fallow between the two rotations. As the bare fallow and harrowing during autumn offers some of the few possibilities of controlling perennial weeds in organic farming, this indicates the dilemma between obtaining good weed control and reducing N leaching losses. Conclusions There was only a small effect of using either a winter cereal or a spring cereal on nitrate leaching at rotation level. Using a spring cereal reduced N leaching following the grassclover, but this was compensated by a higher leaching in the following grain crops. Use of cover crops reduced N leaching by 23 to 38% at crop rotation level with the highest reduction on the coarse sandy soil. Simulation results showed that a practice of using part of the summer period in the grass-clover for a bare fallow to control couch grass could increase leaching substantially, in particular on the sandy soil. References Anonymous, 2002. Økologiske jordbrugsbedrifter 2001, autorisation, produktion. Plantedirektoratet, Copenhagen, Denmark. Djurhuus, J. and P. Olsen (1997). Nitrate leaching after cut grass/clover leys as affected by time of ploughing. Soil Use and Management 13, 61-67. Djurhuus, J. and J.E. Olesen (2000). Characterisation of four sites in Denmark for long-term experiments on crop rotations in organic farming. DIAS report No. 22. Danish Institute of Agricultural Sciences, Tjele, Denmark. Grant, R., G. Blicher-Mathiesen, V. Jørgensen, A. Kyllingsbæk, H.D. Poulsen, C. Børsting, J.O. Jørgensen, J.S. Schou, E.S. Kristensen., J. Waagepetersen and H.E. Mikkelsen (2000). Vandmiljøplan II – midtvejsevaluering. Ministry of Environment and Energy, National Environmental Research Institute, Copenhagen. Hansen, B., E.S. Kristensen, R. Grant, H. Høgh-Jensen, S.E. Simmelsgaard and J.E. Olesen (2000). Nitrogen leaching from conventional versus organic farming systems - a modelling approach. European Journal of Agronomy 13, 65-82. Hansen, E.M. and J. Djurhuus (1997). Nitrate leaching as influenced by soil tillage and catch crop. Soil & Tillage Research 41, 203-219. Lord, E.I. and M.A. Shepherd (1993). Developments in the use of porous ceramic cups for measuring nitrate leaching. Journal of Soil Science 44, 435-449. Olesen, J.E., M. Askegaard and I.A. Rasmussen (2000). Design of an organic farming crop rotation experiment. Acta Agriculturae Scandinavica, Section B, Soil and Plant Science, 50, 13-21. Olesen, J.E. and T. Heidmann (1990). EVACROP. A program for calculating actual evapotranspiration and drainage from the root zone. Version 1.01. Research note no. 9, Dept. of Agrometeorology, Danish Institute of Agricultural Sciences, Tjele, Denmark. Olesen, J.E., B.M. Petersen, J. Berntsen, S. Hansen, P.D. Jamieson and A.G. Thomsen (2002). Comparison of methods for simulating effects of nitrogen on green area index and dry matter growth in winter wheat. Field Crops Research 74, 131-149. Plantedirektoratet (1997). Vejledning og skemaer, mark- og gødningsplan, gødningsregnskab, grønne marker 1997/98. Plantedirektoratet, Copenhagen. Plauborg, F., J.C. Refsgaard, H.J. Henriksen, G. Blicher-Mathiesen and C. Kern-Hansen (2002). Vandbalance på mark- og oplandsskala. DJF rapport - Markbrug 70. Danish Institute of Agricultural Sciences, Tjele, Denmark, 45 pp. SAS Institute (1996). SAS/STAT Software: Changes and Enhancements through Release 6.11. Cary, NC, USA: SAS Institute Inc. Stockdale, E.A., N.H. Lampkin, M. Hovi, R. Keatinge, E.K.M. Lennartsson, D.W. Macdonald, S. Padel, E.H. Tattersall, M.S. Wolfe and C.A. Watson (2001). Agronomic and environmental implications of organic farming systems. Advances in Agronomy 70, 261-327. Watson, C.A., S.M. Fowler and D. Wilman (1993). Soil inorganic N and nitrate leaching on organic farms. Journal of Agricultural Science, Cambridge 120, 361-369. Acknowledgements The project was funded by the Danish Directorate for Development under the Ministry of Food, Agriculture and Fisheries. The project was an integral part of the activities under Danish Research Centre for Organic Farming.
CHAPTER 2 Gender and governance Articles 12-13 Women in parliament 27% Women in cabinet 23% Women in local government 24% KEY POINTS Sibusisiwe Mtsetfwa speaking during the 30% to 50% campaign in Swaziland. Photo: Thandokuhle Dlamini * Women's equal representation and effective participation in leadership and decision-making remains below parity in most countries, despite the lip service paid to this area of gender equality over the years. * "Special measures" and conducive electoral systems give the greatest assurance for increasing women's representation from local to national levels of governance. * Countries with a PR or mixed system and quotas have higher percentages of women (36% at local and 42% at national) compared to 9% at local and 17% at national in the FPTP system (with no quota). * Women's representation in parliament in SADC remains at 27%; four percentage points higher than the global average of 23% and 3% ahead of the Sub-Saharan Africa average of 24%. * Women's representation in cabinet in the region is low at 23%. This is also true in local government (24%). * Four countries held elections in SADC from August 2016 to June 2017 including South Africa (Local), Zambia (Tripartite), Seychelles (Parliament) and Lesotho (Parliament). Seychelles dropped in the global rankings of women in parliament from 4th in 2016 to 87th after the September 2016 elections that saw a change in political party leadership and formation of a coalition government. * Six more countries are due to hold elections in 2017/2018: Angola (National), DRC (Tripartite), Madagascar (Tripartite), Swaziland (Tripartite), Mozambique (Local), and Zimbabwe (Tripartite). * In 2017 the Barometer adds a number of new areas of decision-making including the public service, foreign service and judiciary using data made available by the SADC member states as part of their reporting. What the Protocol requires Part Three of the SADC Gender Protocol concerns Governance. This has two articles: Representation and Participation. The protocol emphasises women's full and effective participation and equal opportunities for leadership at all levels of decisionmaking in political, economic, social and public life. Member states are mandated to adopt special measures, strengthen sound policies and ensure enforceable legislation for the promotion of gender equality and the empowerment of all women at all levels decision making. Civil society organisations, activists, media, citizens and governments have strengthened their 50/50 gender equality campaign strategies as lobbying focuses on the adoption of quotas and electoral systems reforms aimed to field more women in political party leadership and lists. \| Table 2.1: The revised SADC Gender Protocol \| \| \|---\|---\| \| Old provisions \| New provisions \| \| Article 12.1: State parties shall ensure that by 2015 at least 50% of decision- making positions in the private and public sectors are held by women including the use of affirmative action measures as provided for in Article 5. \| Article 12. 1: State parties shall ensure equal and effective representation by women in decision-making in the political, public and private sectors, including the use of special measures as provided for in Article 5. \| Source: SADC Gender and Development Protocol, 2008 and 2015. Table 2.1 shows that the two major changes in the Post-2015 provisions are: * Adding effective participation to equal representation. This is in line with Goal Five of the Sustainable Development Goals that moves beyond numbers. * Changing affirmative action to special measures, consistent with Article 5. Both Botswana and Mauritius cited affirmative action provisions in the past as an impediment to them signing the Protocol. The shift to "special measures" aimed to facilitate both signing the Protocol (Mauritius is yet to sign). Key trends \| Target 2030 \| \| Baseline 2009 \| Progress 2015 \| Progress 2017 \| \|---\|---\|---\|---\|---\| \| WOMEN IN PARLIAMENT \| \| \| \| \| \| The average proportion of women in parliament reaches 50%. \| \| 25% \| 27% \| 27% \| \| No. of countries that have achieved over 30% women in Parliament \| \| 5 (Angola, Mozambique, Namibia, South Africa, Tanzania) \| 7 (Angola, Mozambique, Namibia, Seychelles, South Africa, Tanzania, Zimbabwe) \| 6 (South Africa, Namibia, Mozambique, Angola, Tanzania, Zimbabwe) \| \| Highest (country/%) \| \| South Africa (42%) \| Seychelles (44%) \| South Africa (42%) \| \| Lowest (country/%) \| \| DRC (8%) \| DRC (9%) \| DRC (8%) \| \| W \| OMEN IN CABINET \| Women in Cabinet \| \| Women in Cabinet \| \| Average proportion of women in cabinet reaches 50% \| \| 21% \| 22% \| 23% \| \| No. of countries that have achieved over 30% women in Cabinet \| \| 1 (South Africa) \| 2 (South Africa, Tanzania) \| 3 (Seychelles, Zambia, South Africa) \| \| Highest (country/%) \| \| South Africa (42%) \| South Africa (41%) \| Seychelles (43%) \| 15 SADC countries have achieved parity in parliament, local government and cabinet \| Target 2030 \| \| Baseline 2009 \| Progress 2015 \| Progress 2017 \| Variance (Progress - 2030 target) \| \|---\|---\|---\|---\|---\|---\| \| WOMEN IN LOCAL GOVERNMENT \| \| \| \| \| \| \| Average proportion of women in local government reaches 50% \| \| 23% \| 24% \| 24% \| -26% \| \| No. of countries that have achieved over 30% women in Local Government \| \| 5 (Lesotho, Mozambique, Namibia, South Africa, Tanzania) \| 5 (Lesotho, Mozambique, Namibia, South Africa and Tanzania) \| 5 (Lesotho, Mozambique, Namibia, South Africa and Tanzania) \| 10 (Angola, Botswana, Malawi, Madagascar, Mauritius, Namibia, Seychelles, Swaziland, Zambia, Zimbabwe) \| \| Highest (country/%) \| \| Lesotho (58%) \| Namibia (49%) \| Lesotho (49%) \| -1% \| \| Lowest (country/%) \| \| Mauritius (6%) \| Madagascar (6%) \| DRC (6%) \| -44% \| \| W \| OMEN IN TOP POLITICAL PART \| Y POSTS \| \| \| \| \| Average proportion women in top political party posts reached 50% \| \| \| \| 13% \| -37% \| \| No. of countries that have achieved over 50% women in top political party posts \| \| \| \| None \| 15 (Angola, Botswana, DRC, Lesotho, Malawi, Madagascar, Tanzania, South Africa, Mozambique, Mauritius, Namibia, Seychelles, Swaziland, Zambia, Zimbabwe) \| \| Highest (country/%) \| \| \| \| Madagascar (27%) \| -23% \| \| Lowest (country/%) \| \| \| \| Angola, Botswana, DRC, Lesotho, Seychelles (0%) \| -50% \| \| W \| OMEN IN ELECTORAL BODIES \| \| \| \| \| \| Average proportion women in Electoral Bodies reached 50% \| \| \| \| 30% \| - 20% \| \| No. of countries that have achieved over 50% women in Electoral Bodies \| \| \| \| 1 (Mauritius) \| 14 (Angola, Botswana, DRC, Lesotho, Malawi, Madagascar, Tanzania, South Africa, Mozambique, Namibia, Seychelles, Swaziland, Zambia, Zimbabwe) \| \| Highest (country/%) \| \| \| \| Mauritius (53%) \| Exceeded target (Needs to set new country target) \| \| Lowest (country/%) \| \| \| \| Mozambique (13%) \| 37% \| \| W \| OMEN JUDGES \| \| \| \| \| \| Average proportion women Judges reached 50% \| \| \| 28% \| 28% \| -22% \| \| No. of countries that have achieved over 50% women Judges in SADC \| \| \| 1 (Lesotho) \| 2 (Madagascar, Mauritius) \| 14 (Angola, Botswana, DRC, Malawi, Madagascar, Tanzania, South Africa, Mozambique, Mauritius, Namibia, Seychelles, Swaziland, Zambia, Zimbabwe) \| \| Highest (country/%) \| \| \| Lesotho (65%) \| Madagascar (88%) \| Exceeded target (Needs to set new country target) \| \| Lowest (country/%) \| \| \| Seychelles (11%) \| DRC (6%) \| -44% \| \| WOMEN SOURCES IN POLITICAL \| \| TOPICS \| \| \| \| \| Average proportion women sources in political parties reached 50% \| \| \| \| 15% \| -35% \| \| Highest (country/%) \| \| \| \| Malawi (26%) \| -24% \| \| Lowest (country/%) \| \| \| \| DRC (5%) \| -45% \| \| S \| CORES \| \| \| \| \| \| SGDI \| \| 48% \| 49% \| 47% \| -53% \| Source: Gender Links, 2017. Table 2.2 shows that: * There are wide variations in women's representation in all levels of governance. Countries need to adopt different timeframes and realistic targets for achieving gender parity, with 2030 the outside deadline. * Women's representation in parliament has only increased by two percentage points from 25% in 2009 to 27% by 2015. This percentage remains the same in 2017. No country has reached the 50% target. At 42%, South Africa has the highest proportion of women in parliament. Since 2015, Seychelles has dropped out of group of countries close to achieving the 50% target having moved from 44% women in parliament in 2015 to 21% women in parliament after the September 2016 national elections. Swaziland has the lowest proportion of women in parliament at 6%. * Women's representation in cabinet has only improved by two percentage points from 21% in 2009 to 23% in 2017. Cabinet appointments that are at the sole discretion of the head of The Southern Africa Gender and Deve-lopment Index (SGDI) initially measured women's representation in parliament, cabinet and local government with the target of 50% doubled to 100% in each case, as all SGDI scores are out of 100. In 2017, the Barometer has added women's representation in top party posts, electoral bodies, and judges to broaden the scope of decisionmaking. The SGDI has also added an indicator on women sources in the political topic category: an important measure of voice. Not surprisingly, the SGDI overall has gone down from 49% in 2015 to 47% in 2017. Overall the region is less than half way where it should be by 2030. The Citizen Score Card (CSC) measures citizen perceptions of governments' commitment to gender and governance. This score has also been expanded to take into account the new additions and emphasise in the Post - 2015 SADC Gender Protocol detailed in Table 2.1. The CSC dropped from 67% in 2015 to 66% in 2017. state, should provide the ideal opportunity for leaders to "walk the talk". This has not been the case as women are least represented in most SADC countries. Seychelles (43%) has the highest proportion women in cabinet followed by South Africa (42%). DRC (8%) has the lowest proportion of women in cabinet. * Women in local government only increased by one percentage point from 23% in 2009 to 24% in 2015 and 2017. Only five countries have achieved over 30% women in local government. Lesotho (49%) and Namibia (48%) and South Africa (41%) are the only three countries with over 40% women in local government. * At a regional average of 13%, few political parties have "special" or "affirmative" measures to promote women's representation and participation in their own ranks. Madagascar has the highest proportion of women in political party 29 leadership at 27%. Most countries having no women in political party leadership. * Women comprise 30% of commissioners in independent electoral commissions in the region. This ranges from 13% in Mozambique to 53% in Mauritius. * Madagascar (88%) and Mauritius (50%) have made outstanding gains by reaching the 50% target of women judges. But more needs to be done in the region, where overall women judges comprise 28% of the total. * At 15% news sources in the political topic category, women still lack a voice in this critical area of participation. This ranges from 5% in DRC to 26% in Malawi. Scores - SGDI and CSC SGDI has gone down to 47% in2017 from 49% in 2015 CSC has dropped from 67% in2015to 66% in 2017 CSC 66% 67% higher scored than Source: Gender Links, 2017. Figure 2.1 shows that overall at 47% for the SGDI and 66% for the CSC, there is quite a wide divergence between these scores - wider than in any other sector. Variance is calculated as the difference between the SGDI and CSC. The CSC was higher than the SGDI in all countries. This is likely due to the high visibility of 50/50 campaigns, even though the reality is one of one step forwards, two steps backwards. The perception of change is good. However, this needs to be converted into real progress, otherwise cynicism will set in. Source: Gender Links, 2017. Figure 2.2 compares the CSC for women and men. This shows that overall at 67%, women score their governments higher than men at 65%. In 2017, the biggest gender gap in perceptions are in countries that held elections particularly Lesotho (11%) and Seychelles (9%). In both countries, 50/50 campaigns were quite intense at the local level where the majority of women live. Elections in both countries ended in the formation of coalition governments that witnessed new comers in political leadership. In Tanzania, Malawi, Angola and Swaziland, men are more optimistic than women, a possible reflection of the patriarchal nature of these societies. In Mauritius and DRC, women and men scored their governments the same.
Prince of Peace Dr. Frank J. Allen, Jr., Pastor First Presbyterian Church, Kissimmee, Florida I saiah 9:2 -6 The people who walked in darkness have seen a great light; those who lived in a land of deep darkness— on them light has shined. 3 You have multiplied the nation, you have increased its joy; they rejoice before you as with joy at the harvest, as people exult when dividing plunder. 4 For the yoke of their burden, and the bar across their shoulders, the rod of their oppressor, you have broken as on the day of Midian. 5 For all the boots of the tramping warriors and all the garments rolled in blood shall be burned as fuel for the fire. 6 For a child has been born for us, a son given to us; authority rests upon his shoulders; and he is named Wonderful Counselor, Mighty God, Everlasting Father, Prince of Peace. THE STRUGGLE FOR SHALOM Today is the fourth Sunday of Advent, and today we consider the fourth title for the Messiah in Isaiah's prophecy, … Prince of Peace. How would the Messiah be a Prince of Peace? The word translated "peace" is the Hebrew word, "shalom." December 18, 2016 Shalom means more than just the absence of conflict. Shalom means to promote the general welfare. Shalom means to create the conditions that promote peace. Shalom is at once a divine blessing, a challenge to society and a sense of inner peace. King Solomon's name was a derivative of the word shalom. And so his name expressed the hope of God's people for his reign. After the conflicts and political intrigue of his father, David it would have been nice to have a king who would bring a time of peace and prosperity. Unfortunately Solomon didn't live up to his name. His reign consisted of a military build up and the exploitation of his people for cheap labor. This did not promote shalom. In fact there was such resistance to the policies of Solomon that there was open rebellion when this king died. And, as a result of this conflict, God's people eventually divided into two kingdoms, the ten tribes of the northern kingdom, Israel and the two tribes of the southern kingdom, Judah. The division proved to be a disaster, both spiritually and from a military standpoint. The diaspora, the scattering of God's people all over the world by the Assyrians, and the exile to Babylon were a direct result of these decisions that went against the biblical concept of shalom. This should have served as a warning to the people. "Peace" that is based upon military might and the exploitation of people will not be a peace that lasts. This approach will create deep division. The seeds of violence and destruction are sown in a society that lives by the sword and exploits those who are weak. True peace, shalom is built upon a society that is just and righteous. But, God's people did not always learn from their history. We, of course, are the same way. The Old Testament details a struggle to understand and accept shalom, God's peace. Sometimes, the prophets imagined a time when people would beat their swords into plowshares and their spears into pruning hooks. Nations would not learn war any more and the people could live in peace and not be afraid. (Isaiah 2:1-4; Micah 4:1-5) There's a famous sculpture that sits in the front of the United Nations that depicts this day of shalom. It will be a time when weapons of war will be converted to instruments of peace. (One interesting modern application of this concept is the dismantlement of nuclear weapons and using the nuclear material to make fuel for power plants. This initiative is called the Megatons to Megawatts Program.) On the other hand many of our attempts to bring about peace have been abject failures. The destruction of Aleppo and the continuing conflicts in the Middle East are prime examples. The United Nations is often a place marked by corruption and contentious posturing instead of the peacemaking body was supposed to be. JUSTICE AND RIGHTEOUSNESS Let there be peace on earth? That's a good idea, but then there's the reality of a violent and sinful world. Peace will not come from good wishes or good ideas. We need more than that. The prophet Jeremiah realized that peace had become nothing more than a convenient political slogan. The kings counselors were telling him what he wanted to hear, that they would win the victory and obtain the peace they wanted. But, there could be no peace without justice and righteousness. And so the prophet wrote, "For from the least to the greatest of them, everyone is greedy for unjust gain; and from prophet to priest, everyone deals falsely. They have treated the wound of my people carelessly, saying, 'Peace, peace,' when there is no peace." (Jeremiah 6:13-14) "Peace" without justice and righteousness is not peace at all. In order for there to be real peace, God's shalom, things have to change. Unjust governments would need to change their ways. And God's people would need to base their life not on greed but service and love. The prophet Isaiah realized that before there could be a reign of peace could become a reality, the old way of life would have to be destroyed. The rod of the oppressor would have to be broken. The boots of the tramping warrior, and the blood soaked clothes worn in battle would have to become fuel for the fire. (Isaiah 9:4-5) HOPE FOR A MESSIAH How could that be accomplished when the hand of the oppressor seemed so strong? God would have to intervene. God would send a Messiah. And this Messiah would be the Wonderful Counselor, the Mighty God, the Everlasting Father, and the Prince of Peace. For many years the people waited for this Messiah to come. They dreamed of the peaceable where the "wolf would lie down with the lamb." (Isaiah 11:6) They remembered Ezekiel's promise of an everlasting "covenant of peace." (Ezekiel 34:25, 37:26) They dreamed but their dreams were never fulfilled. The rod of the oppressor was never totally broken. In fact it seemed like the history of God's people was the history of one bad ruler after another. As we've talked about over the past few weeks, when Jesus was born, things seemed particularly bad. For one thing crazy Herod was "king." And the power behind the throne of this madman was the Roman Empire. The Romans had their own version of peace. They called it "Pax Romana". (That's about all the Latin I remember from my high school Latin class! And I'm sure you can guess what it means … the Roman Peace.) But, the title was very misleading. This Roman peace was anything but peaceful. It was a "peace" enforced with the iron fist of military might and persecution. The cross of Jesus was not the first cross that dotted the hillside in the Promised Land. So into this land where sorry prophets and politicians still pronounced "peace, peace" where there was not peace, Jesus was born. NOT THE MESSIAH THEY EXPECTED The prophecy said that the Messiah would be the "Prince of Peace". The Messiah would be the son of a king who would use his power and influence for the good of the people. But, in many ways Jesus did not seem to fit the Messiah profile. For one thing he was certainly no prince. He was born in a cattle stall in Bethlehem and grew up in Nazareth. This was a town so bad that everyone who came from that place lived under a cloud of suspicion and doubt. "Can anything good come from Nazareth?" Not likely, the people said. But, the humble circumstances of his upbringing was not the only problem with Jesus being called a "prince". Jesus did not act the way a "Prince of Peace" should act. Many believed the Messiah would be a warrior king who would establish God's kingdom by force. There would be peace all right. It would be a "peace" that would look ever so much like the "Pax Romana" under which they now lived. It would be an established by military victory and absolute rule. The only difference would be that now the "shoe would be on the other foot." The Jews would be in charge instead of the Romans. The Roman weapons of war would be destroyed. When that happened then there would be peace. But, of course we know that Jesus wasn't like that. Much to the chagrin of his disciples and those that wanted to make him king, Jesus saw the Kingdom of God in a way that seemed to contradict the prophecy of Isaiah. Yes, Jesus was indeed the Prince of Peace. He was the child born of God. But, he was not going to win the victory on the battlefield. As we've said before… He was the Messiah. But, He was not the Messiah they expected. The kingdom of God as revealed by Jesus proved to be quite different from the kingdoms of this world. The peace that Jesus brought was a peace based upon service and love and forgiveness. The peace that Jesus brought was not based upon military might but upon vulnerability and sacrifice. He would be the crucified Messiah. The cross would be his throne from which he would proclaim forgiveness for his enemies. PRINCE OF PEACE For the kingdoms of this world, it must have seemed as crazy as strawberry pizza. Actually, it seemed more than crazy. It seemed dangerous. It seemed subversive. They thought the teachings of Jesus would tear down their way of life. From the very beginning of the story the battle lines are drawn. Herod the king wants to know where the baby born a king is located … so that he can "worship him." Not likely. Earthly kings don't keep their power by worshipping a pretender to the throne. His savage actions later in the story confirm this. And the worst part is this. The murderous Herod didn't have to kill the innocents. He had no reason to be worried. Jesus would have no political ambition. Jesus was not going to be Herod's kind of king. Jesus was not going to be like a Jewish Roman Emperor. He was going to be God's kind of king. He was going to be a Prince of Peace. Jesus was not going to conquer the kingdoms of this world. Jesus was going to transform the whole world through his peace. And this peace would be based upon grace. The announcement of his birth by angels gives us a clue that this King and Kingdom are going to be different. After all, what kind of king has his kingdom announced in the middle of the night … not to the movers and shakers in the world … but to lowly shepherds? God's kind of King. This would be a King for the downcast and the defeated. This would be a Kingdom for the widow and the orphan and the homeless immigrant. GUILT AND FORGIVENESS In the ministry of Jesus we see a portrait of what shalom, God's peace is really about. It is not about tearing down but about building up. It's about transforming the kingdoms of this world into the Kingdom of God by the breathtaking power of forgiveness. Tennyson wrote that "there are more things wrought by prayer than this world dreams of." I think that's true. But, to paraphrase Tennyson I think this is also true, "There are also more things wrought by guilt than this world dreams of." I would describe guilt in the words of our lesson for today. Guilt causes the people to walk in deep darkness and live in a land of deep darkness. The seeds of guilt manifest itself in our personal lives and in our greater society. On a personal level guilt brings about or worsens physical and mental problems. Often our relationships with family and friends are harmed because of guilt. Sometimes we try to escape guilt by placing the blame on someone or something else. Or, just as bad, we take all the blame and become depressed. But, the fastest way to escape the power of guilt is the route of forgiveness. Forgiveness is real. It is the source of peace. There's a reason I make it point to have a prayer of confession each and every week that is followed by a declaration of pardon. "Hear the good news of the gospel. In Jesus Christ we are forgiven." All of us need to hear that every day. But, I know that on any particular week there is someone who needs to hear it more than most. There is someone who can be cured with a word of forgiveness from the Lord. There is someone who needs to receive a Word of peace from the Prince of Peace. PEACE IN THE NEW TESTAMENT In Luke's gospel the declaration of peace is more than just a way to say hello or goodbye. God's peace has the power to transform lives wracked by guilt and pain. For example, Jesus tells the "sinful" woman who has anointed him, "Your faith has saved you. Go in peace." (Luke 7:50) A little bit later in Luke's story Jesus heals a woman who had spent her life savings seeking a cure for her illness. But, Jesus does more than heal her physically. He heals her spiritually as well. He tells her, "Daughter, your faith has made you well. Go in peace." (Luke 8:48) People who are sick and tired of being sick and tired have more than physical problems. They have spiritual problems as well. They are angry and disappointed. The peace of Christ can fix that. And Jesus told his disciples that his peace would be a part of their ministry tool kit. Whenever they would go to a house to proclaim the gospel they were to say, "Peace be upon this house." (Luke 10:5-6) The first word we speak in Jesus' name should always be a word of peace. The implications of this peace go beyond personal relationships. They also affect our relationships in the wider world. One of the most poignant scenes in the Bible occurs when Jesus looks out over Jerusalem and weeps. He knows that they are on the path to destruction. He says, "If only you had recognized the things that make for peace…" In this particular passage Jesus doesn't elaborate on the things that make for peace. But, we know. The Bible makes it plain. A peaceful society is based upon the same principles that make for a peaceful person … … forgiveness, humility, serving others out of gratitude, loving your neighbor as yourself … You guys know all this stuff. These are the things that make for peace. But, sometimes, like the people of Jerusalem long ago, we fail to recognize these things. Disciples of Jesus are called to point out the ways that lead to peace. Long ago Jesus healed people and pronounced a word of forgiveness upon them. "Peace be with you", he said. These were more than just isolated instances of healing and forgiveness. They were signs of the in-breaking of God's Kingdom. PASSING THE PEACE Not everyone would see and understand these signs. Many would adopt the ways of the Empire, putting themselves and their own interests first. It would result in disaster. It would destroy the very thing they were trying to protect. But, it wouldn't be the end. It wouldn't be the final chapter in God's plan. The power of God's peace would prove to be stronger than the ways of the world. In John's gospel, the risen Christ leaves the disciples with these words, "Peace be with you. As the Father has sent me, so I send you." The disciples went. They spread this new notion of peace despite the threats and the persecution of the Empire. They spread this notion of peace despite being called traitors and heretics by their own people. And now, years later the struggle continues. Today Jesus tells us, "Peace be with you. As the Father has sent me, so I send you." It is our job to pass the peace. That might seem like too big a job for us. But, Jesus said that the Kingdom doesn't have to start with something really big. The Kingdom is like a mustard seed … very, very small. But, in God's hands, it grows and grows. So the Messiah is called the Prince of Peace. In a world filled with anger and despair it's still hard to believe in a Messiah like that. But, today, in small, out of the way places the angels still sing to the shepherds. And the message echoes throughout the countryside … peace on earth. It's not a dream. It's the Kingdom that comes … for he will be called the Prince of Peace. Amen.
Interview: Kingfisher boss Sir Ian Cheshire on his legacy as he leaves the stage Date: 7th December, 2014 Author: Matthew Chapman - Retail Week On a wet and grey day at Kingfisher's head office, located on the Grand Union canal in London's Paddington, Sir Ian Cheshire sits down to reflect on a distinguished 17-year career at the company. For the last seven years he has held the role of group chief executive of Europe's largest DIY retailer and tomorrow (Monday) will hand on the baton to Veronique Laury. As he prepares to step down from his position, the affable Cheshire reveals he will find it difficult saying goodbye to the people, but is looking ahead to a new start. "It is going to be odd not to be with them but there will be other things to do and fun people to work with," says Cheshire. While the 55-year old does not give too much away on what those other things may be, he takes wry amusement at stories in the press linking him to the chairman role at Tesco. "It is a very out of body experience finding yourself being volunteered for something you haven't put your hand up for," says Cheshire. "At 55 is it a bit soon to go off and be a chairman? One of the reasons for stepping down now is it gives me a four to five year period where I can do something full on." And if he still has four or five years in him as a chief exec, why not stay on as Kingfisher boss? Cheshire explains that while in January he envisaged staying on for another one or two years, it became clear in the summer that the Kingfisher board required a five year commitment. The five-year plan includes the acquisition of French rival Mr Bricolage and embedding it into the group, and the setting up of a major new systems platform that will run across all of Kingfisher's businesses. "Either you stay for this and see it through or you actually need to leave before it," says the cerebral Cheshire. "So it bought [my departure] forward maybe a year. I thought no, I'm not going to do 11 years as CEO." One thing is for certain, Cheshire wants to continue working at a consumer-facing business, and reveals he has "really enjoyed" his involvement with Premier Inn and Costa Coffee through his nonexec director role at Whitbread. But first he will take a well-earned two month break that includes a skiing holiday and a trip to India after 17-years at Kingfisher that has not been short of drama. Cheshire admits he had plans to leave the company on three separate occasions but that circumstances took over and he was parachuted into various new roles by then boss, Sir Geoff Mulcahy. Cheshire joined Kingfisher in a strategy and M&A role focused on the Castorama acquisition, and initially planned to stay for three years before moving on. Roll on 17 years and he is only just poised to step out the door. They have included heading up Kingfisher's ecommerce arm, leading the international business and the chief exec role at B&Q, before he was crowned group chief exec in January 2008. "It was a bit of baptism of fire and looking back on it, 2008 was a really stupid time to take over," jokes Cheshire. He took the top job following the sudden departure of Gerry Murphy, soon after the first signs of the credit crunch had begun to emerge in late 2007. One of Cheshire's first tasks as group chief executive was to talk the credit agencies round; they wanted to downgrade Kingfisher to junk status. "That would have been really good news as a new CEO," says a deadpan Cheshire. On top of that, he was at first forced to do two jobs simultaneously as he sought a successor for the B&Q business. And to exacerbate matters, Duncan Tatton-Brown, now at Ocado, decided he could not commit to another five years as chief financial officer. "There was a slight sense of 'you are all on your own here'," admits Cheshire. "The first six months before I got the team in place was probably the most painful because I had not yet backfilled B&Q and was trying to shelve things and make some changes." Fortunately during those first six months without a senior exec team in place Cheshire managed to dispose of the Italy business for 600m Euros, just before the global financial crisis really took hold. "If we hadn't done that we would have been sitting there with £1.6bn of debt with no banks lending anymore," says Cheshire By October Sutherland, O'Byrne and Peter Hogsted, who joined from IKEA where he was UK chief executive, were in place, providing Cheshire with a team to help him execute his vision for the company. "The thing I have always believed in is leadership through teams and the hero CEO stuff I find very hard to believe and I automatically distrust," says Cheshire. Cheshire believes his greatest legacy is getting Kingfisher operating effectively as a team, something that certainly was not the case at the start of his tenure. "There was a flat out civil war going on; Brico Dépôt and Castorama were fighting each other, B&Q and Screwfix would not talk to each other," says Cheshire. "Nobody wanted to talk to anybody at Paddington so it was all quite tricky." Ian Cheshire chats to staff at Kingfisher's Castorama business In order to break the deadlock in France Cheshire came up with a remarkably simple yet effective solution; he forced greater interaction by putting one person in charge of Kingfisher France and made bonuses dependent on the total profit performance of Brico Dépôt and Castorama. Cheshire describes it as a JFDI (just f*cking do it) moment. He then allowed the executives to hammer out the detail as part of his philosophy of enfranchising the team and avoiding micromanagement wherever possible. "What CEOs need to work out is what are the big framing decisions we need to take and a chunk of what you have to do is get out of the way of very good people," Cheshire. "There is a great temptation in CEO life to say 'make it so' and everyone responds 'yeah whatever' and 15 years later you wonder why it hasn't happened." During Cheshire's time in the top job he has witnessed an online revolution that has transformed the retail landscape, and it is the rise of mobile that has had the biggest impact on the sector, alongside institutional leases, in the eyes of Cheshire. Both have had transformative an effect on Kingfisher, in both positive and negative ways. A huge opportunity for Kingfisher going forward, and something that Cheshire and his team spotted early on, is the power of mobile, particularly for Screwfix, the jewel in the crown for the DIY giant. But institutional leases have given Cheshire a huge headache; B&Q has been left lumbered with giant 100,000 sq ft stores that look out of kilter in the era of multichannel retailing. However, overall Cheshire believes he has left the business in a decent state for Laury to take it to the next level. "The door has opened, there is a bunch of opportunity, have the courage to build on it and go faster," Cheshire advises his successor. A voice for the industry Cheshire has never been afraid to speak out on important issues that impact the industry. As chair of the British Retail Consortium he campaigned tirelessly for a reform of the antiquated business rates system. He was the first retailer to put his head above the parapets over the issue of Scottish Independence when he warned in April of this year that an independent Scotland could have an impact on prices north of the border. His good standing in the industry led him to be appointed as the lead non-executive member on the Department for Work and Pensions board. While Kingfisher's performance has slipped of late – retail profit declined 6.9% during the quarter ending November 1, the last set of figures under Cheshire – the outgoing boss can be proud of his legacy. During his 7-year tenure adjusted pre-tax profits have more than doubled from £337m to £744m and sales have risen from £9bn to £11bn. But in an age where the legacy of lauded retailers such as Sir Terry Leahy and Justin King are being called into question after their departure, is Cheshire confident his will stand the test of time? "The reality is you can never decide what other people will think of what you have done and what your record is," says Cheshire. "What happens to the business in the next phase is not entirely within my control and there will be challenges but also a ton of opportunity. Personally I would like my legacy to be remembered by the way the people inside work together." As the book closes on the final chapter of his time at Kingfisher, Cheshire insists he has no regrets. "The only slight wish factor would have been more progress in the last two or three years in Poland and Russia. But I don't really see any big regrets because most of what has happened we have decided. Some of it worked, some of it didn't, so can you really regret it?" says Cheshire. And with that Cheshire – a fluent French speaker - excuses himself from the interview to make his appointment with the French ambassador. To cite one of the most famous of all French songs; il ne regrette rien. CV 2005-08 Chief Executive of B&Q UK. Jan 2008-to date Group Chief Executive of Kingfisher plc. 2002-05 Chief Executive of International and Development 1998-2000 Strategy and Development Director 2000-02 Chief Executive of e-Kingfisher (joined board in 2000) Previous roles Before joining Kingfisher Ian worked for a number of retail businesses including Sears plc where he was Group Commercial Director. Education: School: King's, Canterbury. University: Christ's College, Cambridge (law and economics) Family: Married, 3 children (2 boys, 1 girl) Home: Wandsworth, London (plus Isle of Wight) Birthday: August 1959 Mentors: Crispin Tweddell and Sir Geoff Mulcahy Kingfisher timeline under Sir Ian Cheshire as Group CEO 2008 - Launches Delivering Value plan, a four year plan to deliver a "Step change in shareholder value". - Recruits top team, including Kevin O'Byrne as Finance Director and Euan Sutherland as CEO of B&Q and Kingfisher UK Aims to double earnings per share within four years. 2009 - Sells Castorama Italy for £615m - Announces re-structuring of B&Q China, including the closure of 20 stores - Screwfix launches Plumbfix and Electricfix trade propositions 2010 - Kingfisher's profits rise nearly 50% to £547m - B&Q becomes first UK retailer to sell 100% sustainably sourced wood 2011 - Buys 30 ex-Focus stores from administrator for conversion to B&Q. Saves 600 jobs. - Delivering Value plan successfully completed with profits more than doubled from £350m in 2008 to £807m and debt eliminated. 2012 - Announces next phase of growth plan, called 'Creating the Leader'. - Acquires 15 stores in Romania 2013 - Ian Cheshire knighted in New Year Honours List for services to business, sustainability and the environment. - Brico Depot expands into Portugal, Screwfix starts trial in Germany, stake in Hornbach sold for £195m. Announces plans to seek local partner in China 2014 - Announces acquisition of Mr Bricolage in France for enterprise value of 275m euros Link: www.retail-week.com
COUNCIL OF THE FACULTY OF SCIENCE AGENDA 1. Call to Order and Approval of Agenda 2. Chair's Remarks 3. Approval of January 12, 2021 Minutes 4. Inquiries and Communications 4.1 Senate Synopsis of meetings held on January 28, 2021 4.2 Call for Nominations - 2021 Honorific Professorships 5. Business Arising 6. Dean's Remarks 7. Associate Deans' and Head of Bethune College Remarks 8. Reports from Science Representatives on Senate Committees 9. Student Caucus Representative Report 10. Reports from Standing Committees of Council 10.1 Executive Committee 10.1.1 Ratification and Call for Nominations for Senate and Standing Committee of Council 10.1.2 Vacancies report on the Standing Committees of FSc Council (items for action) 11. Other Business 11.1 Facilitated Council discussions of Fall/Winter 2021-2022 planning - Mike Scheid NOTICE OF MEETING February 9, 2021 3pm – 4:30pm via Zoom COUNCIL OF THE FACULTY OF SCIENCE MINUTES January 12, 2021 3pm – 4:30pm via Zoom 1. Call to Order and Approval of Agenda The Chair of Council, C. Storry, called the meeting to order and the Agenda was adopted. 2. Chair's Remarks The Chair of Council, C. Storry welcomed members and special guests Rhonda Lenton, President & Vice-Chancellor, Lisa Philipps, Provost & Vice President Academic, Carol McAulay, Vice-President Finance & Administration and Ran Lewis, AVP Budgets & Asset Management, who were in attendance for a budget presentation to start the January Faculty Council. 3. Approval of December 8, 2020 Minutes A motion was moved, seconded and carried to approve the Minutes. 4. Inquiries and Communications 4.1 Senate Synopsis of meetings held on November 26, 2020 5. Business Arising There was none. 6. Dean's Remarks Dean Wang welcomed Faculty Council members back from the holidays and thanked members for their continued hard work and commitment to the University, even during the break. He acknowledged receiving a letter from the Student Caucus leaders expressing their concerns and challenges that they have been facing, and the support and solutions students need to overcome these obstacles. He provided an update that the letter has been shared with leadership and executives who have been asked to provide feedback. A detailed response with actions to take will be sent to Student Caucus soon. Dean Wang highlighted Dr. Allan Carswell, Physics Professor Emeritus who has been appointed to the Order of Ontario. He added that the Allan I. Carswell Observatory livestream of the planetary conjunction reached more than 15,000 viewers. Dean Wang welcomed our four new Faculty of Science employees: Dr. Kevin McGregor in Mathematics & Statistics, Drs. Ryan Schott and Jeffrey Schall in Biology and Hugo Chen, Director of International Collaborations and Partnerships. Dean Wang updated members that the strategic planning process is still on going. The Facultywide Town Hall meeting will take place on January 26 and will introduce the community to the planning process, timeline and survey results. He continued that the Dean's Special Advisory Board will be officially launched in the first week of February. Dean Wang shared that the Dean's Special Strategic Space Task Force met twice to review, incorporate and finalize the feedback received for the White Paper. A copy of the White Paper will be released to faculty and staff. 7. Associate Deans' and Head of Bethune College Remarks Associate Dean, Research & Graduate Education, Jennifer Steeves, reported that the NSERC USRA program will be launching soon, as well as a Grant Clinic ran by Research Commons, which is an opportunity for mentorship and 1 on 1 grant development training. Associate Dean, Faculty Affairs, Gerald Audette reported that academic searches are still ongoing and Council was reminded to submit CVs and any outstanding sabbatical reports. Associate Dean, Students, Mike Scheid advised that the emergency lockdown is being monitored by the Emergency Operations Centre committee and they will provide recommendations on how to proceed. He reminded Council of the call to action for recommendations, proposals and ideas to create virtual learning strategies - the application is due first week of February. He advised that he will start a discussion surrounding Fall/Winter 2021-2022 planning during February's Faculty Council meeting. 8. Reports from Science Representatives on Senate Committees There were none. 9. Student Caucus Representative Report Students thanked the Dean and Faculty of Science for giving them the opportunity to express themselves and to advocate for student voices. They expressed the lack of research workshops and suggested making research opportunities and information more accessible online. 10. Reports from Standing Committees of Council 10.1 Executive Committee 10.1.1 Ratification and Call for Nominations for Senate and Standing Committee of Council A motion was moved, seconded and carried to ratify all nominations as presented. 10.1.2 Vacancies report on the Standing Committees of FSc Council (items for action) The Chair noted the following committees with vacancies: Petitions Committee, Committee on Teaching & Learning and Graduate Education Program Committee. 10.2 Curriculum Committee (consent agenda items) All items were passed. 11. Other Business 11.1 Budget Consultation – Office of the President Rhonda Lenton, President & Vice-Chancellor, Lisa Philipps, Provost & Vice President Academic, Carol McAulay, Vice-President Finance & Administration and Ran Lewis, AVP Budgets & Asset Management presented a Budget Consultation PowerPoint. Faculty was encouraged to provide feedback and recommendations. Attendance \| Margaret \| Hough \| \|---\|---\| \| Hassan \| Khan \| \| Lisa \| Philipps \| \| Rachel \| Duncan \| \| Robin \| Metcalfe \| \| Gino \| Lavoie \| \| Gabriella \| Gerzon \| \| Aleeza \| Qayyum \| \| Pierre \| Potvin \| \| Joanne \| Sequeira \| \| Kyle \| Belozerov \| \| Ran \| Lewin \| \| Daniel \| Kamel \| \| Tom \| Salisbury \| \| Alice \| Fours \| \| Sameen \| Ali \| \| Jennifer \| Chen \| \| Areeba \| Chaudhry \| \| Rui \| Wang \| \| Michael \| Scheid \| \| Jennifer \| Steeves \| \| Robert \| Tsushima \| \| Stephanie \| Domenikos (STS) \| \| Brad \| Sheeller \| \| Derek \| Jackson (FT Faculty) \| \| Iain \| Moyles \| \| Stephen \| Watson \| \| Monique \| Myers \| \| cody \| storry \| \| Helen \| McLellan \| \| Elaheh \| Abdollahi \| \| Gerald \| Audette \| \| Hamed \| Babazadeh \| \| Christine \| Le \| \| Ali \| Bashar \| \| Tihana \| Mirkovic \| \| Robert \| Cheung \| \| Hila \| Akbari \| \| Rhonda \| Lenton \| \| Ailiya \| Rizwan \| \| Julie \| Clark \| \| Tina \| Reddi \| UNIVERSITY SECRETARIAT 1050 KANEFF TOWER 4700 KEELE ST. TORONTO ON CANADA M3J 1P3 F 416 736-5094 yorku.ca/secretariat Memorandum To: Vice-Presidents Deans and College Heads Directors of Research Centres and Institutes Faculty Council Chairs From: Shayna Rosenbaum, Chair, Senate Committee on Awards Date: January 19, 2021 Subject: Call for nominations: Honorific Professorships I am writing on behalf of the Senate Committee on Awards to encourage you to submit nominations for University Professorships and to promote the submission of nominations among your colleagues. The University Professorship is a prestigious award conferred on a member of the faculty who is recognized by their peers for scholarship, teaching and particularly for participation in University life or contribution to the University as a community. The University Professor will be a long-serving tenured faculty member who has demonstrated a commitment to participation in University life and/or contribution to the University as a community, as well as appropriate levels of scholarship and teaching success. Such achievement fulfills the following requirements: * significant long-term contribution to the development or growth of the University or of its parts; * sustained impact over time on the University's teaching mission; and * significant participation in the collegium through mentorship, service and/or governance; * recognition as a scholar. Nominations may be made by all tenured faculty members, who shall provide a complete nomination file, including the nominee's c.v., a detailed letter of nomination explaining how the candidate's achievements conform to the general criteria, along with three (3) letters of support from those in a position to comment on the nominee's achievements and contributions. The Distinguished Research Professorship is awarded to a member of the faculty who has made outstanding contributions to the University through research. As set out in the Senate Policy on Honorific Professorships, there may be "no more than twenty-five active… Distinguished Research Professors" at any one time. Currently, there are twenty-five active Distinguished Research Professors. Accordingly, a Distinguished Research Professor competition will not be held during the 2020-2021 year. Nomination Information The Senate Policy on Honorific Professorships and the nomination form are available on the Awards Committee website. While the principal criteria are set out in the Senate Policy, York strongly values diversity and equity within its community and encourages nominations of those who are under-represented in recent competitions. Nominations for the University Professorship should be submitted by Friday, March 5, 2021, electronically to the Committee Secretary at firstname.lastname@example.org. Please note that, as set out in the Policy, the committee shall, in confidence, provide a complete copy of the file to the Dean of the nominee's home Faculty and invite the Dean to add a confidential letter of commentary on the nomination. Nomination files of those not selected for the University Professorship will be held for reconsideration by the Awards Committee for three years, provided the nominee remains active at the University. 2020-2021 FSc Report on vacancies for Senate and FSc Standing Committees of Council February 2, 2020 Ratification of Nominations Committee on Equality, Diversity & Inclusion D. Bazely 2020-2021 FSc Report on vacancies for Senate and FSc Standing Committees \| \| \| \| From \| To \| \|---\|---\|---\|---\|---\| \| \| According to the York University Secretariat based on the Senate Rules and Procedures governing the size and composition of Senate, the Faculty of Science shall have twelve members, including a minimum of two Chairs. According to The Rules of Council (Science), Faculty representation shall include the Director of Natural Science, three Department Chairs, and terms shall be for three years. \| As per Senate website \| \| \| \| Senate \| Dean, Ex officio \| R. Wang \| Designated \| \| \| \| Member at large \| G. Audette \| Designated \| \| \| \| Member at large \| E. Hessels, Physics & Astronomy \| 2019 \| 2022 \| \| \| Member at large \| C. Douglas (1yr replacement) \| 2019 \| 2022 \| \| \| Member at large \| T. Baumgartner, Chemistry \| 2018 \| 2021 \| \| \| Member at large \| B. Pietro, Chemistry \| 2019 \| 2022 \| \| \| Member at large \| M. H. Armour - 1 yr replacement \| 2019 \| 2022 \| \| \| Member at large \| N. Madras - 1 yr replacement \| 2020 \| 2023 \| \| \| Department Chair \| R. Tsushima, Biology \| 2018 \| 2021 \| \| \| Department Chair \| R. Fournier, Chemistry \| 2019 \| 2022 \| \| \| Department Chair \| S. Watson, Mathematics & Statistics \| 2019 \| 2022 \| \| \| Director of NATS \| J. Clark \| Designated \| \| \| \| Student representative \| Julyana Al-Hussain \| 2020 \| 2022 \| \| \| Student representative \| Romina Noormohammadi \| 2019 \| 2021 \| \| FSc Reps on Senate Committees \| \| \| \| \| \| Senate Executive \| 1 member from FSc \| M. H. Armour \| 2018 \| 2021 \| \| Academic Policy, Planning and Research Committee (APPRC) \| 1 member from FSc \| D. Golemi-Kotra \| 2020 \| 2023 \| \| Sub-Committee on Honorary Degrees & Ceremonials \| 1 member from FSc \| M. N. Yousaf \| 2020 \| 2023 \| \| \| The Executive Committee shall be chaired by the Chair of Council and include the Vice-Chair of Council, the Secretary of Council, and one member elected from each of Biology, Chemistry, Mathematics & Statistics, Physics & Astronomy, and Science and Technology Studies/Natural Science, the Dean of the Faculty of Science (ex officio ), one student member of Council, and one of the staff members elected to Council. \| The Executive Committee will normally meet the first Tuesday of each month (September to May) from 3:00pm - 4:30pm in LUM 305B \| \| \| \| Executive Committee \| Chair of Council \| C. Storry \| 2020 \| 2021 \| \| \| Vice-Chair of Council \| T. Salisbury \| 2020 \| 2021 \| \| \| Dean, Ex officio \| R. Wang \| Designated \| \| \| \| Asst. Dean - SEM & SEP \| A. Mun \| Designated \| \| \| \| Staff representative \| V. Gotcheva \| 2020 \| 2021 \| \| \| Undergraduate Student Rep \| Hila Akbari \| 2020 \| 2021 \| \| \| Biology \| D. Golemi-Kotra \| 2020 \| 2023 \| \| \| Chemistry \| S. Krylov \| 2019 \| 2022 \| \| \| Math & Stats \| N. Madras \| 2019 \| 2022 \| \| \| Physics & Astronomy \| S. Menary \| 2020 \| 2021 \| \| \| STS \| V. Pavri \| 2020 \| 2023 \| \| \| The Academic Policy and Planning Committee shall include the Dean or designate (ex officio ), the Master of Norman Bethune College and one member elected from each of Biology, Chemistry, Mathematics & Statistics, Physics & Astronomy, and Science and Technology Studies/Natural Science, one student member of Council, and one of the staff members elected to Council. \| APPC will normally meet the last Thursday of each month (September to April) from 9:00 am - 10:30 am \| \| \| \| APPC \| Associate Dean, Faculty Affairs, Ex officio \| G. Audette \| Designated \| \| \| \| Head of Bethune College \| J. Amanatides \| Designated \| \| \| \| Undergraduate Student Rep \| Rachel Duncan \| 2020 \| 2022 \| \| \| Elected staff representative \| M. Xu \| 2020 \| 2021 \| \| \| Biology, also representing STS \| J. Clark \| 2019 \| 2022 \| \| \| Chemistry \| R. McLaren \| 2019 \| 2022 \| \| \| Math & Stats \| Man Wah Wong - 1 year replacement ie, 2020-2021 \| 2019 \| 2022 \| \| \| Physics & Astronomy \| E. Hessels \| 2020 \| 2021 \| \| \| STS \| Represented by J. Clark \| 2019 \| 2022 \| \| \| The Curriculum Committee shall include the Dean and an Associate Dean (ex officio), the Chair or nominee from each teaching Division or Department, three members elected by Council and two student members of Council. \| The Curriculum Committee will normally meet every last Tuesday of each month (September to April) from 1:30 pm - 3:00 pm \| \| \| \| Curriculum Committee \| Member at Large \| J. Clark \| 2019 \| 2022 \| \| \| Member at Large \| VACANT \| 2020 \| 2023 \| \| \| Dean, Ex officio \| R. Wang \| Designated \| \| \| \| Associate Dean - Students, Ex officio \| M. Scheid \| Designated \| \| \| \| Undergraduate Student Rep \| Elana Dhaigham \| 2020 \| 2021 \| \| \| Undergraduate Student Rep \| Jessica Sinha \| 2020 \| 2021 \| \| \| Biology \| S. Connor \| 2019 \| 2022 \| \| \| Chemistry \| P. Potvin \| 2019 \| 2022 \| \| \| Math & Stats \| J. Grigull (Winter) VACANT (Fall) \| 2019 \| 2022 \| \| \| Physics & Astronomy \| S. Jerzak \| 2020 \| 2021 \| \| \| STS \| S. Domenikos \| 2020 \| 2021 \| J. Lazenby on Sabbatical July 2020-June 2021 P. Lakin-Thomas, Biology on sabbatical, return to Senate July 1, 2021 D. Wilson on Sab. Starting May 2020 - April 30-2021 M.H. Armour to serve 1 year, 2020-2021 J. Heffernan on Sabbatical Jul 1, 2020 - Jun 2021 Committee 2020-2021 FSc Report on vacancies for Senate and FSc Standing Committees Rules of Faculty Council - membership Meeting time / Membership Term From To \| \| The Committee on Examinations and Academic Standards shall consist of an Associate Dean (ex officio ), five members elected by Council from each of Biology, Chemistry, Mathematics & Statistics, Physics & Astronomy and Science and Technology Studies/Natural Science, and one student member of Council. \| CEAS will normally meet every alternate Wed / Thurs from 1:00 - 3:00 pm year round. \| \| \| \|---\|---\|---\|---\|---\| \| CEAS \| In addition to the above membership of the committee, Council shall elect an alternate member from each of the Departments specified above. The alternate member shall be the person polling the next highest number of votes to those elected to the committee from each Department. The alternate for the student member will be selected by the Science Student Caucus from one of its Members at Large. An alternate can only vote in the event that first elected members are not in attendance. \| \| \| \| \| \| Associate Dean - Students, Ex officio \| M. Scheid \| Designated \| \| \| \| Undergraduate Student Rep \| Ali Bashar \| 2020 \| 2021 \| \| \| Undergraduate Student Rep \| Sormeh Hamedani \| 2020 \| 2021 \| \| \| Biology \| C. Jang/ALT S. Connor \| 2019 \| 2022 \| \| \| Chemistry \| H. Kouyoumdjian / R. McLaren / T.Mirkovic \| 2020/2018 \| 2023/2021 \| \| \| Math & Stats \| M.Chen (Fall) Y. Wu (Winter) ALT C. Fu \| 2020/2019 \| 2023/2022 \| \| \| Physics & Astronomy \| M. Horbatsch; P. Delaney (Sept - Nov), William van Wijngaarden (Dec - Feb), Saeed Rastgoo (Mar - May) \| 2020 \| 2021 \| \| \| STS \| J. Elwick/J. Rogerson \| 2020/2023 \| 2020/2023 \| \| \| The Petitions Committee for the purpose of hearing student petitions shall consist of an Associate Dean (ex officio ), six members of Council, and two student members of Council. The Committee may divide the workload by splitting the Committee membership into two panels of four people each. A quorum shall consist of either (a) two faculty voting faculty members and one student member or (b) three voting faculty members. \| Each panel meets once a month on Wednesday or Thursday from 2:30 pm - 4:00 pm \| \| \| \| Petitions \| Associate Dean, Ex officio \| M. Scheid \| Designated \| \| \| \| Undergraduate Student Rep \| Yashna Manek \| 2020 \| 2021 \| \| \| Undergraduate Student Rep \| Hassan Khan \| 2020 \| 2021 \| \| \| Member at Large \| K. Belozerov \| 2020 \| 2023 \| \| \| Biology \| A. Mills \| 2020 \| 2022 \| \| \| Chemistry \| W. J. Pietro \| 2019 \| 2022 \| \| \| Physics & Astronomy \| N. Bartel (member in Fall ALT in Winter)/N. Bozorgnia ALT in Fall & member in Winter) \| 2020 \| 2021 \| \| \| Math & Stats \| Y. Gao \| 2019 \| 2022 \| \| \| STS \| S. Domenikos \| 2020 \| 2021 \| \| \| Member at Large \| VACANT \| 2020 \| 2023 \| \| \| The Committee on Tenure and Promotions shall consist of one currently tenured member from each of Biology, Chemistry, Mathematics & Statistics, Physics & Astronomy and Science and Technology Studies/Natural Science elected by Council, and one student member of Council. No member of the Committee shall be a member of another Tenure and Promotions Committee at any time during their tenure on this committee. \| SRC T & P Committee will normally meet the last Friday of each month (September to May) from 9:00 am - 11:00 am in LUM 305B \| \| \| \| SRC T & P Committee \| In addition to the above membership of the committee, Council shall elect an alternate member from each of the Units mandated above. The alternate member shall be the person polling the next highest number of votes to those elected to the committee from each Department. The alternate for the student member shall be selected by the Science Student Caucus from one of its Members-at-Large on an annual basis. An alternate can only vote in the event that existing members are not in attendance. \| \| \| \| \| \| Associate Dean - Faculty, Ex officio \| G. Audette \| Designated \| \| \| \| Undergraduate Student Rep \| Daniel Kamel \| 2020 \| 2021 \| \| \| Graduate Student Rep \| Si Jia (Molly) Hu \| 2020 \| 2021 \| \| \| Biology \| K. Hudak / ATL Jean-Paul Paluzzi \| 2020/2020 \| 2023/2023 \| \| \| Chemistry \| D. Ifa/ALT. V. Tsoukanova \| 2020/2019 \| 2023/2022 \| \| \| Physics & Astronomy \| W.Taylor/ALT.D. Harris \| 2020 \| 2021 \| \| \| Math & Stats \| A. Wong (Winter) S. Wang (Fall) ALT Y. Gao \| 2019 \| 2022 \| \| \| STS \| D. 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Mialet \| 2020 \| 2023 \| \| \| The Appeal Committee for the purpose of hearing student appeals shall consist of four elected faculty members from Science units, an Associate Dean (ex officio) and two student members of Council. A quorum shall consist of either (a) two faculty members and one student member or (b) three faculty members. \| Meeting is held once a month and times are polled by the Committee Secretary. \| \| \| \| Appeals Committee \| Associate Dean - Faculty, ex officio \| G. Audette \| Designated \| \| \| \| Undergraduate Student Rep \| Yurij Kunyckyj \| 2020 \| 2021 \| \| \| Undergraduate Student Rep \| Tanya Rajwani \| 2020 \| 2021 \| \| \| Member at Large \| R. Fournier \| 2019 \| 2022 \| \| \| Biology \| N. Kovinich \| 2020 \| 2023 \| \| \| Chemistry \| M. Hempstead \| 2020 \| 2023 \| \| \| Physics & Astronomy \| S. Rastgoo \| 2020 \| 2021 \| \| \| Math & Stats \| A. Wong \| 2020 \| 2023 \| 2020-2021 FSc Report on vacancies for Senate and FSc Standing Committees \| Committee \| Rules of Faculty Council - membership \| Meeting time / Membership \| Term \| \| \|---\|---\|---\|---\|---\| \| \| \| \| From \| To \| \| Graduate Education Program \| To provide broad review and commendation to Council via the Academic Policy and Planning Committee of all proposals received from Graduate Programs with respect to: New Course Proposals , Course Change Proposals, Minor Changes to Program/Graduate Diploma Academic Requirements, Major Modifications to Program/Graduate Diploma Academic Requirements, New Graduate Fields, New Graduate Diplomas, New Graduate Degree Programs The Graduate Education Committee shall consist of: - Associate Dean – Research & Graduate Education (ex officio) - Graduate Program Director (or designate who must be a member of the graduate program) of each Graduate Program in the Faculty of Science -one graduate student member from any Graduate Program within the Faculty of Science -one full-time faculty member from the Faculty of Health or Lassonde School of Engineering who is appointed to teach in any FSc graduate program - A member at large with knowledge of graduate programming, and experience with curriculum approvals at the Faculty-level. The Chair of the Committee is selected by the voting members of the Committee for a one-year term. \| Meeting is held \| \| \| \| \| Associate Dean – Research & Graduate Education (ex officio) \| J. Steeves \| Designated \| \| \| \| Biology \| B. Stutchbury \| 2020 \| 2023 \| \| \| Chemistry \| R. McLaren \| 2020 \| 2022 \| \| \| Physics & Astronomy \| M. Johnson \| 2020 \| 2023 \| \| \| Math & Stats \| S. Moghadas \| 2020 \| 2023 \| \| \| STS \| K. 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Audette \| Designated \| \| \| \| Associate Dean, Research & Graduate Education (ex officio) \| J. Steeves \| 2020 \| 2023 \| \| \| Undergraduate Student Rep \| Ailiya Rizwan \| 2020 \| 2022 \| \| \| Graduate Student / Post Doc Reprsentative \| Olga Andriyevska \| 2020 \| 2022 \| \| \| Graduate Student / Post Doc Reprsentative \| Hamed Babazadeh \| 2020 \| 2022 \| \| \| Biology \| D. Bazely \| 2020 \| 2023 \| \| \| Chemistry \| C. Le \| 2020 \| 2023 \| \| \| Physics & Astronomy \| D. Harris \| 2020 \| 2023 \| \| \| Math & Stats \| A. Chow \| 2020 \| 2023 \| \| \| STS \| V. Pavri \| 2020 \| 2023 \|
NAVIGATING THE ROADMAP FOR CLEAN, SECURE AND EFFICIENT ENERGY INNOVATION Issue paper on Diffusion rate of Renewable Electricity An assessment of the optimal RES share under varying determinants Author(s): Gustav Resch, Jasper Geipel, Andre Ortner, Albert Hiesl (TU Wien) Frank Sensfuss (Fraunhofer ISI) 02 / 2019 (final update) A report compiled within the H2020 project SET-Nav (work package 7, deliverable D7.4) www.set-nav.eu Project Coordinator: Technische Universität Wien (TU Wien) Work Package Coordinator: Fraunhofer Institute for Systems and Innovation Research (Fraunhofer ISI) The project has received funding from the European Union's Horizon 2020 research and innovation programme under grant agreement no. 691843 (SET-Nav). Project coordinator and lead author of this report: Gustav Resch Technische Universität Wien (TU Wien), Institute of Energy Systems and Electrical Drives, Energy Economics Group (EEG) Address: Gusshausstrasse 25/370-3, A-1040 Vienna, Austria Phone: +43 1 58801 370354 Fax: +43 1 58801 370397 Email: email@example.com Web: www.eeg.tuwien.ac.at Dissemination leader: Prof. John Psarras, Haris Doukas (Project Web) National Technical University of Athens (NTUA-EPU) Address: 9, Iroon Polytechniou str., 15780, Zografou, Athens, Greece Phone: +30 210 7722083 Fax: +30 210 7723550 Email: firstname.lastname@example.org Web: http://www.epu.ntua.gr 1 Introduction This Issue Paper informs on a modelling case study within the SET-Nav project dedicated to analyse the optimal diffusion rate of renewable electricity generation within the European Union in the years up to 2050. The overall objective of the work package (WP7) in which this case study is embedded is to extend and apply the modelling capabilities of the project consortium for the analysis of the supply side of energy systems, with a particular focus on the electricity sector. In this context, enabling and improving interactions between the different models is a strong focus. In a first step, existing models are extended and case studies are conducted, shedding light on specific topics of interest and aiming to derive lessons learnt for the follow-up overarching model-based assessment by means of pathways/scenarios for the decarbonisation of the EU's energy sector. This case study is dedicated to elaborate on the diffusion of renewable electricity generation, aiming to gain insights on the suitable/optimal share renewables may take in Europe's future electricity supply. Generally, renewable electricity generation (RES-E) is estimated to cover a high share of the future electricity demand in the EU. The possible diffusion of RES-E generation depends on the overall policy ambition in our combat against climate change, the relative costs of RES-E to its (low-carbon) alternatives, and the capability of the system to accommodate volatile generation. In particular, we want to investigate how the diffusion rate changes as reaction to: * Technological learning / Cost trends: Parameter changes in learning rates and the innovation system of renewable energy technologies. This part of the analysis has been contrasted with interim findings from our analysis within SET-Nav on technology innovation and policy implications (WP 3). * Market design / Flexibility provision: The design and operation of electricity markets are broad topics of their own – within our analysis, we focus on some core issues that impact RES-E integration, including grid development, electricity market design, and sector coupling / demand-side response. The core question behind is how distinct trends within above-listed areas might affect the provision of flexibility required to accommodate variable generation. Here we build on respective assessments done within SET-Nav, e.g. the case study analysis of centralised and decentralised electricity supply and the infrastructure requirements imposed, but also on lessons learnt in other projects, e.g. the Intelligent Energy for Europe project towards2030dialogue (www.towards2030.eu) where electricity market design trends have been subject of a thorough analysis performed. * Policy-related aspects / Policy ambition: Energy and climate policy provides the guiding framework for all market actors in the energy sector. Policy decisions can lay the grounds for certain developments, ambitious policy targets may facilitate the uptake of certain energy technologies, and/or may hinder others. Without digging into details of how energy policy instruments are or should be designed, we take an umbrella view on how policy decisions may affect the optimal share of RES in the electricity sector. Three representative examples are taken up in our analysis: o how policy design may facilitate or hinder the uptake of decentral RES prosumers, exemplified for the case of decentral photovoltaics; o how the (pending) reform of the EU's Emission Trading Scheme (ETS) may impact future RES developments, and, finally, o how the overall policy ambition for renewables determines the required uptake of RES in the electricity sector, exemplified by the assumed overall target set for RES within the EU by 2030. 2 Method of approach 2.1 The applied modelling system: Green-X & Enertile This analysis builds on modelling works undertaken by the use of TU Wien's Green-X model (cf. Box 1), closely linked to Fraunhofer ISI's Enertile model (cf. Box 2). More precisely, Green-X delivers a first picture of future RES developments under distinct energy policy trends and cost assumptions, indicating details on technology trends (investments, installed capacities and generation) and the geographical distribution of RES deployment as well as related costs (generation cost), expenditures (capital, operation and support expenditures) and benefits (avoided fossil fuels and related carbon emissions). For assessing the interplay between RES and the future electricity market, Green-X was complemented by its powersystem companion, i.e. the Enertile model. Thanks to a higher intertemporal resolution than in the RES investment model Green-X, Enertile enables a deeper analysis of the merit order effect and related market values of the produced electricity of variable and dispatchable renewables and, therefore, can shed further light on the interplay between supply, demand and storage in the electricity sector. Please note that for parts of the analysis, Enertile was replaced by TU Wien's HiREPS model, offering comparatively similar characteristics on power system modelling than Enertile but with additional features to assess impacts of electricity market design and system flexibility. 1 Box 1: Brief characterization of the Green-X model Green-X is an energy system model that offers a detailed representation of RES potentials and related technologies in Europe and in neighbouring countries. It aims at indicating consequences of RES policy choices in a real-world energy policy context thanks to its comprehensive incorporation of various energy policy instruments including related design features. The model simulates technology-specific RES deployment by country on a yearly basis, in the time span up to 2050, taking into account the impact of dedicated support schemes as well as economic and non-economic framework conditions (e.g. regulatory and societal constraints). Moreover, the model allows for an appropriate representation of financing conditions and of the related impact on investor's risk. This, in turn, allows conducting in-depth analyses of future RES deployment and corresponding costs, expenditures and benefits arising from the preconditioned policy choices on country, sector and technology level. Box 2: Brief characterization of the Enertile model Enertile is an energy system optimization model developed at the Fraunhofer Institute for System and Innovation Research ISI. The model focuses on the power sector, but also covers the interdependencies with other sectors, especially heating &cooling and the transport sector. It is used mostly for long-term scenario studies and is explicitly designed to depict the challenges and opportunities of increasing shares of renewable energies. A major advantage of the model is its high technical and temporal resolution – i.e. the model features a full hourly resolution: In each analysed year, 8,760 hours are covered. Since real weather data is applied, the interdependencies between weather regions and renewable technologies are implicitly included. Moreover, Enertile allows for a full optimization of the investments into all major infrastructures of the power sector 2 , including conventional power generation, combined-heat-and-power (CHP), renewable power technologies, cross-border transmission grids, and flexibility options such as demand- 1 TU Wien's HiREPS model can build here on already established linkages between electricity and heating & cooling as well as transport, as analysed in the course of the Towards2030-dialogue project (cf. Resch et al, 2017). Such a model extension will be undertaken in a more detailed manner within Enertile in the course of this project. 2 For the purpose of this case study, investments in RES technologies were taken from Green-X modelling. Thus, Enertile focussed on modelling complementary investment needs as well as power plant dispatch. side-management (DSM) and power-to-heat storage technologies. The model chooses the optimal portfolio of technologies while determining the utilization of these for all hours of each analysed year. Figure 1: Model coupling between Enertile (left) and Green-X (right) for a detailed assessment of RES developments in the electricity sector Enertile Green-X Electricity prices, Market values, Curtailment RES-E installed capacities and cost (investment, operation) Optimal RES-E share, costs and benefits Case Study Analysis Electricity system model, power plant dispatch RES investment model, detailed energy policy representation Figure 1 gives an overview on the interplay of both models. Both models are operated with the same set of general input parameters, however in different spatial and temporal resolution. Green-X delivers a first picture of renewables deployment and related costs, expenditures and benefits by country on a yearly basis (2010 to 2050). The output of Green-X in terms of country- and technology-specific RES capacities and generation in the electricity sector for selected years (2020, 2030 and 2050) serves as input for the power-system analysis done with Enertile. Subsequently, the Enertile model analyses the interplay between supply, demand, and storage in the electricity sector on an hourly basis for the given years. The output of Enertile is then fed back into the RES investment model Green-X. In particular, the feedback comprises the amount of RES that can be integrated into the grids, the electricity prices, and corresponding market revenues (i.e. market values of the electricity produced by variable and dispatchable RES-E) of all assessed RES-E technologies for each assessed country. 2.2 Overview on key assumptions and assessed scenarios Aiming at an analysis of the optimal diffusion rate of renewable electricity in dependence of key determinants, a set of seven different scenarios has been assessed so far. An overview on their definition is given in Table 1, providing a key characterisation of the individual scenarios and listing key input parameters and assumptions. From a topical viewpoint, we distinguish between three topical areas: technological learning / cost trends, market design / flexibility provision, and policy-related aspects. 3 3 The scenario(s) assessed under these topical areas show how the optimal diffusion rate / share of RES-E changes in comparison to the reference scenario (of aiming for 27% RES by 2030 under default assumptions). Table 1: Overview on assessed scenarios Abbreviation: EE … energy efficiency Next we introduce the set of common key input parameter and assumptions. 2.2.1 General input parameter and assumptions In order to ensure maximum consistency with existing EU scenarios and projections the key input parameters of the scenarios presented in this report are derived from PRIMES modelling and from the Green-X database (www.green-x.at) with respect to the potentials and cost of RES technologies. As indicated in Table 1 (above), PRIMES comes into play for energy demand developments as well as fossil energy and carbon price trends. The specific PRIMES scenarios used are the latest publicly available reference scenario (European Commission, 2016f) and the climate mitigation scenarios PRIMES euco27 and PRIMES euco30 that build on the targeted use of renewables (i.e. 27% RES by 2030) and an enhanced use of energy efficiency (EE) compared to reference conditions – i.e. 27% (euco27) or 30% EE (euco30) by 2030, respectively. Please note that all PRIMES scenarios are intensively discussed in the EC's winter package, cf. the Impact assessment of the recast RED (SWD (2016) 410 final) (European Commission, 2016). With respect to the underlying policy concept and ambition level for RES and energy efficiency, the following assumptions are taken for the assessed scenarios: A common policy framework until 2020: All scenarios build on common ground for the near future, i.e. the years up to 2020. Here, a strengthening of national RES policies is presumed, serving to meet the given 2020 RES targets. Each country uses national (in most cases technology-specific) support schemes in the electricity sector to meet its own 2020 RES target, complemented by RES cooperation between Member States in the case of insufficient or comparatively expensive domestic renewable sources. Please note that support levels are tailored to the national needs, in other words, they are generally based on the technology specific generation costs at country level. * A "least-cost" approach for RES post 2020: For renewables, the default ambition level is generally set at 27% - i.e. achieving a RES share in gross final energy demand in size of at least 27% by 2030 and beyond. 4 Conceptually, the scenarios follow a simplified policy concept for renewables: The underlying policy concept for incentivising RES can be characterised as a "leastcost" approach, enhancing an efficient use of RES for meeting the 2030 EU RES target in a costeffective manner as outlined in Box 3. Please note that this "virtual" policy concept matches perfectly with the objective of this case study. Thus, the RES policy approach taken in modelling allows for deriving the optimal RES-E share under given assumptions from a European least (policy) cost perspective – i.e. allowing for minimising support expenditures required for meeting a certain overall RES target by 2030 and beyond. Thus, the undertaken least cost allocation of the RES efforts to the available RES technologies across all energy sectors (electricity, heat, transport fuels) and countries (EU28 Member States) delivers an optimal RES deployment under given constraints. * Concerning the role of energy efficiency a moderate ambition level is presumed – i.e. in accordance with the PRIMES euco27 scenario, gross final energy demand is reduced by 27% in 2030 compared to baseline conditions. Box 3: A least-cost approach to allocate investments in RES technologies post 2020 The selection of RES technologies in the period post 2020 in all assessed cases within this exercise follows a least-cost approach, meaning that all additionally required future RES technology options are ranked in a merit-order, and it is left to the economic viability which options are chosen for meeting the presumed 2030 RES target. In other words, a least-cost approach is used to determine investments in RES technologies post 2020 across the EU. This allows for a full reflection of competition across technologies and countries (incorporating well also differences in financing conditions etc.) from a European perspective. Support levels and related expenditures follow then the marginal pricing concept where the marginal technology option determines the support level (like in the ETS or in a quota/certificate trading regime, or similar to the concept of liberalised electricity markets). 4 The overall RES target as presumed for 2030 – i.e. as default (at least) 27% RES share in gross final energy demand – is maintained in modelling as minimum target also for the period post 2030 (until 2050). Draft results show, however, that in all assessed scenarios the minimum target level is over fulfilled, meaning that RES deployment is then well above 27% in the years up to 2050. 3 Results of the model-based analysis 3.1 RES deployment at the aggregated level We start with an analysis of RES deployment according to the Green-X scenarios conducted within this case study. Since Green-X modelling builds on PRIMES scenarios that have been developed for and are discussed in the Impact Assessment accompanying the Proposal for a Directive of the European Parliament and of the Council on the promotion of the use of energy from renewable sources (COM(2016) 767 final), we involve these as well. In this context, Figure 2 below shows the development of the RES share in gross final energy demand throughout the period 2015 to 2030 in the EU28 according to the assessed Green-X scenario. As reference for 2030 also the shares in the PRIMES scenarios (i.e. PRIMES reference as of 2016 as well as PRIMES euco27and euco30 – the EU's central scenarios related to RES use post 2020) are indicated. Noticeably, an alignment to PRIMES results could be achieved at the aggregated level (i.e. on total RES deployment, EU28) for the policy track aiming for a (minimum) RES share of 27% by 2030. A closer look at the impact of assessed determinants concerning the optimal diffusion of RES electricity, done by conducting a set of sensitivity scenarios under the same RES policy concept / ambition (i.e. the 2030 target of (at least) 27% RES by 2030 under a least-cost policy framework), shows only a small changes at the aggregated level (i.e. on the overall RES share). As shown in Figure 2 or, specifically for 2030, in Figure 3 (left), in the case of high learning of selected key RES-E technologies (i.e. wind and photovoltaics) (i.e. scenario "27% RES – high learning") the minimum share would be succeeded – but only by 0.1 percentage points. A more pronounced impact arises in the case of a proactive ETS-reform, leading presumably to high carbon prices, specifically in the long term close to 2050 (i.e. scenario "27% RES – high carbon prices"): here overall RES deployment increases to a 27.4% RES share in gross final energy demand by 2030. The upper boundary of RES deployment within this modelling exam is set by the scenario "30% RES – strong EE": the 2030 RES share increase to 30% by 2030 because of the higher imposed RES policy ambition – i.e. a minimum RES target of 30% instead of 27% is imposed under this scenario. The right-hand side of Figure 3 provides interesting insights on how RES deployment in relative terms translates into absolute energy volumes – i.e. Mtoe or TWh of energy that need to be produced from renewable sources by 2030. Apparently, with stronger ambition related to energy efficiency the need for deploying renewables declines. As a consequence, only a 6% higher amount of renewables is needed to reach a 30% RES by 2030 under strong energy efficiency instead of striving for 27% RES in the case of moderate energy efficiency, cf. scenario "30% RES – strong EE" with e.g. scenario "27% RES (reference)". 5 In general terms, RES electricity is expected to provide the strongest contribution to overall RES target achievement: already by 2020 around 1,300 TWh, corresponding to ca. 48% of total RES generation in 2020, is expected to stem from RES in the electricity sector. According to the modelling conducted, reflecting a least-cost allocation of the 2030 RES target, RES-E generation would then increase further until 2030, reaching 1,713 TWh in 2030, corresponding to a share of 50.6% in total RES use, in a scenario that reflects a continuation of current trends of electricity market design (i.e. scenario "27% RES – trend market design", with delayed grid development, capacity markets as common market design, and no demand response). These scenario settings can be classified as least beneficial circumstances among the analysed cases. At the positive end, scenario "27% RES – high carbon prices" indicates an increase of RESE generation up to 1,801 TWh until 2030, corresponding to a share of 52.5% in total RES use by then. With a range from 1,412 to 1,446 TWh RES in heating & cooling is expected to deliver the second largest contribution, achieving a share of 41.1%-42.8% in total RES use, depending on the assessed underlying circumstances. A comparatively stable deployment of biofuels in transport is observable, driven by the moderate sectoral target imposed for RES in transport (and in consequence causing slight deviations from a purified cross-sectoral least cost allocation of RES use) 3.2 RES developments in the electricity sector The optimal RES-E share in dependence of assessed determinants Next we take a closer look at RES in the electricity sector, aiming to clarify the central question underlying this modelling case: how is the optimal RES-E share under a cross-sectorial least-cost allocation of RES use affected by assessed determinants? Similar to Figure 2, Figure 4 provides an illustration of the required RES deployment in the electricity sector at EU28 level in the period up to 2030 in relative terms, depicting the expected development of the RES share in gross electricity demand according to the assessed 5 An increase of the targeted RES share from 27% to 30% (as share in gross final energy demand) corresponds to an increase by 11% of RES use in absolute terms – if the underlying demand would be the same. As a consequence of the at the same time imposed stronger efficiency (i.e. increasing the EE target from 27% to 30%) the correspondingly required RES use in absolute terms increases however only by 6%. modelling cases. Striving for 27% RES by 2030 implies to achieve a RES-E share around 50% at the same point time – if a least-cost policy approach is followed as conditioned in this exercise. Increasing the RES ambition to 30% by 2030 would for example lead to an increase of the RES-E share to around 55%. As discussed for total RES above, energy efficiency impacts the required RES-E deployment in absolute terms – i.e. the amount of energy stemming from renewable sources (cf. Figure 3 (right)). In accordance with the central question underlying this case study (i.e. elaborating on the optimal RES-E share in dependence of assessed determinants), Figure 5 takes a closer look at the resulting RES-E deployment by 2030 and beyond. More precisely, this graph illustrates the resulting RES-E share in gross electricity demand by 2030 (left) for all assessed scenarios. The right-hand side of this graph provides also an outlook to 2050, indicating the expected RES-E share by that point in time. Key results and findings derived from these depictions are: * Under default framework conditions – i.e. moderate learning, optimal electricity market design, moderate carbon prices, and a RES policy framework that safeguard a minimum RES share of 27% RES by 2030 and beyond – as presumed in the reference scenario "27% RES" a RES-E share of 49.7% is reached in 2030. In the forthcoming years post 2030 RES-E deployment would then further increase because of expected ongoing improvements in economic viability, driven by technological progress of underlying technologies as well as by assumed increases in fossil fuel and carbon prices. In 2050 modelling indicates an impressive increase of the absolute and relative RES-E deployment, reaching a RES-E share in gross electricity demand of 95.1%. * Technological learning has an impact on these developments as observable from the related scenarios where either a 20% (compared to default) lower (i.e. scenario "27% RES – low learning") or a 20% higher learning rate (i.e. scenario "27% RES – high learning") is assumed for key technologies like wind energy and photovoltaics. As a consequence of the comparatively limited time span until 2030, only a small impact on the resulting 2030 RES-E share is applicable: the default RES-E share decreases by 0.5 percentage points to 49.2% in the case of low learning, and it is expected to increase by 0.2 pp to 49.9% in the case of high learning. By 2050 effects are more pronounced: here low learning of wind and photovoltaics would cause a decline of the RES-E share by 2.8 pp (i.e. from 95.1% (reference) to 92.3% (scenario "27% - low learning"). In the contrary, in the case of high learning the resulting RES-E share would increase by 1 pp (i.e. 96.1% under scenario" 27% RES – high learning"). Summing up, effects are generally more pronounced in the case of low learning since then some wind or photovoltaic projects would not materialise whereas in the case of high learning other constraints may come into play that limit the overall diffusion of wind and PV. * An even more pronounced impact on the optimal RES-E share is applicable for electricity market design, or, in other words, the capability of the system to provide flexibility to cope with high shares of variable renewables in electricity supply. Less or more flexibility of the power system and electricity market design in general, has technical and operational consequences and determines also the economic viability of RES-based electricity supply. As outlined in the methodology part of this report, specifically section 0, our modelling focusses on some core issues that impact RES-E integration, including grid development, electricity market design, and sector coupling / demand-side response. Under default optimal framework conditions / market design (i.e. scenario "27% RES (reference)) a high RES-E share (i.e. 49.7% by 2030, 95.1% by 2050) appears feasible from a technical perspective and at the same time this can be seen as economically viable. We contrast these findings with a scenario reflecting less optimal framework conditions – i.e. the so-called trend scenario (i.e. scenario "27% RES – trend market design") where for example a delayed grid development, no demand response and the implementation of capacity markets (leading to lower prices at the (energy-related) wholesale market) are postulated. It turns out that the optimal RES-E share is strongly affected: a decline of the RES-E share by 0.9 pp in 2030 (i.e. from 49.7% to 48.8%) and by 9.5% pp in 2050 (i.e. from 95.1% to 85.6%) is getting apparent. This underpins the often called need to adapt or redesign our market framework to foster renewable integration. * Different policy-related aspects have been analysed within our modelling exam. For each topical subject under consideration one scenario has been defined to gain further insights on the resulting impacts as outlined below: o Within our analysis of how policy design may facilitate or hinder the uptake of decentral RES prosumers, we showcase the impact of whether or not a prioritisation of decentral generation, exemplified for the case decentral PV, will be given in future years post 2020. Under default conditions (i.e. reference scenario "27% RES") the assumption is taken that a prioritisation of decentral PV is maintained in future years, leading to a strong uptake of decentral PV in future years and, thus, affecting also total RES-E deployment. As discussed above, RES-E is expected to achieve a share of 49.7% in 2020, increasing to 95.1% by 2050. In contrast to above, in the absence of a special prioritisation of decentral PV, meaning in practical terms that under scenario "27% RES – no prioritisation of decentral PV" we treat decentral PV systems (similar to other forms of central electricity supply) as a supply option to compete in the wholesale electricity market, decentral PV is lacking behind default trends. The optimal RES-E share by 2030 is consequently also affected, amounting to 49.2% which is 0.5 percentage points below the reference. Longterm (2050) impacts are even more pronounced: in 2050 the optimal RES-E share amounts to 90.6%, corresponding to a decline by 4.5 percentage points compared to reference. o Pronounced impacts are also applicable for the scenario where high carbon prices (as a consequence of a major ETS reform) are prevailing (cf. scenario "27% RES – high carbon prices"). One scenario is consequently dedicated to assess how the (pending) reform of the EU's Emission Trading Scheme (ETS) may impact future RES developments and in particular the uptake of RES in the electricity sector (in competition to RES in other energy sectors). We assume here a strong uptake of carbon prices within the ETS in future years, building on outcomes of recent PRIMES modelling in this topical area. More precisely, we assume that carbon prices evolve as proclaimed by the PRIMES euco27 scenario, serving as a guiding scenario in line with energy and climate targets within the EC's 2016 winter package. In contrast, our default assumption used in modelling is that carbon prices increase moderately in the years up to 2050 (in accordance with the 2016 PRIMES reference scenario), cf. Figure 3. Results show that an increase in carbon prices leads to a faster uptake of renewables in the electricity sector. The scenario "27% RES – high carbon prices" shows a RES share of 51.3% by 2030, and a fully RES-based electricity supply by 2050. 6 o Strong 2030 targets for RES (and energy efficiency): Here, we analyse how the overall policy ambition for renewables (and for energy efficiency) determines the required uptake of RES in the electricity sector, exemplified by the assumed overall 2030 target set for RES within the EU. More precisely, we take the assumption that at EU level the 2030 RES target is set at 30% (instead of 27% as default). 7 This leads to an accelerated uptake of RES electricity, reaching a demand share of 54.6% (instead of 49.7% as default) by 2030. By 2050 there is however hardly any difference in RES-E deployment compared to the reference case. Reason is that the policy-driven demand for RES (in electricity and in other sectors) is no longer the determining factor for RES use under the scenario setting. In other words, renewables are expected to be cost-competitive by then and the "minimum RES-share" imposed in the modelling takes no effect at that point in time (independent if that is set at 27% or at 30%). 6 A fully RES-based electricity supply, including a large set of variable RES generation, requires also a strong uptake of storage options and other flexibility solutions, so that they are available by that point in time. 7 We are aware that this is still below the actually agreed one (i.e. 32% - as agreed in Council and Parliament during 2018) – but since it is here combined also with a lower energy efficiency target (i.e. 30% instead of 32.5%) this causes a comparatively similar level of overall RES ambition. Thus, in other words, the RES volumes required for meeting 30% RES in combination with a 30% energy efficiency target are comparatively similar than to strive for 32% RES combined with 32.5% energy efficiency. If accounted precisely, the required RES volumes by 2030 would be less than 3% smaller under the assessed combination (i.e. 30% RES, 30% EE) than under the politically agreed one (i.e. 32% RES, 32.5% EE). The underlying technology mix Complementary to the above, Figure 6 provides a technology breakdown of RES-E deployment at EU 28 level by 2030 (top) and by 2050 (bottom). Apart from the outlook toward 2030 and 2050 this figure also includes a comparison to the status quo (2015). Below we summarise key results: * Apparently, onshore wind energy dominates the picture – both by 2030 and by 2050 the largest share of RES-based electricity generation will come from this particular technology, and also today (as of 2015) onshore wind plays a dominant role, achieving a slightly lower contribution as large-scale hydropower. Thus, electricity generation from onshore wind is expected grow from 258 TWh to a yearly generation potential of around 682 to 717 TWh by 2030. The trend continues towards 2050, reaching between 1,529 and 1,648 TWh by 2050. * Large-scale hydropower (i.e. above 10 MW installed capacity) is the dominant RES source in the electricity sector by 2015. There is however only a limited potential available for further use. Normalised electricity generation from large hydro stands at 295 TWh today (2015). Scenarios indicate only a minor increase in generation to ca. 319 TWh by 2030 and to around 329 TWh by 2050. There is only a negligible variation across scenarios, indicating that the indicated increase in generation is economically viable. It also shows however that there is no additional potential available under the given economic and technical / environmental constraints. * Offshore wind energy offers a promising potential. According to the scenarios assessed a strong increase is expected for offshore wind in the forthcoming decade – i.e. electricity generation will rise from 31 to at least 131 TWh by 2030. A strong increase is also presumed for the years post 2030. As a consequence, offshore wind is expected to reach between 798 and 884 TWh as annual generation potential by 2050. * Apart from wind energy, photovoltaics is the other key technology in future years. Modelling indicates a significant increase in PV deployment, where electricity generation increases from 102.5 TWh in 2015 to 258 TWh under pessimistic circumstances (i.e. with no prioritisation of decentral generation) by 2030 whereas under default framework conditions a level of 294 TWh is achieved. Electricity generation from PV is expected in increase further until 2050, reaching between 487 and 795 TWh by then. * Significant increases in deployment can be expected also for bioenergy under presumed "least cost" conditions. Electricity generation from bioenergy, comprising biogas, biowaste and solid biomass is expected to increase from ca. 171 TWh in 2015 to at least 235 TWh by 2030. That trend is prolonged in the years post 2030 and bioenergy will contribute to electricity generation with 500 to ca. 720 TWh by 2050 according to Green-X least-cost modelling. * Other technologies like small-scale hydropower, geothermal electricity, tidal stream and wave power as well as CSP show only a minor contribution by 2030 and by 2050 under the underlying framework conditions where least-cost options are prioritised in modelling. A comparison of the changes in deployment across scenarios shows that apart from specific nonprioritisation / discrimination – e.g. the scenario of "no prioritisation of decentral PV" where PV deployment is lowest among all assessed scenarios – in general terms the scenario of "27% RES – trend market design" leads to the lowest deployment of RES technologies in the electricity sector. In contrast to above, RES deployment generally peaks in the scenario "30% RES – strong EE" by 2030, and in the scenario of high carbon prices by 2050. 4 Synthesis and conclusions This case study is dedicated to elaborate on the diffusion of renewable electricity generation, aiming to gain insights on the suitable/optimal share renewables may take in Europe's future electricity supply. Generally, renewable electricity generation (RES-E) is estimated to cover a high share of the future electricity demand in the EU. The possible diffusion of RES-E generation depends on the overall policy ambition in our combat against climate change, the relative costs of RES-E to its (low-carbon) alternatives, and the capability of the system to accommodate volatile generation. All these determinants are dynamic and therefore can change over time, and, most important, their impact on the optimal RES-E share has been analysed in the course of this case study. Below we report on some key findings. Under assessed default framework conditions (i.e. 27% RES by 2030, optimal market design, etc.) a RES-E share of about 50% is reached in 2030. Technological learning has an impact on these developments as observable from the related scenarios where either a 20% (compared to default) lower or a 20% higher learning rate is assumed for key technologies like wind energy and photovoltaics. As a consequence of the comparatively limited time span until 2030, only a small impact on the resulting 2030 RES-E share and on corresponding cost, analysed here through e.g. the resulting support expenditures, is applicable. The default RES-E share would for example decline by 0.5 percentage points by 2030 in the case of low learning, and the share increases by 0.2 pp in the case of high learning. By 2050 these effects are getting more pronounced: here low learning of wind and photovoltaics would cause a decline of the RES-E share by 2.8 pp. An even more pronounced impact on the optimal RES-E share is applicable for electricity market design, or, in other words, the capability of the system to provide flexibility to cope with high shares of variable renewables in electricity supply. Less or more flexibility of the power system and electricity market design in general, has technical and operational consequences and determines also the economic viability of RES-based electricity supply. Our modelling focusses here on some core issues that impact RES-E integration, including grid development, electricity market design, and sector coupling / demand-side response. In a scenario reflecting less optimal framework conditions on these aspects it turns out that the optimal RES-E share is strongly affected: a decline of the RES-E share by 0.9 pp in 2030 and by 9.5 pp in 2050. This underpins the often called need to adapt or redesign our market framework to foster renewable integration. Different policy-related aspects have been analysed within our modelling exam. For each topical subject under consideration one scenario has been defined to gain further insights on the resulting impacts as outlined below: * Within our analysis of how policy design may facilitate or hinder the uptake of decentral RES prosumers, we showcase the impact of whether or not a prioritisation of decentral generation, exemplified for the case decentral PV, will be given in future years post 2020. Under default conditions (i.e. reference scenario "27% RES") the assumption is taken that a prioritisation of decentral PV is maintained in future years, leading to a strong uptake of decentral PV in future years and, thus, affecting also total RES-E deployment. In the absence of a special prioritisation of decentral PV, we treat decentral PV systems (similar to other forms of central electricity supply) as a supply option to compete in the wholesale electricity market. Consequently, decentral PV is then lacking behind default trends. The optimal RES-E share by 2030 is consequently also affected, declining e.g. by 0.5 percentage points below the reference by 2030, and by 4.5 pp by 2050. * Pronounced impacts are also applicable for the scenario where high carbon prices (as a consequence of a major ETS reform) are prevailing. We assume here a strong uptake of carbon prices within the ETS in future years, building on outcomes of recent PRIMES modelling in this topical area. Results show that a stronger increase in carbon prices leads to a faster uptake of renewables in the electricity sector. * Strong 2030 targets for RES (and energy efficiency): Here, we analyse how the overall policy ambition for renewables (and for energy efficiency) determines the required uptake of RES in the electricity sector, exemplified by the assumed overall 2030 target set for RES within the EU. More precisely, we take the assumption that at EU level the 2030 RES target is set at 30% (instead of 27% as default). 8 This leads to an accelerated uptake of RES electricity, reaching a demand share of 54.6% (instead of 49.7% as default) by 2030. As recent modelling proves the optimal RESelectricity share would increase further to around 58%-60% if an overall RES share of 32% is aimed for by 2030. 8 We are aware that this is still below the actually agreed one (i.e. 32% - as agreed in Council and Parliament during 2018) – but since it is here combined also with a lower energy efficiency target (i.e. 30% instead of 32.5%) this causes a comparatively similar level of overall RES ambition. Thus, in other words, the RES volumes required for meeting 30% RES in combination with a 30% energy efficiency target are comparatively similar than to strive for 32% RES combined with 32.5% energy efficiency. If accounted precisely, the required RES volumes by 2030 would be less than 3% smaller under the assessed combination (i.e. 30% RES, 30% EE) than under the politically agreed one (i.e. 32% RES, 32.5% EE). 5 References European Commission, 2016, SWD(2016) 410 final: Impact assessment. Accompanying the documents: COM(2016) 861 final, SWD(2016) 411 final, SWD(2016) 412 final, SWD(2016) 413 final. Available online https://ec.europa.eu/energy/sites/ener/files/documents/mdi_impact_assessment_main_report_for _publication.pdf, checked on 15.03.2017, Brussels 30.11.2016 General Secretariat of the Council, 2014. EUCO 169/14, European Council (23 and 24 October 2014) ‒ Conclusions. Council of the European Union, 24-Oct-2014. Ortner A., Hiesl A., 2016. Implications of electricity market design trends on RES policy pathways. Towards2030dialogue project. A report compiled within the project towards2030-dialogue, supported by the EASME of the European Commission within the "Intelligent Energy Europe" programme. EEG, TU Wien, Vienna, Austria, July 2016. Accessible at www.towards2030.eu. Ragwitz, M., Steinhilber, S., Breitschopf, B., Resch, G., Panzer, C., Ortner, A., Busch, S., Rathmann, M., Klessmann, C., Nabe, C., De Lovinfosse, I., Neuhoff, K., Boyd, R., Junginger, M., Hoefnagels, R., Cusumano, N., Lorenzoni, A., Burgers, J., Boots, M., Konstantinaviciute, I. and Weöres, B. (2012), RE-Shaping: Shaping an effective and efficient European renewable energy market. Report compiled within the European project RE-Shaping, supported by "Intelligent Energy Europe", ALTEN-ER, Grant Agreement no. EIE/08/517/SI2.529243. Fraunhofer ISI, Karlsruhe, Germany. Accessible at www.reshaping-respolicy.eu. Resch G., A. Ortner, L. Liebmann, S. Busch, M. Welisch, A. Hiesl, J. Geipel, 2017. towards2030-dialogue - a quantitative assessment of RES policy pathways and 2030 RES targets. A report compiled within the project towards2030-dialogue, supported by the EASME of the European Commission within the "Intelligent Energy Europe" programme. TU Wien, Energy Economics Group, Vienna, Austria, June 2017. Accessible at www.towards2030.eu. \| \| Project \| \| \|---\|---\|---\| \| \| duration: \| \| \| Funding programme: \| \| \| \| \| Web: \| www.set-nav.eu \| About the project SET-Nav aims for supporting strategic decision making in Europe's energy sector, enhancing innovation towards a clean, secure and efficient energy system. Our research will enable the European Commission, national governments and regulators to facilitate the development of optimal technology portfolios by market actors. We will comprehensively address critical uncertainties facing technology developers and investors, and derive appropriate policy and market responses. Our findings will support the further development of the SET-Plan and its implementation by continuous stakeholder engagement. These contributions of the SET-Nav project rest on three pillars: modelling, policy and pathway analysis, and dissemination. The call for proposals sets out a wide range of objectives and analytical challenges that can only be met by developing a broad and technically-advanced modelling portfolio. Advancing this portfolio is our first pillar. The EU's energy, innovation and climate challenges define the direction of a future EU energy system, but the specific technology pathways are policy sensitive and need careful comparative evaluation. This is our second pillar. Ensuring our research is policy-relevant while meeting the needs of diverse actors with their particular perspectives requires continuous engagement with stakeholder community. This is our third pillar. Legal Notice: The sole responsibility for the content of this publication lies with the authors. It does not necessarily reflect the opinion of the European Union. Neither the INEA nor the European Commission is responsible for any use that may be made of the information contained therein. All rights reserved; no part of this publication may be translated, reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, Who we are? The project is coordinated by Technische Universität Wien (TU Wien) and being implemented by a multinational consortium of European organisations, with partners from Austria, Germany, Norway, Greece, France, Switzerland, the United Kingdom, France, Hungary, Spain and Belgium. The project partners come from both the research and the industrial sectors. They represent the wide range of expertise necessary for the implementation of the project: policy research, energy technology, systems modelling, and simulation. mechanical, photocopying, re-cording or otherwise, without the written permission of the publisher. Many of the designations used by manufacturers and sellers to distinguish their products are claimed as trademarks. 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Personal Protective Equipment for Female Construction Workers: Does it Fit? By Norman C. Zuckerman, MS (Mount Sinai); Demetrios M. Papazaharias, MPH (Mount Sinai); Lynn C. Onyebeke, MA, SM (Mount Sinai); Alice Freund, MSPH, CIH (Montclair State University); Michael McCann, PhD (Mount Sinai); Jonathan Dropkin, ScD, CPE (Hofstra Northwell); John D. Meyer, MD, MPH (Mount Sinai). January 2016 In 2014, there were approximately 873,000 women in the construction industry, employed at every level from managers, administrative personnel and inspectors, to engineers and production staff 1 . Everyone, from managers to frontline workers must use personal protective equipment (PPE) when they walk onto a construction work site. While the OSHA General Industry Standard states that "the employer shall select PPE that properly fits each affected employee" 2 , there is no similar provision in the Construction Standard. Previous studies on PPE and female construction workers have consistently reported that PPE commonly made available to female construction workers was not designed for women 3, 4 . This is not surprising, given most of the anthropometric data used for PPE templates are derived from studies on military personnel or the general employed population from the 195070s, when women were poorly represented 5, 6 . The U.S. Army recently redesigned their combat uniforms to accommodate anatomical variations between men and women after a 2008 qualitative study found that combat uniforms then in use did not account for female anthropometry 7 . As industrial hygienists at an occupational health clinical center in a large metropolitan area, we sporadically receive questions from women experiencing difficulty locating PPE, such as respirators that fit them correctly. While researching our responses to these inquiries, we noticed that one can go online and find a wide array of PPE that manufacturers claim are "designed for women." As a result, we wondered if this current apparent abundance of equipment had altered the dynamic for female construction workers. Specifically, do female construction workers still have difficulty getting PPE that fits them correctly? To answer the question, we conducted a series of focus groups with experienced female union construction workers from three different trade unions (i.e. Laborers, Carpenters and Ironworkers). For the purposes of our research, we did not distinguish between PPE that employers are required to provide construction workers, such as fall-arrest harnesses, and PPE that employers are not required to supply, such as boots or outerwear. Our analysis of the focus group responses indicated that many of the same problems still exist. Participants reported fit issues for all of the common types of PPE (gloves, fall protection harnesses, safety vests, welding jackets, eye wear and hard hats as well as work boots and outerwear). Several participants pointed out that size is not the sole factor determining fit, since men and women are proportioned differently. One participant, discussing purchasing protective outerwear, said "If you get something that fits your waist, it may not fit your hips… So then I would end up having to buy a bigger size, but it was huge on my waist." As with most construction workers, the participants spoke of the overriding importance of getting the job done, which on occasion led them to either purchase their own PPE or use equipment that was less than optimal. "I have to beg them [for a small] and it just never happens, so I ended up buying my own… vest." Many participants expressed how difficult it was for women to purchase "construction-grade" PPE, such as protective clothing or boots that are functional in the workplace. We were told that much of the construction outerwear marketed to women, such as boots and work jackets, was "Barbie-fied" work gear. The discussion also covered how ill-fitting PPE could impact safety and productivity. One of the participants related a conversation she had with her foreman over the gloves she was using while applying a chemical paint stripper: "Can you please order me a pair of gloves that'll fit me so I won't have to worry about them slipping off or dipping my hand in these corrosives and toxic …chemicals." A welder in one of the focus groups explained how ill-fitting welding gloves affected her welding: "You can't pick up the rod because … you're using oven mitts." The type of equipment the participants discussed the most, not unexpectedly, varied by trade. Welders mentioned problems associated with using overly large welding jackets and gloves; individuals working with concrete reported difficulty getting rubber boots that fit correctly. After the study was completed, a stakeholders meeting was organized to disseminate our findings and to provide an open forum for a discussion of potential solutions. The consensus of the stakeholders, mostly union health and safety officers, was that most contractors and unions were not mindful of the issue and it was unlikely that many of the individuals in charge of purchasing safety equipment considered purchasing PPE designed for women. Participants agreed that in order to bring about the necessary changes we must first increase awareness within the industry of the challenges facing female construction workers. Somewhat surprisingly, even though there have been attempts to raise awareness, such as the OSHA Women in Construction web page, a few of our stakeholders said that they had not been mindful of the PPE issue confronting female construction workers. Due to the changing demographics within the construction industry there may be additional sub-groups such as smaller men facing similar fit issues. Based on the results of our study and input from the stakeholders meeting, we have developed the following recommendations: * All employees are entitled to a safe work environment that includes uniform access to PPE that fits correctly and does not create an additional burden for the worker. * OSHA should update the Construction Standard Criteria for personal protective equipment to include provisions that PPE fits the worker. * Regulatory agencies, manufacturers, distributors, employers and unions need to recognize the issue facing female construction workers and promote better distribution, purchasing and supply of PPE for all employees. * Contractors should make sure they have the means to provide all workers with properly fitted PPE in a timely manner at the beginning of the job through project completion. * Training organizations, companies and unions should educate workers on the importance of using PPE that fits correctly and how to determine that it does fit correctly. * Additional anthropometric research is required to determine if the PPE currently available to women and other outlier sub-groups, such as smaller men, fits them correctly. REFERENCES 1. Bureau of Labor Statistics, Labor Force Statistics from the Current Population Survey: 2014. www.bls.gov/cps/cpsaat18.htm 2. OSHA Standards for the Construction Industry 29 CFR 1910 OSHA General Industry Regulations Subpart I, 1910.132 (d) (iii) 3. Goldenhar LM, Sweeney MH. Tradeswomen's Perspectives on Occupational Health and Safety: A qualitative investigation. American Journal of Industrial Medicine 1996, 29: 516-520. 4. "Women in the Construction Workplace: Providing Equitable Safety and Health Protection." Health and Safety of Women in Construction (HASWIC) workgroup, Occupational Safety and Health Administration, June 1999. www.osha.gov/doc/accsh/haswicformal.html 5. Howard, John. "Keeping Workers safe through Anthropometric Research." Industrial Safety & Hygiene News. August 14, 2015. www.ishn.com/articles/102057-keeping-workers-safe-through-anthropometric-research 6. Zhuang, Z and B. Bradtmiller: Head-and-Face Anthropometric Survey of U.S. Respirator Users. Journal of Occupational and Environmental Hygiene 2005, 2: 567–576. 7. Mientka, Matthew "Dressed to Kill: US Army Redesigns Combat Uniform With Consideration of Female Form." Medical Daily July 29, 2013. www.medicaldaily.com/dressed-kill-us-army-redesigns-combat-uniform-consideration-female-form-248113 RESOURCES Government * OSHA Women in Construction, www.osha.gov/doc/topics/women * NIOSH Publications on Anthropometry, www.cdc.gov/niosh/topics/anthropometry/pubs.html * Ontario Women's Directorate and the Industrial Accident Prevention Association, Personal Protective Equipment for Women Addressing the Need, www.iapa.ca/pdf/2006_ppe_women.pdf Articles * Bukowski, Thomas. "Women and PPE: Finding the right fit," Safety + Health June 22, 2014. http://www.safetyandhealthmagazine.com/articles/10602-Women-and-PPE-Finding-the-right-fit * Hsiao-H, Friess-M, Bradtmiller-B, Rohlf-FJ. "Development of sizing structure for fall arrest harness design." Ergonomics Sept 2009; 52(9):1128-1143. http://dx.doi.org/10.1080/00140130902919105 * Laborers Health & Safety Fund of North America. "Got a Female Construction Worker on Your Shopping List." December 2010, 7:7. www.lhsfna.org/index.cfm/lifelines/december-2010/got-a-female-construction-worker-on-your-shopping-list * NYCOSH. "Risks Facing Women in Construction." 2014. http://nycosh.org/wp-content/uploads/2014/09/Women-in-Construction-final-11-8-13-2.pdf * Walker, Jessica. "PPE for Women: We've Come A Long Way 'Rosie,' But We Still Have A Ways to Go," International Safety Equipment Association, April 2010. http://ehstoday.com/site-files/ehstoday.com/files/archive/ehstoday.com/images/ISEA_April.pdf This report was developed by: Norman C. Zuckerman, MS (Icahn School of Medicine at Mount Sinai); Demetrios M. Papazaharias, MPH (Mount Sinai); Lynn C. Onyebeke, MA, SM (Mount Sinai); Alice Freund, MSPH, CIH (Montclair State University); Michael McCann, PhD (Mount Sinai); Jonathan Dropkin, ScD, CPE (Hofstra Northwell); Sadie Sanchez, MD, (Mount Sinai), and John D. Meyer, MD, MPH (Mount Sinai). Thanks to Sean Brennan of the Mason Tenders Training Fund; Elly Spicer, Tamara Rivera, and Vanessa Salazar of the United Brotherhood of Carpenters and Joiners of America; Bryan Brady of the Ironworkers Local 40 and 361 JAC; Sherry Baron, DPH, The Graduate Center CUNY; Linda Goldenhar, PhD, CPWR. Funding for the study was provided by the Pilot Projects Research Training Program of the NY/NJ Education and Research Center. The Icahn School of Medicine at Mount Sinai is home to the Selikoff Centers for Occupational Health. These Centers have expertise in evaluating and treating work-related injuries and illnesses. To learn more, visit www.mountsinai.org/selikoff.
Article History: Received: 2018-11-18 Revised: 2018-12-10 Accepted: 2019-01-14 Keywords: Gross Domestic Product; Inflation; Money Supply; Net Asset Value; Sharia Mutual Funds JEL Classification: D51, E43, F41, G15 Kata Kunci: Produk Domestik Bruto; Inflasi; Jumlah Uang Beredar, Nilai Aktiva Bersih; Reksadana Syariah Corresponding Author: Riwi Sumantyo: Tel +62 24 658 3584 E-mail: firstname.lastname@example.org This is an open access article under the CC–BY-SA license Jurnal Keuangan dan Perbankan, 23(2):300–307, 2019 http://jurnal.unmer.ac.id/index.php/jkdp Macroeconomic variables towards net asset value of sharia mutual funds in Indonesia and Malaysia Riwi Sumantyo, Dessy Anis Savitri Department of Management, Faculty of Economics and Business, Universitas Sebelas Maret Jl. Ir. Sutami No.36A Surakarta, 57126, Indonesia Abstract Sharia mutual fund as one of the investment instruments in sharia capital market shows significant development. There are various factors that may influence, among these factors are macroeconomic variables. This research aims to analyze the effect of macroeconomic factors on the development of sharia capital market industry. Macroeconomic variables that are used is the money supply (M1), Gross Domestic Product (GDP), and inflation. The data used in this research is a quarterly money supply data, GDP, and inflation from January 2012 to December 2016. The methods used to analyze regression data is the data panel. The results of the analysis showed that all of the independent variable used in this study i.e. the money supply (M1), GDP, and inflation has a positive influence and significance to the Net Asset Value (NAV) mutual funds sharia in Indonesia and Malaysia. These results can provide a sound contribution for further research, government, management of the company, and investors regarding the Net Assets Value mutual funds sharia in Indonesia and Malaysia. Abstrak Reksa dana syariah sebagai salah satu instrumen investasi di pasar modal syariah menunjukkan perkembangan yang signifikan. Ada berbagai faktor yang dapat memengaruhi, di antara faktorfaktor ini adalah variabel ekonomi makro. Penelitian ini bertujuan menganalisis pengaruh beberapa faktor makroekonomi terhadap perkembangan industri pasar modal syariah. Variabelvariabel makroekonomi yang digunakan adalah Jumlah Uang Beredar (JUB), Produk Domestik Bruto (PDB) dan inflasi. Sementara variabel Nilai Aktiva Bersih (NAB) dipilih dengan pertimbangan sebagai sebuah cerminan dari perkembangan Reksadana syariah di kedua negara. Data yang digunakan dalam penelitian ini adalah data kuartalan Jumlah Uang Beredar (JUB), Produk Domestik Bruto (PDB) dan inflasi selama Januari 2012 sampai Desember 2016. Metode yang digunakan untuk menganalisis data adalah regresi data panel. Hasil analisis menunjukkan bahwa semua variabel independen yang digunakan dalam penelitian ini yaitu Jumlah Uang Beredar (JUB), Produk Domestik Bruto (PDB) dan inflasi mempunyai pengaruh positif dan signifikan terhadap Nilai Aktiva Bersih (NAB) reksadana syariah di Indonesia dan Malaysia. How to Cite: Sumantyo, R., & Savitri, D. A. (2019). Macroeconomic variables to- wards Net Asset Value of Sharia mutual funds in Indonesia and Malay- sia. Jurnal Keuangan dan Perbankan, 23 (2), 300-307. https://doi.org/ 10.26905/jkdp.v23i2.2195 ISSN: 2443-2687 (Online) ISSN: 1410-8089 (Print) Riwi Sumantyo, Dessy Anis Savitri 1. Introduction A mutual fund is a company that pools money from many investors and invests the money in securities such as stocks, bonds, and short-term debt. The combined holdings of the mutual fund are known as its portfolio. Investors buy shares in mutual funds. Each share represents an investor's part ownership in the fund and the income it generates. Mutual funds are a popular choice among investors because they generally offer the following features professional management, they will be select the securities and monitor the performance, mutual funds typically invest in a range of companies and industries. This helps to lower your risk if one company fails, affordability. Most mutual funds set a relatively low dollar amount for initial investment and subsequent purchases, liquidity. Mutual fund investors can easily redeem their shares at any time, for the current Net Asset Value (NAV) plus any redemption fees. But, in Indonesia, investment for mutual funds are still very limited, namely SBI, deposits, commercial paper/promissory notes, medium-term notes, government bonds, private company bonds. Compared to Malaysia, the development of sharia capital market investment Indonesia lagged far. In 1990, Malaysia started to develop investment activities in the capital markets. Since sharia investment activity developed, Malaysia is already dominating compared to Indonesia. Recorded in 2004, the Net Asset Value (NAV) of the Malaysian sharia mutual funds amounted to 7.7 percent while Indonesia achieves 0.51 percent. Then republica.com (2018) stated that Malaysia continues to dominate the market of Sukuk of 38 percent of the total global Sukuk issuance followed by Indonesia which controlled 27 percent of the global Sukuk market. We know, Indonesia is a Moslem country with a population of largest Moslem. However, for users of the Islamic capital market is still lacking. Kumalasari in gatra.com (2018) stated that some of the things that cause the Indonesian sharia capital market are inferior to the first, the government's commitment to supporting the Islamic finance industry. Malaysia has set a policy of state-owned enterprises and fund placement Fund Hajj in Islamic banking for a long time. While in Indonesia, the fund focused on still-run conventional banking. The study about the influence of macroeconomic variables on the development of the capital market industry, especially mutual funds has been done. The first opinion reveals that macroeconomic variables affect the development of the NAV of mutual funds. Among the first groups of opinion are Hussain (2017) in Pakistan and India and Monjazeb & Ramazanpour (2013) in Iran. The second group revealed that there is no significant effect of macroeconomic variables on the NAV of mutual funds. The second group included research conducted by Othman, Kameel, & Azis (2015) in Malaysia and Rachman & Mawardi (2015) in Indonesia. Based on the research gap above, this research will reveal further about the effect of macroeconomic variables on the NAV of mutual funds, especially Islamic mutual funds. Dawe, Pokhariyal, & Mwaura (2014) evaluates the performance persistence of equity and blended mutual funds in Kenya for the period from 2006 to 2009. The general finding was that for both equity and blended fund, there was evidence of performance differences which tend to persist over time. This implies that there is significant performance persistence over the research period and therefore investors can successfully use the measures of past performance as a decision tool for fund selection. According to Ahmad, Roomi, & Ramzan (2015), their results show open-ended mutual funds performance is better than close-ended mutual funds. KSE (Karachi Stock Exchange) - market portfolio performance is grater over the all sample base mutual funds. Most risk adjusted funds returns are negative, which probably due to mutual fund industry set back by the financial crisis during the sample period. Jurnal Keuangan dan Perbankan Volume 23, Issue 2, April 2019: 300–307 Qamruzzaman (2014) on his paper found that over the research period selected mutual funds shows a positive monthly return and an upward trend in comparison to the market return. Different risk-return measures show similar performance indication except for few mutual funds schemes due to market return in inconsistent with the return from mutual funds, i.e., negative market return. Bhatti, Mubashar, & Sial (2015) investigate the conditional performance of a sample of German equity mutual funds, their results indicate that the performance of equity mutual funds of Pakistan is not of commendable quality owing to the deficient supervision of the managers in stock selection and market timing abilities which are indispensable for outperforming the market. reflection of NAV shows that sharia mutual funds continue to grow annually. Commonwealth Bank noted on Merdeka.com (2018), the interest of the community investment fund against Indonesia is still very small. Where the number of communities that invest in mutual funds recently reached 570,000 or about 0.7 percent of the total population of Indonesia. This amount is much if compared with Malaysia that reached 40 percent, Thailand reaches 30 percent. The history of the establishment of sharia capital market begins by the Jordanian and Pakistan countries who first apply the principles of sharia in the capital market. Marked by the issuance of the legal basis for the publishing of Islamic bonds by both countries. Furthermore, this became the beginning of the development of sharia capital market industry in several other parts of the world such as Asia, Europe, and America. Sharia mutual fund as one of the investment instruments in sharia capital market shows significant development. This is especially happening in some countries with a majority Muslim population. In the ASEAN region itself, there are two countries that have a majority of the Moslem population which are Indonesia and Malaysia. Based on Indonesian statistics book of the year 2018 (2018) population of 265 million people, Malaysia in the year 2018 is 32.4 million. It can be seen from Table 1, the development of Malaysian Sharia Funds is higher than Indonesia. This is reflected in the total net asset value of Malaysian Sharia Mutual Funds that reach more than 100 million USD, and continuously show significant improvement every year. While in Indonesia, the market of Islamic mutual funds has not shown a high achievement compared to Malaysia. However, a Source: www.ojk.go.id, www.sc.com. Furthermore, during the development of the capital market itself, especially sharia mutual funds. There are various factors that may influence, among these factors are macroeconomic variables. Macroeconomic variables can provide both positive and negative effects on the Sharia mutual funds market. The macro variables used in this study are the money supply (M1), Gross Domestic Product (GDP), and inflation. One of the things that can affect the increase in the money supply is the government budget deficit. When this deficit condition happens, the government is trying to finance it by producing more money which can lead to the expansion of the money supply. During this money expansion, people tend to have a higher potential to invest because of the decreasing of the interest rate. This cause the deMacroeconomic variables towards net asset value of sharia mutual funds in Indonesia and Malaysia Riwi Sumantyo, Dessy Anis Savitri mand for investment instruments will increase so that the positive impact on stock prices, which also means to increase the NAV of mutual fund assets, in this case, is sharia mutual funds. But this condition is not in line with the research done by Musembi (2016) which shows that the money supply variable has no positive effect on the NAV of mutual funds in Kenya. There are two differences or research gap from many research, the results of the study so the researchers wanted to examine the influence of macroeconomic factors on the development of sharia capital market industry, especially in Indonesia and Malaysia. So on this research can help investors to diversify investment in securities, so as to minimize the risks. Moreover, it can help take the company to the ole policy with the government The purpose of this study is to find out the relationship between money supply (M1), Gross Domestic Product (GDP), and inflation partially and simultaneously toward Net Asset Value (NAV) of Islamic mutual funds in Indonesia and Malaysia from January 2012 to December 2016. 2. Method, Data, and Analysis This study using a quarterly panel data NAV of sharia in Indonesia and Malaysia from January 2013 until December 2016. For the data analysis using panel data regression and classical assumption test with e-views software. The study uses panel data where data analysis panel provides a combination between the data time series and cross-section data. Cross section data is data collected over time of many individuals, whereas the time series data collected from time to time against an individual. Panel data regression analysis tool is where data is collected individually (cross section) and followed at a certain time (time series). The model using in this research is: Where: LNAB i : Log Net Asset Value in i country on t period LM1 it : Log Money Supply in i country on t period LGDP it : Log Gross Domestic Product in i country on t period INFLATION it : Inflation in i country on t period 0 : Constants 1 : Regression coefficient of LM1 2 : Regression coefficient of LGDP 3 : Regression coefficient of inflation 3. Results Panel Data Model Estimation Pooling and fixed model regression approach The first step is processing data using Pooling Regression Model Approach; this is done as one of the requirements to do the F-Restricted test. From the results of the e-views 9.0 software, obtained the following result in Table 1. Table 1. Panel Data Regression: Pooling and Fixed Model Regression F-Restricted test To compare the PLS and Fixed Effect Model methods, an F-restricted test is used to decide which model to use. This test is done by comparing F-statistics and F-tables. Before comparing F-statistics and F-tables, the hypothesis is first made. The hypothesis is as follows: H 0 : Model PLS (Restricted) H 1 : Model FEM (Unrestricted) Jurnal Keuangan dan Perbankan Volume 23, Issue 2, April 2019: 300–307 From the F-restricted test conducted, the following results are showed in Table 2. Table 2. F-Restricted test pendent variable are as follows: Money Supply variable 0.5481> 0.05; GDP variable is 0.7986> 0.05; inflation variable is 0.1569> 0.05. Therefore, it can be concluded that there is no problem of heteroscedasticity in the model. That's because all independent variables have a probability of t-statistics above 0.05. Based on Table 2, we get F-statistic 335,750662 with F-table value at df (1,35), probability value cross-section F and chi-square 0,0000 with = 0,05 then H 0 is rejected, so panel data model that can be used is the Fixed Effect Model. Classical assumption test was performed by using the Normality Test, Multicollinearity test, Autocorrelation Test, and Heteroscedasticity Test. Normality test in this research is done by using histogram analysis and Jarque-Bera probability shown in the following Figure 2. Based on Multicollinearity Test there is no correlation coefficient between independent variables that exceed 0.8. Therefore, it can be concluded that there is no multicollinearity issue in this regression model. Based on Durbin-Watson Test, the value is in between of dU and 4-dU 1.6589 <2.038 <2.3411 and can be inferred that there is no autocorrelation issue on the regression model. The results of data processing using the Glejser Test show that the probability values of each inde- Hypothesis Test This test is conducted to test whether the independent variable of the money supply, gross domestic product, and inflation rate partially influence the dependent variable (net asset value of sharia mutual fund), that is by comparing each t-statistic value from regression with t-table. At the level of significance = 0.05, df = 36, then obtained t-table 1.697. Table 3. t-test result Independent variables (Money Supply, GDP, and Inflation) have a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. Money Supply has a probability value 0.0065 in the signification level = 0.05. So money supply variable has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. GDP has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. GDP has probability values 0.0752 in the the signification level = 0.1. Inflation has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. Inflation has probability values 0.0021 in the signification level = 0.05. So the inflation variable has a significant effect on the NAV of Islamic mutual funds in Indonesia and Malaysia. Riwi Sumantyo, Dessy Anis Savitri F-Test Table 4. F-test result From the result of the regression obtained value of F-statistic 0.136431. At the signification level = 0.05, k = 4, and n = 40, then obtained F-table 2.87. Based on this, it can be seen that F-statistic (0.136431)< F-table (2.87), that means independent variables (money supply, GDP, and inflation) have significant effect simultaneously to the dependent variable (net asset value mutual funds sharia) at a signification level of 95 percent. 4. Discussion India and Pakistan. This is because the country that became the object of research is a developing country. If we look at developed countries with high educational factors and also a supportive investment environment, investors have a high sensitivity to respond to the market situation. However, this can't be applied to developing countries that don't have a high level of education and a supportive investment environment. The research is in line with that expressed by the Tandelilin (2010) which stated that rapid GDP growth is an indication of the onset of economic growth, if economic growth improves, then the purchasing power will be increased so that on the provider of funds will increase sales. Increased sales of the company will make the company earn profits more quickly. So GDP is a factor that must be considered in making an investment decision. Independent variables (Money Supply, GDP, and Inflation) have a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. Money Supply has a probability value 0.0065 in the signification level = 0.05. So money supply variable has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. But this condition is not in line with the research done by Musembi (2016) which shows that the money supply variable has no positive effect on the Net Asset Value of Mutual Funds in Kenya. The increase in the money supply will lead to inflation resulting in a small profit dividend given to shareholders. The smaller dividend causes a decrease in NAB, it makes fewer investors invest in mutual funds GDP has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. GDP has probability values 0.0752 in the signification level = 0.1. So the GDP variable has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. Hussain (2017) stated that the GDP variable has a negative influence on the net asset value of mutual funds in At last, inflation has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. Inflation has probability values 0.0021 in the signification level = 0.05. So the inflation variable has a significant effect on the net asset value of Islamic mutual funds in Indonesia and Malaysia. According to research conducted by Monjazeb & Esmaeel (2013) indicates that the variable of inflation has a significant and positive relationship to the net asset value of Islamic mutual funds in Indonesia. This happens when prices increase, production revenues also increase. This tends to increase the national income; meaning also increases the disposable income. When this condition happens, it will trigger people to consume more. The increase in the consumption of goods and services will trigger the production sector to increase their production as well in order to fulfill the demand. Furthermore, the production sector needs more capital to produce, then the tendency of investors to invest will be increased, which means an increase in the NAV of Islamic mutual funds as well. According to Huda (2018) in Islamic Economics does not know inflation. This due to the economics of Islam, zakat, infaq, and alms as instrument Jurnal Keuangan dan Perbankan Volume 23, Issue 2, April 2019: 300–307 governing the amount of money circulating in the community. Improvement on zakat, alms, and infaq will increase your purchasing power so the value of the currency is maintained stability. Improvement on zakat, infaq, and alms can also move the economy in the real sector so that money will turnaround increased. As a result of growth, increased economic and investment climate will increase. This has resulted in changes that occur at the level of inflation does not affect the value of assets Sharia-compliant mutual fund net. 5. Conclusion, Limitations, and Suggestions Conclusion The results indicate that significant positive impact of money supply on net asset value, according to the results of the model estimation. The significant positive effect of the gross domestic product on net asset value. a significant positive impact of inflation on net asset value confirmed as well. The simultaneously significant positive impact of the money supply, gross domestic product, and inflation on net asset value. So on this research can help investors to diversify investment in securities, so as to minimize the risks. Moreover, this research can help take the company to the ole policy with the government about the NAV of Islamic mutual funds as well. Limitations and suggestions In this research is still limited to researching macro variables only. For further research, you can use or add variables outside the macro variables such as using additional micro variables as independent variables that could affect the net asset value (NAV) of Islamic mutual funds in Indonesia and Malaysia. The suggestion for investors can use variables Money Supply, GDP, and Inflation as a parameter in investing. An investor can give attention to information on the economic condition that can be seen on them. Because of this research, these variables have a significant effect on the NAV of Islamic in Indonesia and Malaysia. For investment managers, we recommend considering variables Money Supply, GDP, and Inflation in the decision making of fund placement from the investor community in order to maintain or increase the yield of the NAV of Islamic in Indonesia and Malaysia. References Ahmad, W., Roomi, M. S., Ramzan, M., Zia-ur-Rehman, M., & Baig, S.A. (2015). A comparative study on performance of open and close-ended mutual funds in Pakistan, International Journal of Accounting and Financial Reporting, 5(1), 300-314. https://doi.org/10.5296/ijafr.v5i1.7487 Bhatti, G. A., Mubashar, T., & Sial, M. H. (2015). Conditional Performance Evaluation of Equity Mutual Funds of Pakistan. Pakistan Journal of Social Sciences, 35(2), 681-689. Dawe, M. S., Pokhariyal, G. P., & Mwaura, M. F. (2014).The financial performance persistence of equity and blended mutual funds in Kenya. International Journal of Economics and Finance, 6(8), 153-160. http://dx.doi.org/10.5539/ijef.v6n8p153 Huda, N. (2008). Ekonomi Makro Islam Pendekatan Teoritis. Edisi Pertama. Jakarta: Kencana. Hussain, N. (2017). Mutual fund performance; funds and country-specific characteristics: A comparative study of Pakistan and India equity funds. Journal of Poverty, Investment, and Development, 37, 18-24. Monjazeb, M., & Ramazanpour, E. (2013). The effect of economic factors on the efficiency of mutual funds in Iran. Technical Journal of Engineering and Applied Sciences, 3(15), 1707-1711. Macroeconomic variables towards net asset value of sharia mutual funds in Indonesia and Malaysia Riwi Sumantyo, Dessy Anis Savitri Musembi, M. M. (2016). Effect of macroeconomic variables on financial performance of unit trusts in Kenya. Thesis. Kenyatta University. Othman, A. H. A., Kameel, A., & Aziz, H. A. (2015). Causal relationship between macro-economic indicators and funds unit prices behaviour: Evidence from Malaysian Islamic equity unit trust funds industry. International Journal of Social, Behavioral, Educational, Economic, Business and Industrial Engineering, 9(1), 192-200. Qamruzzaman, M. (2014). Comparative study on performance evaluation of mutual fund schemes in Bangladesh: An analysis of monthly returns. Journal of Business Studies Quarterly, 5(4), 190-209. Rachman, A., & Mawardi I. (2015). Pengaruh inflasi, nilai tukar rupiah, BI rate terhadap net asset value reksadana saham sharia.Jurnal Ekonomi Sharia Teori dan Terapan, 2(12), 986-1001. http://dx.doi.org/10.20473/vol2iss201512pp%25p Tandelilin, E. (2010). Teori Investasi dan Portofolio. Yogyakarta: Kanisius
ADDENDUM #2 SUBJECT: Copper River Watershed EVOS Habitat Enhancement Project Sites COP 20, 22, 25 Pre-Bid Questions and Addendum #2 DATE: January 22, 2021 Questions \| Number \| Asked by \| Question \| \|---\|---\|---\| \| 1 \| Kirsten Voorhees - Contech \| on review of plan set, we have noticed the corrugated aluminum pipe for COP 22, 25 and 20 – Item No. 602(2) on sheet C2, of C10 called out as aluminum structural plate with the following spans: COP 22 - 5’-4” span x 3’-5” rise COP 25 - 5’-10” span x 3’-11 rise COP 20 - 5’-10” span x 3’-11 rise All three of these overflow pipes are smaller than any ALSP Pipe Arch options available due to bending limitations of these types of materials. This size is typically a stick of pipe and not structural plate that is bolted together. Is the owner willing to either enlarge the culvert (our minimal ALSP pipe arch size is 6’-7” span x 5’-8” rise) or allow pipe and connector bands for this overflow pipe adjacent to the box culvert? \| Contract Provisions and Specifications \| Page Numbers \| Total Pages \| Section \| Action \| Explanation of Correction \| \|---\|---\|---\|---\|---\| \| 22-23-A \| 2 \| Section 602 Structural Plate Pipe \| Deleted 602(2) Pay Items for structural plate aluminum pipe arches for overflow culverts \| Question 1 – changing overflow culverts from structural plate aluminum to rolled corrugated aluminum pipe arch culverts \| \| 23-B \| 1 \| Section 603 Culverts and Storm Drains \| Added 603(10) Pay Items for corrugated aluminum pipe arches for overflow culverts \| Question 1 \| \| 50-51 \| 2 \| Materials Certification List \| Removed structural plate aluminum pipe arches under Section 602 and added corrugated aluminum pipe arches under Section 603 \| Question 1 \| \| 69 \| 1 \| Bid Schedule A – COP 22 \| Added 603(10) Pay Item for Corrugated Aluminum Pipe Arch; deleted 602(2) Pay Item for Structural Plate Aluminum Pipe Arch \| Question 1 \| \| 70 \| 1 \| Bid Schedule B – COP 25 \| Added 603(10) Pay Item for Corrugated Aluminum Pipe Arch; deleted 602(2) Pay Item for Structural Plate Aluminum Pipe Arch \| Question 1 \| \| 71 \| 1 \| Bid Schedule C – COP 20 \| Added 603(10) Pay Item for Corrugated Aluminum Pipe Arch; deleted 602(2) Pay Item for Structural Plate Aluminum Pipe Arch \| Question 1 \| Plan Sheets \| Crossing \| Page Numbers \| Action \| Explanation of Correction \| \|---\|---\|---\|---\| \| COP 20 \| C2 \| Deleted Pay Item 602(2) Structural Plate Aluminum Pipe Arch Added Pay Item 603(10) Corrugated Aluminum Pipe Arch \| Question 1 \| \| COP 22 \| C2 \| Deleted Pay Item 602(2) Structural Plate Aluminum Pipe Arch Added Pay Item 603(10) Corrugated Aluminum Pipe Arch \| Question 1 \| \| COP 25 \| C2 \| Deleted Pay Item 602(2) Structural Plate Aluminum Pipe Arch Added Pay Item 603(10) Corrugated Aluminum Pipe Arch \| Question 1 \| Specifications, the AASHTO Manual for Bridge Evaluation, and the Contract requirements". Revise and resubmit the CBDP to incorporate any comments received during review. Resubmit the IDC letter after comments have been incorporated. The approval of the CBDP shall not be construed as complete review but will only indicate that the general method of construction and working drawings are acceptable to the Engineer, that the CBDP appears complete, and that an IDC letter was provided. The Contractor shall remain responsible for all structural calculations and load rating completed for the culvert bridge. 602-3.01 CONSTRUCTION REQUIREMENTS. Add the following: Contractor shall be responsible for shipping and transporting the structural plate aluminum box culverts and aluminum pipe arch overflow culverts to the project site. Contractor is responsible for assembling and installing the structural plate aluminum box culverts and aluminum pipe arch overflow culverts as shown in the Plans. If requested by the Engineer, provide the Engineer access to manufacturer's installation recommendations such as attendance at the pre-construction meeting or written literature. The Engineer shall approve of the culvert foundation elevations and material prior to placement of the culverts in the final locations as shown on the Plans. Final elevations of the culvert inverts shall be within 1 inch, plus or minus, of the elevations shown in the Plans. Structural culvert invert elevations outside the 1-inch plus or minus tolerance shall be cause for resetting of the culverts at the Contractor's expense. Notify the Engineer a minimum of 72 hours before scheduled placement of the culverts. Obtain the Engineer's approval before over-excavating in-situ materials. 602-5.01 BASIS OF PAYMENT. Delete the first sentence and replace with the following: Excavation, borrow, and bedding are paid for under Sections 203 and 301, accordingly. All work including labor, materials, and equipment necessary to complete design and load rating for culvert bridges and meet the submittal requirements stated in this Section is subsidiary to Section 602 pay items. All work including labor, materials, and equipment associated with furnishing, transporting, assembling, inspecting, and installing culvert bridges *Deleted* is subsidiary to Section 602 pay items. Add the following pay items: SECTION 603 CULVERTS AND STORM DRAINS Special Provision 603-5.01 BASIS OF PAYMENT. Add the following: Excavation, borrow, and bedding are paid for under Sections 203 and 301, accordingly. All work including labor, materials, and equipment associated with furnishing, transporting, assembling, inspecting, and installing overflow pipe arch culverts is subsidiary to Section 603 pay items. Add the following pay items: Materials Certification List MATERIALS CERTIFICATION LIST (2 pages) Project Name: Copper River Watershed Habitat Enhancement Project, Cordova EVOS Sites COP 20, 22, and 25 (Fish Passage Improvements at Mile 18) \| DESCRIPTION \| CONSTRUCTION PROJECT ENGINEER \| DESIGN ENGINEER OF RECORD \| \|---\|---\|---\| \| 104 SCOPE OF WORK \| \| \| \| Quality Control Manager Qualifications \| \| \| \| Daily Quality Control Reports \| \| \| \| 108 PROSECUTION AND PROGRESS \| \| \| \| Preconstruction Conference Submittals \| \| \| \| 202 REMOVAL OF STRUCTURE AND OBSTRUCTIONS \| \| \| \| Disposal plan, waiver of claims, permission and/or permits \| \| \| \| 203 EXCAVATION AND EMBANKMENT \| \| \| \| Usable Excavation Materials Analysis \| \| \| \| 602 STRUCTURAL PLATE PIPE \| \| \| \| Structural Plate Aluminum Box Culvert 15'-6" Span, 7'-3" Rise \| \| \| \| Culvert Bridge Design Package \| \| \| \| Independent Design Check \| \| \| \| Structural Plate Aluminum Box Culvert 19'-10" Span, 7'-8" Rise \| \| \| \| Culvert Bridge Design Package \| \| \| \| Independent Design Check \| \| \| \| Structural Plate Aluminum Box Culvert 29'-0" Span, 8'-3" Rise \| \| \| \| Culvert Bridge Design Package \| \| \| \| Independent Design Check \| \| \| \| 603 CULVERTS AND STORM DRAINS \| \| \| \| Corrugated Aluminum Pipe Arch 57" Span, 38" Rise \| \| \| \| Corrugated Aluminum Pipe Arch 64" Span, 43" Rise \| \| \| \| Corrugated Aluminum Pipe Arch 71" Span, 47" Rise \| \| \| \| 611 RIPRAP \| \| \| \| Riprap, Class I Materials Analysis \| \| \| \| 623 BLOCK SODDING \| \|---\| \| Vegetated Mat Salvage and Replanting, Work Plan \| \| 640 MOBILIZATION AND DEMOBILIZATION \| \| Record As-Built Drawings \| \| 641 EROSION SEDIMENT AND POLLUTION CONTROL \| \| Storm Water Pollution Prevention Plan (SWPPP) \| \| eNOI \| \| eNOT and Final SWPPP \| \| SWPPP Inspection Reports \| \| 642 CONSTRUCTION SURVEYING AND MONUMENTS \| \| Survey Personnel Qualifications & Equipment List \| \| Grade Checker Personnel Qualifications and Equipment List \| \| Survey Field Notes \| \| 643 TRAFFIC MAINTENANCE \| \| Traffic Control Plan \| \| Construction Phasing Plan \| \| Traffic Control Supervisor and Flagger Certifications \| \| 646 CMP SCHEDULING \| \| Project Schedule \| \| 672 STREAM DIVERSION AND DEWATERING \| \| Stream Diversion and Dewatering Plan \| \| 690 WATERWAY \| \| Waterway Bed Fill Material Analysis \| \| *Deleted* \| \| 703 AGGREGATES \| \| Select Material Type A Analysis \| \| Select Material Type E1 Analysis \| \| Subbase, Grading F Material Analysis \| \| 724 SEED \| \| Seed Mix Certification \| \| 726 TOPSOIL \| \| Topsoil Certification \| \| 729 GEOSYNTHETICS \| \| Geotextile, Reinforcement - Type 2 \| \| Geotextile, Erosion Control, Class 1 \| NOTE: The above materials certification list is not all inclusive. In addition to the above, the Contractor is required to comply with all submittal requirements as required or identified in the plans, specifications, ADOT&PF Standard Specifications for Highway Construction (SSHC) 2020 Edition, or as directed by the Engineer. \| Item No. \| Work Description \| Pay Unit \| Unit price \| Quantit y \| \|---\|---\|---\|---\|---\| \| 201(9) \| CLEARING AND GRUBBING \| LUMP SUM \| \| ALL REQ'D \| \| 202(4) \| REMOVAL OF CULVERT PIPE \| LINEAR FOOT \| \| 61 \| \| 203(3) \| UNCLASSIFIED EXCAVATION \| CUBIC YARD \| \| 1463 \| \| 203(5A) \| BORROW, SELECTED MATERIAL, TYPE A \| CUBIC YARD \| \| 1287 \| \| 203(5B) \| SUBBASE, GRADING F \| CUBIC YARD \| \| 528 \| \| 301(4) \| AGGREGATE SURFACE COURSE, GRADING E-1 \| CUBIC YARD \| \| 55 \| \| 602(4) \| STRUCTURAL PLATE ALUMINUM BOX CULVERT, 19'- 10" SPAN, 7'-8" RISE \| LINEAR FOOT \| \| 90 \| \| 603(10) \| CORRUGATED ALUMINUM PIPE ARCH, 64" SPAN, 43" RISE \| LINEAR FOOT \| \| 83 \| \| 611(1A) \| RIPRAP, CLASS I \| CUBIC YARD \| \| 121 \| \| 611(1B) \| RIPRAP, CLASS II \| CUBIC YARD \| \| 110 \| \| 613(2) \| CULVERT MARKER POST \| EACH \| \| 4 \| \| 618(2) \| SEEDING \| POUND \| \| 3 \| \| 620(1) \| TOPSOIL (4") \| SQUARE YARD \| \| 240 \| \| 630(3B) \| GEOTEXTILE, REINFORCEMENT, TYPE 2 \| SQUARE YARD \| \| 977 \| \| 631(2) \| GEOTEXTILE, EROSION CONTROL, CLASS 1 \| SQUARE YARD \| \| 84 \| \| 640(1) \| MOBILIZATION AND DEMOBILIZATION \| LUMP SUM \| \| ALL REQ'D \| \| 641(3) \| TEMPORARY EROSION, SEDIMENT AND POLLUTION CONTROL \| LUMP SUM \| \| ALL REQ'D \| \| 642(1) \| CONSTRUCTION SURVEYING \| LUMP SUM \| \| ALL REQ'D \| \| 642(14) \| AS-BUILT PLANS \| LUMP SUM \| \| ALL REQ'D \| \| 643(2) \| TRAFFIC MAINTENANCE \| LUMP SUM \| \| ALL REQ'D \| \| 644(15) \| NUCLEAR TESTING EQUIPMENT STORAGE SHED \| LUMP SUM \| \| ALL REQ'D \| \| 672(1) \| STREAM DIVERSION & DEWATERING \| LUMP SUM \| \| ALL REQ'D \| \| 690(10) \| WATERWAY BED FILL \| LINEAR FOOT \| \| 189 \| \| 690(12) \| WATERWAY BANK REVEGETATION AND PROTECTION \| LUMP SUM \| \| ALL REQ'D \| \| \| *DELETED* \| \| \| \| Total Base Bid - Schedule A: Date: Contractor Name: \| Item No. \| Work Description \| Pay Unit \| Unit price \| Quantit y \| \|---\|---\|---\|---\|---\| \| 201(9) \| CLEARING AND GRUBBING \| LUMP SUM \| \| ALL REQ'D \| \| 202(4) \| REMOVAL OF CULVERT PIPE \| LINEAR FOOT \| \| 121 \| \| 203(3) \| UNCLASSIFIED EXCAVATION \| CUBIC YARD \| \| 1254 \| \| 203(5A) \| BORROW, SELECTED MATERIAL, TYPE A \| CUBIC YARD \| \| 1331 \| \| 203(5B) \| SUBBASE, GRADING F \| CUBIC YARD \| \| 583 \| \| 301(4) \| AGGREGATE SURFACE COURSE, GRADING E-1 \| CUBIC YARD \| \| 55 \| \| 602(4) \| STRUCTURAL PLATE ALUMINUM BOX CULVERT, 29'-0" SPAN, 8'-3" RISE \| LINEAR FOOT \| \| 76 \| \| 603(10) \| CORRUGATED PLATE ALUMINUM PIPE ARCH, 71" SPAN, 47" RISE \| LINEAR FOOT \| \| 70 \| \| 611(1A) \| RIPRAP, CLASS I \| CUBIC YARD \| \| 143 \| \| 611(1B) \| RIPRAP, CLASS II \| CUBIC YARD \| \| 154 \| \| 613(2) \| CULVERT MARKER POST \| EACH \| \| 4 \| \| 618(2) \| SEEDING \| POUND \| \| 2 \| \| 620(1) \| TOPSOIL (4") \| SQUARE YARD \| \| 220 \| \| 630(3B) \| GEOTEXTILE, REINFORCEMENT, TYPE 2 \| SQUARE YARD \| \| 1080 \| \| 631(2) \| GEOTEXTILE, EROSION CONTROL, CLASS 1 \| SQUARE YARD \| \| 117 \| \| 640(1) \| MOBILIZATION AND DEMOBILIZATION \| LUMP SUM \| \| ALL REQ'D \| \| 641(3) \| TEMPORARY EROSION, SEDIMENT AND POLLUTION CONTROL \| LUMP SUM \| \| ALL REQ'D \| \| 642(1) \| CONSTRUCTION SURVEYING \| LUMP SUM \| \| ALL REQ'D \| \| 642(14) \| AS-BUILT PLANS \| LUMP SUM \| \| ALL REQ'D \| \| 643(2) \| TRAFFIC MAINTENANCE \| LUMP SUM \| \| ALL REQ'D \| \| 644(15) \| NUCLEAR TESTING EQUIPMENT STORAGE SHED \| LUMP SUM \| \| ALL REQ'D \| \| 672(1) \| STREAM DIVERSION & DEWATERING \| LUMP SUM \| \| ALL REQ'D \| \| 690(10) \| WATERWAY BED FILL \| LINEAR FOOT \| \| 125 \| \| 690(12) \| WATERWAY BANK REVEGETATION AND PROTECTION \| LUMP SUM \| \| ALL REQ'D \| \| \| *DELETED* \| \| \| \| Total Base Bid - Schedule B: Date: Contractor Name: \| ADDITIVE ALTERNATE - SCHEDULE C: Cordova 18 Mile Fish Passage Project – COP 20 \| \| \| \| \| \| \|---\|---\|---\|---\|---\|---\| \| Item No. \| Work Description \| Pay Unit \| Unit price \| Quantit y \| Amount \| \| 201(9) \| CLEARING AND GRUBBING \| LUMP SUM \| \| ALL REQ'D \| \| \| 202(4) \| REMOVAL OF CULVERT PIPE \| LINEAR FOOT \| \| 57 \| \| \| 203(3) \| UNCLASSIFIED EXCAVATION \| CUBIC YARD \| \| 1100 \| \| \| 203(5A) \| BORROW, SELECTED MATERIAL, TYPE A \| CUBIC YARD \| \| 869 \| \| \| 203(5B) \| SUBBASE, GRADING F \| CUBIC YARD \| \| 374 \| \| \| 301(4) \| AGGREGATE SURFACE COURSE, GRADING E-1 \| CUBIC YARD \| \| 44 \| \| \| 602(4) \| STRUCTURAL PLATE ALUMINUM BOX CULVERT, 15'- 6" SPAN, 7'-3" RISE \| LINEAR FOOT \| \| 75 \| \| \| 603(10) \| CORRUGATED PLATE ALUMINUM PIPE ARCH, 57" SPAN, 38" RISE \| LINEAR FOOT \| \| 66 \| \| \| 611(1A) \| RIPRAP, CLASS I \| CUBIC YARD \| \| 198 \| \| \| 613(2) \| CULVERT MARKER POST \| EACH \| \| 4 \| \| \| 618(2) \| SEEDING \| POUND \| \| 2 \| \| \| 620(1) \| TOPSOIL (4") \| SQUARE YARD \| \| 180 \| \| \| 630(3B) \| GEOTEXTILE, REINFORCEMENT, TYPE 2 \| SQUARE YARD \| \| 681 \| \| \| 631(2) \| GEOTEXTILE, EROSION CONTROL, CLASS 1 \| SQUARE YARD \| \| 70 \| \| \| 640(1) \| MOBILIZATION AND DEMOBILIZATION \| LUMP SUM \| \| ALL REQ'D \| \| \| 641(3) \| TEMPORARY EROSION, SEDIMENT AND POLLUTION CONTROL \| LUMP SUM \| \| ALL REQ'D \| \| \| 642(1) \| CONSTRUCTION SURVEYING \| LUMP SUM \| \| ALL REQ'D \| \| \| 642(14) \| AS-BUILT PLANS \| LUMP SUM \| \| ALL REQ'D \| \| \| 643(2) \| TRAFFIC MAINTENANCE \| LUMP SUM \| \| ALL REQ'D \| \| \| 644(15) \| NUCLEAR TESTING EQUIPMENT STORAGE SHED \| LUMP SUM \| \| ALL REQ'D \| \| \| 672(1) \| STREAM DIVERSION & DEWATERING \| LUMP SUM \| \| ALL REQ'D \| \| \| 690(10) \| WATERWAY BED FILL \| LINEAR FOOT \| \| 117 \| \| \| 690(12) \| WATERWAY BANK REVEGETATION AND PROTECTION \| LUMP SUM \| \| ALL REQ'D \| \| \| \| *DELETED* \| \| \| \| \| Total Additive Alternate - Schedule C: Date: Contractor Name: ESTIMATE OF QUANTITIES 1 LEGEND \| ABBREVIATIONS \| \|---\| GENERAL NOTES \| TABLE 2 \| \|---\| \| FINE MATERIAL: POROUS BACKFILL \| \| WATERWAY BED FILL \| \|---\| ESTIMATE OF QUANTITIES 2 1 LEGEND \| ABBREVIATIONS \| \|---\| GENERAL NOTES ESTIMATE OF QUANTITIES LEGEND 2 1 1 \| ABBREVIATIONS \| \|---\| GENERAL NOTES \| COARSE MATERIAL: RIPRAP, CLASS I \| \|---\| \| TABLE 2 \| \|---\| \| FINE MATERIAL: POROUS BACKFILL \| \| TABLE 3 \| \|---\| \| WATERWAY BED FILL \|
January 2006 Vol. XIII, Issue 1 Dedicated to the Preservation of the Carolina Shag &Beach Music Team Editors: Liz Kestler, Gary & Sharon Salpini & Nancy Roop President's Letter by Janis Grimes Northern Virginia Shag Club's Newsletter Northern Virginia Shag Club's Newsletter— — —January 2006 Edition January 2006 Edition January 2006 Edition Happy New Year, Everybody!! Hope ya'll had a Happy New Year celebration, and joyful holidays!! We have so much to be thankful for… now it's time to dance off the mid-winter blues! Speaking of dancing, our Holiday Party at the Springfield VFW was a wonderful time for all who attended. Each year seems to get better, with the sumptuous potluck dinner buffet, the decorations, the music, the generous donations of Toys for Tots, our annual presentation of the Big Check to Hospice (this year we raised $14,554), and all the glitz and glamour – everyone looked marvelous! Your president took a few minutes at the party to recognize some of our members who have volunteered their time and energy to make the FUN happen for YOU! To recap: Special Recognition was given to several members who worked behind the scenes last year… Gary Salpini for his work on the newsletter, oversight of the Green Bag and Fliers, and dependable Social Committee Member; Larry Boyer for the NVSC Hotline, phone tree, and dance committee instructor; Denny Koski for his efforts as Music Committee Chairman; Joan McKinney and Dallas Campbell, for tireless dedication and work on the Virginia Shag Dance Team, and for quietly sponsoring junior shaggers… helping to keep our dance alive; and Special Mention -- Gary and Robbi Mann, My Favorite Couple to Watch Dancing at the club. Dance Committee Chairman David Rodgers was presented the President's Award for 2005. (He actually received it later at Rene's, since he was away on a cruise with Jerry.) Liz Kestler was recognized with a Golden Keyboard Award for her work as club Secretary and newsletter editor. Vice President Dave Rapson and Treasurer Russ White were presented with inscribed beer mugs for their many contributions, too many to list. And Hilda Clemann, Membership; Marcia Conway, Charity/Fundraising; Beverly Larson Farris, Capital Shag Classic; Debra Parrish and Terrie Patullo, Social Committee, earned thanks and gratitude for all their work during the past year. Many thanks to all!!! Your new 2006 Board of Directors was introduced: Janis Grimes – President Marcia Conway – Vice President Charlotte Ashby – Secretary Russ White – Treasurer Hilda Clemann, Linda Coffeen, Cris Gaines, Debra Parrish, Terrie Patullo Looking forward to upcoming events … Mark your calendars NOW … There will be a General Membership Meeting on Wed., January 18th; on Feb. 5th, the annual Super Bowl Party at Rene's, with FREE dinner buffet; Feb. 18th, our annual Jackie & Charlie workshops and dance at Fort Myer; and then on Feb. 25th, the induction of Vesta Jones as our newest member of the Virginia Shaggers Hall of Fame, at Steppin' Out in Virginia Beach. Other VSHOF members from NVSC include Janis Grimes, Joan McKinney, and Rodger Woodson, of Roanoke. The dancing will continue every Wednesday, our regular club night, AND every Saturday night at Rene's, 6:00 – 9:30 p.m. MANY THANKS to all who have been supporting the Saturday Shag dancing at Rene's!! Dancing is joyful ... share the joy! Member Announcements CONDOLENCES Sympathy and condolences go to Cathy Metcalf, whose father, James T. Craig, Sr., died Thursday morning, December 15 th , during a hospitalization in Greenville, SC. The funeral service took place in Pickens, SC. Here is a link to the obituary in the Greenville Times: http://news.greenvilleonline.com/obits/printobit.php?content=obittext&id=88651. If you would like, you may send a memorial contribution to the charity of your choice. You may send Cathy a card, her address is: Cathy Metcalf, 8625 Rocky Gap Court, Lorton, VA 22079 SPECIAL GET WELL WISHES Nancy Gehley's surgery was scheduled for Dec. 29 th to have a scalp melanoma removed. Nancy is not looking forward to her new "hairdo" but she said she is happy to be around a little longer to keep Dennis in line! [A full time job!] Nancy thanks all for their prayers. Let's keep her in our thoughts and prayers. We wish a speedy recovery to Eddy Farmer who had recent eye surgery and scheduled to have another operation soon. He is seeing better now. Continue to keep Craig (Hutch) Hutchinson in your thoughts and prayers. He is using walker, scooter and wheelchair to get around. He has turned over his PSDC duties over to Jim and Peggy Kiesel and Dale and Anita Strawser—they have rather large shoes to fill! Liz Kestler's brother, Danny, is gaining his strength and taking daily walks. Your prayers are working! Keep up the good work and good thoughts! Thank you! Stay strong Danny! CONGRATULATIONS!! Congrats to Nancy and Dennis Gehley, on the birth of a new, adorable grandson, Cole Ackermann Angerer!!! from Betty Ladwig in NMB...Merry Christmas to each of you and a very Happy New Year! Many of you have been asking about Ducks and Ducks Too. You will be happy to know Ducks is open Friday and Saturday nights for cocktails and dancing. Ducks Too is currently open every day from 4 P.M. to 1 A.M. Commencing January 2006 Ducks Too will be open every day from 10 A.M. until 1 A.M. The Grill in Ducks Too will be open for lunch seven days a week, also starting in January. This same information is on the Marquee on the front of Ducks but if you are like me, it's hard to drive and read at the same time, plus, that could be dangerous. There is always music playing for your dancing or listening pleasure. Requests are welcome. I believe this info is accurate but you are welcome to call Ducks during business hours to confirm the days and hours. Deejays and Dance Steps for JANUARY 2005- Lessons Begin at 7:30 p.m. Intermediate Level Shag Steps: Beginner Level Shag Steps: January 4- Basic Step, Start &Female Turn; January 11-Basic Step & Male Turn; January 18-Review Basic Step, Half Turn & Side Pass; January 25-Review Basic Step & Triple Basic Introductory Level [Basic, Start, & FemaleTurn] shag steps: January 18 & 25 DJ'S FOR JANUARY: Jan 4--Dennis and Nancy Gehley; Jan 11—Craig Jennings; Jan 18—Jim Rose; Jan 25—Eddie O'Reilly DJ rotating schedule subject to change. Happy Birthdays! To Our NVSC Members in JANUARY! If your birthday is incorrect or does not appear here, please contact Hilda Clemann, the membership chair, at firstname.lastname@example.org to add your birthday to our database. Be sure to attend the once a month BIRTHDAY DANCE in honor of your BIRTHDAY and enjoy a delicious CAKE made especially for this occasion by Birthday chair, CRIS GAINES—she makes wonderfully scrumptious cakes! Thank you Cris! WELCOME NEW MEMBERS IN NOVEMBER —Richard Battle, Jacqueline Manuel, Vance White & Jimmy Childers WELCOME NEW MEMBERS IN DECEMBER— Barbara DeAngelis and Marion Avolt- - - In tro duc eyourself and ask someone to DANCE!!!! Spinnin' Round… News from the DJ Booth By Jim Rose VOL. 3, No. 1 January 2006 Happy New Year 2006 Many thanks to all of you who've told me that you've enjoyed my music in 2005. And for those of you who haven't told me or don't enjoy my music…well there's always 2006!!! Happy New Year anyway! BEACH MUSIC'S TOP 10 SONGS FOR DECEMBER 2005 1. Your Grace Is So Good – D. Mac/Big John Thompson 6. Sweet Mama Do Right - Coastline 2. When Love Slips Away – Jay Proctor 7. Born To Break My Heart – Roy Hemmings 3. I Want A Love I Can See – Angel Rissoff 4. House On Fire – Danny & The Juniors 5. Hang On in There Baby – Donnie/Susan Trexler 8. Hold On To The Blues – Lonnie Givens 9. Big Blue Cadillac – Kevin Mark 10. I'll Be Around – Hall & Oats PLAYIN' BY THE SEAT OF MY PANTS… In all seriousness, it's been a wonderful year playing music for you. The music, the dance, and the many friends (new & old) that I encounter each week is truly remarkable. The comments I get are sometimes as remarkable! We've talked about DJ's, music, lists, SOS, clubs, and many other items of discussion throughout 2005. So, as I sat pondering what to write about as the New Year approaches, it came to mind the many things in the shag world that I'm thankful for. I'm thankful for the many friends I have who encourage both my playing and dancing, although sometimes, one seems much better than the other. OK, you guess which one! I'm thankful that I have the health to dance and travel to different places to play this music that I so dearly love. I'm thankful for Craig & Heather who endure my feeble attempts at becoming a better dancer. Trust me, they've got some patience! I highly recommend them. I'm thankful for my wife Bonnie, who puts up with my true love of the music and dance. And mostly, I'm thankful for all of you. Yes, you, because you are the real driving force that makes playing the music so much fun. When I'm playing and you're dancing and enjoying yourselves, it makes my job easier. Case in point: the Christmas Dance at the VFW. I had so many of you give me big thumbs up for the music. Thank you. The floor was packed! You got into the music and dance and that alone was what drove the selection of music. So when asked about lists or other such nonsense, I'm really only playin' by the seat of my pants. It's always the people dancing that drive the music and the attitude of the DJ (me). Absolutely nothing else! - See ya on the dance floor in 06' NVSC MEETS WEEKLY AT RENE'S SUPPER CLUB 3251 Old Lee Highway, Fairfax, VA 22030 (703) 385-0077 www.nvshag.org or www.renessupperclub.com Shag Classes: 7:30 – 8:15 PM Dancing: 8:15 – 11:00 PM Happy Hour Drink Prices 4:30 – 7:30 PM Cover Charge - $5.00 Juniors' welcome – with Adult supervision! Location: Near Fairfax Circle, across the street from Artie's Restaurant. Directions: Fairfax Circle is about 3 miles west of the I-495 Beltway at the intersection of Route 50 (Arlington Blvd.) and Route 29 (Lee Hwy.) At the Circle, look for McDonald's. McDonald's is at the corner of Old Lee Highway. Take Old Lee Highway south for about 1/10 mile. Rene's is on the ground floor of an office building on your left with a lighted blue sign, across the street from Artie's Restaurant. ♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫♫ CHECK OUT THE FLYERS--& CHECK OUT NVSC'S SUGGESTION BOX! Located on or near the Flyer Table at Rene's--Make suggestions! Really! Please do! Answer some survey questions which are available on the flyer table and drop them in the box, it's easy, helpful and informative for those of us who plan NVSC Club events.!! Blonde's 2005 Year in Review—submitted by Gary Mann January—Took new scarf back to store because it was too tight. February—Fired from Pharmacy job for failing to print labels…"duh"…bottles won't fit in typewriter!!! March—Got excited…finished jigsaw puzzle in 6 months…the box said "2-4 years!" April—Trapped on escalator for hours…power went out!! May—Tried to make Kool-Aid …8 cups of water won't fit into those little packets! June—Tried to go water skiing…couldn't find a lake with a slope. July—Lost breast stroke swimming competition…learned later that other swimmers cheated. They used their arms! August—Got locked out of car in rain storm…Car swamped because top was down. September—The capital of California is "C"….isn't it? October—Hate M&M's…they are so hard to peel. November—Baked turkey for 4 and a half days…instructions said 1 hour per pound and the blonde weighed 108!! December—Couldn't call 911…."duh"….there's no "eleven" button on the telephone! What a Year!! 2 Blondes—submitted by Charlotte Ashby Two blondes are pumping gas at a service station. One says to the other, "I'll bet these awful gas prices are going to go enven higher." To which the other replies, "It won't affect me, I always put in just $10 worth." Saturday Shag Dance Every Saturday at Rene's Supper Club!!* Dance to Great Beach Music!!! With Various NVSC and Guest Deejays 6:00 – 9:30 p.m. $5 Cover Tell Your Friends!!! Rene's Supper Club 3251 Old Lee Highway, Fairfax, Va. 22030. Phone: 703-385-0077 Visit them online at www.renessupperclub.com ALL are WELCOME -- JUNIORS (under 21 yrs.) FREE of CHARGE, with Adult!! except when cancellations are announced. WORKSHOPS/DANCE/PRIVATE LESSONS WITH CHARLIE WOMBLE & JACKIE McGEE Please mark your calendars now to reserve Saturday, February 18, 2006 for three workshops and a dance with Charlie Womble and Jackie McGee at the Fort Myer Community Center. The workshops will emphasize good basics in each class. They are as follows: Workshop 1: Fun, Easy Patterns plus Basics Workshop 2: Know Your Role, Leading and Following Workshop 3: Smooth and Easy. The Shag "Look" Also, Charlie & Jackie (9 times and 10 times National Shag Champions) will be teaching private dance lessons on Feb. 17 th and 19 th at the home of David & Jerry Rodgers in Fairfax Station, VA. SIGN UP NOW for private lessons with Charlie & Jackie by e-mail at email@example.com or call David at (703) 239-8978 to put your name on the list. Lessons will be scheduled in the order in which the requests for private lessons are received. Costs of the private lessons are $85.00/hour with Charlie and Jackie, and $60.00/hour with Charlie or Jackie. [Private lessons are 70% booked-call David!] THE BOARD MEMBERS, COMMITTEE CHAIRS AND CO-CHAIRS ENCOURAGE NEW (AND OLD) MEMBERS TO PARTICIPATE IN OUR CLUB. WE CAN USE YOUR TALENTS! PLEASE REVIEW THE LISTS OF COMMITTEES AND CONTACT A CHAIR PERSON OR BOARD MEMBER TO VOLUNTEER!! COMMITTEES: Audit 2005 Cris Gaines Birthday Cakes Cris Gaines Capital Shag Classic '06 Co-chairs Linda Coffeen and Larry Boyer Charity/Fundraising Marcia Conway Communications Janis Grimes Dance David Rodgers Historian to be determined Junior Committee Terrie Patullo Membership Hilda Clemann Music Linda Coffeen Newsletter Co-chairs Liz Kestler & Gary Salpini Photographers Charlotte Ashby, Sandra Ferony, H.K. Lee, Jessie March, Eddie O'Reilly, Tom Romero, & Dave Rapson Public Relations Michael Browne Shag-a-thon 2006 Marcia Conway Social/Hospitality Cris Gaines, Linda Coffeen, Russ White, Terrie Patullo & Debra Parrish Web Site Charlotte Ashby Shag Club Treasurer's Report –Russ White (report as of Dec. 28th) $5,711.71 CONWAY'S CORNER -- CHECK WITH MARCIA TO ORDER NEW SHIRTS NVSC LOGO ITEMS: Have you noticed the NVSC log items that club members are proudly displaying? These items are available to every one. We have the following: NVSC Shirts & T-Shirts Shoe Bags $20 CD Cases [Reduced from $10] $5 Large Coffee Mugs $8 Shag Rags (towels) $10 Golf Towels $13 $15 - $35 The CD Cases, Shoe Bags and Coffee Mugs are in stock, however the shirts are by special order. If you are interested in purchasing any of the above items, please contact Marcia Conway. She is at Rene's on Wednesday nights, or you may call her at 703/361-8159. Her e-mail is firstname.lastname@example.org DATES For Your Calendar: Jan. 18 – General Membership Meeting at Rene's * Jan. 27-28 – Prelims in Myrtle Beach, Nat'l Shag Dance Championships * February 5 – Super Bowl Party at Rene's * February 18 – Charlie & Jackie at Fort Myer * February 24-26 - ACSC/SOS Winter Workshop, Columbia, SC * February 25, Virginia Shaggers Hall of Fame in Va Beach * March 9–11 – National Shag Dance Championships in Myrtle Beach * March 18 - Shagathon at Springfield Mall * April 21-30 - SOS Spring Safari, NMB * May 18 th to 22 nd - Va Beach Music Festival Weekend * July 7-9 - ACSC/SOS Summer Workshop * July 14-16 - Junior SOS in North Myrtle Beach * September 15-24 - SOS Fall Migration, NMB FRIDAY NIGHT BEACH PARTY— Meet your friends at The Coast Guard Dancing Friday Nights at the Coast Guard Station on Telegraph Road in Alexandria. The event is held at the ANCHORAGE CLUB on base from about 6:30 until 10 or later. No cover charge. Music is provided by club members. This is a military club, not a restaurant. It has a full bar with cheap prices, but no food and no wait staff, SO eat before ya get there or bring some munchies!! The Coast Guard Station is located at 7323 Telegraph Road in Alexandria (about 4 or 5 miles south of the beltway), which is between Lee District Park and Hayfield High School. Telegraph Road is Exit 2 off of the Beltway. Try Map Quest for specific directions from your location. Entrance to the Station is not restricted during normal security situations. However, you must have a valid photo ID to enter. Remember this is a military base; you and your car may be subject to search. The base will likely be off limits if the security level goes to Code Red. Once on the base, proceed straight for about ¼ mile and you will see a one story building on the left with a brick front and white siding. That'll be it. REMEMBER – THEY ENFORCE THE SPEED LIMITS ON THE BASE!!—Contact Gary Salpini before you go! 703-425-2848 NEW!!! 7:00 PM TUESDAY NIGHTS…The Loft... FFFFredericksburg! redericksburg! 1005 Princess Anne Street, for more info, OR directions: contact DJ, Jim Rose at email@example.com or, check out Battlefield Boogie Club's new web site: www.battlefieldboogieclub.com For some smooth dancing news, check out www.smoothnez.com events ☻ FOR SHAG EVENTS, GO TO www.nvshag.org or www.shagdance.com We're gearing up and getting anxious for this event!! Reserve FEBRUARY 18, 2005 for Workshops and a Dance at Fort Myer Community Center. JACKIE MCGEE AND CHARLIE WOMBLE are coming to teach workshops and private lessons!!! It begins with…. E Friday, Feb. 17 th "LADIES ONLY" FOOTWORK LESSONS WITH JACKIE McGE Jackie McGee has agreed to teach two SMALL GROUP lessons for women only on footwork for ladies when she and Charlie are visiting with NVSC in February 2006. These lessons will be taught at David & Jerry Rodgers' home in Fairfax Station, VA from 9:00-10:00 PM on Friday, 2/17/06 and from 3:00-4:00 PM on Sunday, 2/19/06 IF ENOUGH LADIES SIGN UP FOR THE LESSONS .The Friday night lesson will be taught for beginner/early intermediate level dancers and the Sunday afternoon lesson will be taught for mid-to-upper intermediate/ advanced level dancers. Due to the size of the dance floor available for these lessons, only a limited number (7) will be allowed to attend. Sign-up will be taken on a "first come, first served" basis. Cost of these "Ladies Only" lessons will be $15.00/person. Contact David Rodgers by email at firstname.lastname@example.org or call David Rodgers at (703) 239-8978 to put your name on the list. HAPPY NEW YEAR EVERYONE!!! Northern Virginia Shag Club P O Box 5522 McLean, VA 22103
QUARANTINE SECURITY: ASSESSMENT AND MITIGATION OF THE RISK OF ANASTREPHA STRIATA, ANASTREPHA FRATERCULUS, AND CERATITIS CAPITATA (DIPTERA: TEPHRITIDAE) IN 'HASS' AVOCADO, PERSEA AMERICANA N. J. Liquido 1 , J. M. Layme 2 , L. B. Gonzales 3 , and J. F. Velapatiño 2 1 United States Department of Agriculture (USDA)-Animal and Plant Health Inspection Service (APHIS)-Plant Protection and Quarantine (PPQ), Center for Plant Health Science and Technology (CPHST), 300 Ala Moana Blvd., POB 50002, Honolulu, Hawaii 96850 USA. Email: email@example.com. 2 Ministry of Agriculture, National Agrarian Health Service (SENASA), Avenida La Molina Nº 1915Lima-12-La Molina, Lima, Perú. Email: firstname.lastname@example.org; email@example.com. 3 Formerly, ProHass, Peruvian Hass Avocado Growers Association; Presently, The Embassy of Peru, 1700 Massachusetts Ave., N.W. Washington D.C. 20036. Email: firstname.lastname@example.org Experiments were conducted in Peru to determine the host status of mature green 'Hass' avocado, Persea americana Miller, to guava fruit fly, Anastrepha striata Schiner; South American fruit fly, Anastrepha fraterculus (Wiedemann); and, Mediterranean fruit fly, Ceratitis capitata (Wiedemann). Fruit fly population densities in test orchard and surrounding areas were estimated by trapping and collecting natural host fruits. Commercial grade, mature green 'Hass' avocados were collected weekly from trees in the test orchard during the entire harvest season. Fruit fly infestation level was assessed through microscopic examination of peeled exocarp and thinly sliced mesocarp, and by holding fruits individually in rearing containers. Fruit fly infestation in fruits on the ground and culled fruits from a commercial packinghouse was also determined. Choice and no-choice forced oviposition tests using intact and punctured avocados were conducted in 4-m high by 4.5-m diameter field cages covering an entire tree. No-choice forced oviposition tests were also conducted using 1.5-m long by 1-m diameter sleeve cages enclosing an entire branch. We are reporting results of studies conducted in the Department of Piura, where natural populations of A. striata, A. fraterculus, and C. capitata occur. Data collected from field studies showed that commercial grade, mature green Peruvian 'Hass' avocado is not a suitable field host of A. striata, A. fraterculus, and C. capitata. Based on these results, USDA published two final rules concluding that (1) Peruvian 'Hass' avocado is not a pathway for A. striata, or A. striata is not a pest of 'Hass' avocado in Perú; and,(2) mature green 'Hass' avocado is a conditional non-host of A. fraterculus and C. capitata. These rules signify that with appropriate safeguards to minimize the risks associated with the importation of 'Hass' avocados into the United States, conventional quarantine treatments specified in the USDA-PPQ Treatment Manual are no longer required. Key Words: quarantine security, host determination, host suitability, fruit flies, 'Hass' avocado SEGURIDAD CUARENTENARIA: EVALUACION Y MITIGACION DEL RIESGO DE ANASTREPHA STRIATA, ANASTREPHA FRATERCULUS Y CERATITIS CAPITATA (DIPTERA: TEPHRITIDAE) EN PALTA 'HASS', PERSEA AMERICANA N. J. Liquido 1 2 3 2 1 Departamento de Agricultura de los Estados Unidos (USDA)-Servício de Inspección en Sanidad Animal y Vegetal (APHIS)-Protección de Plantas y Cuarentena (PPQ), Centro de Ciencia y Tecnología en Sanidad Vegetal (CPHST), 300 Ala Moana Blvd., POB 50002, Honolulu, Hawaii 96850 USA. Correo electrónico: email@example.com. , J. M. Layme , L. B. Gonzales , y J. F. Velapatiño 2 Ministerio de Agricultura, Servicio Nacional de Sanidad Agraria (SENASA), Avenida La Molina Nº 1915-Lima-12-La Molina, Lima, Perú. Correo electrónico: firstname.lastname@example.org; email@example.com. 3 de Perú, 1700 Massachusetts Ave., N.W. Washington D.C. 20036. Correo electrónico: Previamente, ProHass, Asociación Peruana de Productores de Palta Hass; Actualmente, Embajada firstname.lastname@example.org Experimentos fueron conducidos en Perú para determinar estatus de hospedante de palta 'Hass', Persea americana Miller, en madurez comercial a mosca de guayaba, Anastrepha striata Schiner; mosca sudamericana, Anastrepha fraterculus (Wiedemann); y mosca del mediterráneo, Ceratitis capitata. Las densidades poblacionales de moscas de la fruta en huertos experimentales y áreas circundantes fueron estimadas por trampeo y colecta de frutos hospedantes naturales. Frutos de palta 'Hass' comercial fueron colectados semanalmente de árboles del fundo experimental durante la estación completa de cosecha. El nivel de infestación de moscas de la fruta fue medido a través de examen microscópico del exocarpo pelado y en mesocarpo finamente cortado en tajadas y manteniendo frutos individualmente en cajas de crianza. La infestación de moscas de la fruta en frutos del suelo y frutos de descarte de una empacadora comercial también fue determinada. Pruebas de oviposición forzada de elección y no-elección usando paltas intactas y punzadas fueron conducidas en jaulas de campo de 4-m alto por 4.5-m diámetro cubriendo un árbol entero. Pruebas de oviposición forzada de no elección fueron también conducidos usando mangas de1.5-m largo y 1m de diámetro encerrando una rama entera. Estamos reportando resultados de estudios conducidos en el Departamento de Piura, donde ocurren las poblaciones naturales de A. striata, A. fraterculus, y C. capitata. Los datos colectados de estudios de campo mostraron que la palta 'Hass' con madurez comercial de Perú no es hospedante adecuado de A. striata, A. fraterculus, y C. capitata. En base a estos resultados, el USDA publicó dos normas finales concluyendo que (1) la palta 'Hass' peruana no es una via de ingreso para A. striata, o A. striata no es una plaga de palta 'Hass' en Perú; y (2) la palta 'Hass' con madurez comercial es un no-hospedante condicional de A. fraterculus y C. capitata y. Estas normas significan que con resguardos apropiados para minimizar los riesgos asociados con la importación de palta 'Hass' en los Estados Unidos, tratamientos cuarentenarios convencionales especificados en el Manual de Tratamientos USDA-PPQ ya no son requeridos. Palabras Claves: seguridad cuarentenaria, determinación de hospedante, susceptibilidad de hospedante, moscas de la fruta, palta 'Hass' INTRODUCTION Host suitability is a critical parameter in developing risk mitigation measures and establishing the intensity of applicable commodity quarantine treatments. Assessing the risk of fruit fly pests associated with the movement of various economically important commodities is paramount in facilitating global trade. The risk assessment conducted in 2006 by the United States Department of Agriculture (USDA), Animal and Plant Health Inspection Service (APHIS), Plant Protection and Quarantine (PPQ), Center for Plant Health Science and Technology (CPHST) concludes that there are three fruit fly pests associated with the importation of 'Hass' avocado, Persea americana Miller, from Peru into the continental United States (USDA 2006). These regulated, high risk tephritid pests are guava fruit fly, Anastrepha striata Schiner; South American fruit fly, Anastrepha fraterculus (Wiedemann); and, Mediterranean fruit fly, Ceratitis capitata (Wiedemann). The Peruvian Ministry of Agriculture, National Agrarian Health Service (SENASA) responded to APHIS by proposing a mitigation procedure based on non-host status, and, subsequently, submitting a research protocol aimed to establish the non-host status of 'Hass' avocados to infestation by A. striata, A. fraterculus, and C. capitata (SENASA 2009). APHIS recommended complying with the standard stipulated in North American Plant Protection RSPM 30: "Guidelines for the Determination and Designation of Host Status of a Fruit or Vegetable for Fruit Flies (Diptera: Tephritidae)" (NAPPO 2008). Based on APHIS recommendation, collaborative research among SENASA, the Peruvian Hass Avocado Growers Association (ProHass) and APHIS was conducted in the Departments of Lima, Ancash, and Piura. Following the guidelines of NAPPO RSPM 30, the research objective was to determine the host suitability of commercial grade, mature green 'Hass' avocados to A. striata, A. fraterculus, and C. capitata. Because of the required brevity for this presentation, we solely report on the results of studies gathered in Piura, the only study site where natural populations of A. striata, A. fraterculus, and C. capitata occur. We present data supporting the recent regulatory decisions published by USDA concluding that A. striata is not a pest of 'Hass' avocado; and, commercial grade mature green 'Hass' avocado is a conditional non-host of A. fraterculus, and C. capitata. MATERIALS AND METHODS Study Site Studies were conducted in avocado fields of Agricola Saturno, SA located in the Department of Piura, District of Chuculanas, Sector Yapatera, Subsector La Villa Sol Sol-Paccha. Department is the primary level of geopolitical division in Peru, followed by District, Sector and Subsector. The daily mean ambient temperature (°C), relative humidity (%) and cumulative precipitation (cm) were recorded using a HOBO ® weather station (ISETEK S.A., Lima, Peru) maintained at Agricola Saturno. All avocado production lots used in the studies reported here had no pesticide applications. Test Insects Laboratory Stock. Laboratory stock colonies were originally established from field-collected host fruits: guava (Psidium guajaba L.), peach (Prunus persica (L.) Batsch), loquat (Eriobotrya japonica [Thunb.] Lindl.), and mango (Mangifera indica L.) for A. fraterculus and C. capitata; and, guava alone for A. striata. They were mass-reared at SENASA facilities in Piura and Lima, following the guidelines and standard procedures of FAO, IAEA, and USDA to maintain the quality of mass reared insects (FAO/IAEA/USDA 2003). Larvae of A. fraterculus and C. capitata were reared using artificial diet, while those of A. striata were reared in guava, as a suitable rearing diet for this species has not been developed. To "rejuvenate" the laboratory colonies, adults from field collected natural host fruits were introduced into the mating and egging cages periodically. Stock rejuvenation was done at least once before attaining the 10th filial generation. Wild stock. Wild stock colonies were established from the same natural host fruits mentioned above, and reared following the same standard guidelines and procedures as the laboratory stock colonies. However, wild stock colonies of each of the three species were offered natural host fruits for oviposition; thus, the ensuing larvae were reared in their respective preferred host fruits. Wild stock colonies of A. striata, A. fraterculus and C. capitata were refreshed by adding wild adults to the colony at or before the fifth filial generation. Relative Densities of Anastrepha spp. and C. capitata in Traps and in Natural Host Fruits Density of Adults Captured in Traps. Relative densities of adults of A. striata, A. fraterculus, and C. capitata inside and in areas surrounding the orchard were estimated using lure and protein bait traps placed along the trapping grid of SENASA's Fruit Fly and Phytosanitary Programs (SMFPF). McPhail traps with hydrolyzed protein bait (250 ml Buminal ® [Bayer CropScience Tecniagro, S.L.], 5 g borax, and 235 ml water) were used for capturing adults of A. striata, A. fraterculus, and C. capitata; protein bait in each trap was replaced weekly. Males of C. capitata were also monitored using sticky Jackson traps baited with 2 g Trimedlure plugs; sticky inserts were replaced biweekly, while TML plugs were changed every three weeks. Trap density was five McPhail traps and five Jackson traps per km 2 , or 5 of each trap per 100 ha. Sector Yapatera, approximately 3,280 ha, had 151 McPhail and 152 Jackson traps. Subsector La Villa Sol Sol-Pacchas, approximately 1,218 ha, had 26 McPhail and 24 Jackson traps. The 'Hass' avocado fields of Agricola Saturno measured 153 ha and had 16 McPhail and 16 Jackson traps. The location of each trap was defined by its geographic information coordinates. Trapped adults were collected weekly and brought to the laboratory for identification and counting. Data were entered into SENASA's Integrated Fruit Fly Information System (SIIMF) database. Infestation Rates in Natural Host Fruits. Fleshy fruits of all plant species growing inside and along the perimeter of Agricola Saturno orchard were collected from January to December 2009. Only ripe fruits on the ground were collected, as they had the higher likelihood of being infested. A total of 5,191 fruit samples belonging to 20 plant species were collected. Fruits were brought to SENASA's laboratory facility in Morropon, Piura for processing. They were weighed, placed in rearing boxes measuring 21 cm high x 38 cm long x 27.7 cm wide, and covered with a fine mesh cloth. Each rearing box contained either fine sand or sawdust at the bottom, as a larval pupation medium; fruits were separated from the sand or sawdust by a grill metal screen placed inside the box at about 10 cm high. After 15 days, fruits were dissected to recover larvae remaining in the fruit. Pupae in sand or sawdust were recovered by sieving or picking individually with fine forceps. All pupae were placed in 7 cm diameter x 9 cm high plastic cups covered with a fine mesh cloth for adult emergence. Within 25 days after emergence, adults were placed in vials containing 70% alcohol and sent to SENASA's taxonomist for identification. Assessment of Infestation Rates of A. striata, A. fraterculus and C. capitata in 'Hass' Avocados Infestation Rate in 'Hass' Fruits on Trees in Experimental Orchard. Sampling was conducted weekly during the 2009 harvest season, starting on 20 March and ending on 29 April 2009. Sampling commenced when the fruit average dry matter content reached 21.5%, based on weekly field fruit monitoring conducted by SENASA and staff of Agricola Saturno orchard. Fruits with > 21.5% dry matter content were acceptable for export. Avocado fields were divided into four-hectare quadrants; each quadrant was divided equally into four subquadrants, each containing approximately 100 trees. During each sampling occasion, quadrants were randomly chosen; five trees for fruit sampling were selected per quadrant as follows: one tree from each subquadrant and one tree from the midpoint of the diagonal of the quadrant. The canopy of each sample tree was divided into halves, the lower half and the upper half. Five fruit samples, one from each of the cardinal points and one from the interior, were collected from each half of the tree canopy. Fruits exhibiting any physical damage, diseases, and malformation described in Norma Técnica Peruana (2005) were excluded from sampling. Each fruit was weighed, and the diameter measured using a digital caliper (CIMATEC SAC, Lima, Peru) at two points: above the peduncle and at the equatorial area. To determine the presence of oviposition punctures and/or fruit fly eggs, half of fruit samples were peeled using a potato peeler. Exocarp with discoloration or dark spots was examined under the dissecting microscope to search for eggs or any evidence of oviposition puncture. In addition, fruit pulp or mesocarp was sliced thinly to determine presence of eggs or larvae following the method described by Gould (1995). The remainder of fruit samples were held individually in rearing containers and processed to determine fruit fly infestation. Fruits were individually placed in 1-liter plastic container covered with a fine mesh cloth and containing a thin layer of sawdust as the pupation medium. The fruit holding room was maintained at 26±1ºC and 70±10% RH. Each fruit holding container was examined at least weekly for presence of adults. After 30 days, each fruit was dissected and sawdust was carefully inspected and sieved. To sum up, a total of 1,300 'Hass' avocados was collected; among these samples, 65 were used to estimate the percentage dry matter content, 650 avocados were peeled and sliced individually to determine presence of fruit fly eggs and/or larvae. Determining Percentage Dry Matter Content. The dry matter content was estimated from 10%, or 65, of fruit samples that were peeled for presence of eggs or larvae. Using 10 g mesocarp, the percentage dry matter content was determined following a modified gravimetric method presented in Liquido et al. (1995). The formula for calculating percentage dry matter content was: %DMC = DW/FW x 100, where DMC, DW, and FW denote dry matter content, dry weight, and fresh weight, respectively. The percentage dry matter content is used as the index of commercial harvest maturity. Only fruits with at least 21.5% dry matter content were acceptable for export. Infestation Rate in 'Hass' Avocados Collected from a Packinghouse. At the Sunshine packinghouse, the sole packinghouse for Agricola Saturno, two sets of samples were randomly collected: first, culled fruits from the culling bins; second, brushed and washed exportable fruits gathered directly from the conveyor belts prior to waxing and packing. Weekly sampling was conducted from 20 March to 15 April 2009. During the first week, 25 discarded and 50 export quality fruits were sampled; 100 culled and 100 exportable fruits were sampled weekly during the succeeding weeks. A total of 875 fruits were sampled, 425 culled and 450 exportable fruits. Procedures for estimating percentage dry matter content and determining fruit fly infestation were as described above. Infestation Rate in Commercial Grade 'Hass' Avocados Left on the Ground. To determine whether commercial grade 'Hass' avocados on the ground were susceptible to infestation by A. striata, A. fraterculus and C. capitata, 600 newly harvested export quality mature green fruits were placed on the ground underneath the tree canopy; this was done by dropping each fruit from one meter height to the ground. After a one-day exposure on the ground in the field, two hundred fruits were collected; another 200 were collected after three days; and, the remaining 200 were collected after being left on the ground for 7 days. Immediately after collection, fruits were taken to the laboratory, then held individually in 1-liter rearing containers and processed as described above to determine the rate of fruit fly infestation. Forced Oviposition of A. striata, A. fraterculus, and C. capitata in 'Hass' Avocados Oviposition behavior of gravid females of A. striata, A. fraterculus and C. capitata was conducted, separately by species, from April to August 2009 in 'Hass' avocado fields with six-year old, 3-4 m high trees. Tests were initiated when the percentage dry matter content of 'Hass' avocados reached 21.5%. Both choice and no-choice tests were conducted on trees inside large field cages; test trees were pruned and individually enclosed inside 8-sided cages measuring 4 m diameter and 4.5 m height (Figure 1). No-choice tests were also conducted on fruits on branches inside sleeve cages; branches were enclosed in 1 m diameter x 1.5 m long sleeve cages made of fine mesh fabric supported by cylindrical wires (Figure 2). While conducting each test, temperature ( o C) and relative humidity (%) inside each cage were measured using a hygrothermograph (CIMATEC SAC, Lima, Peru). Details of each test are presented below. . Choice Tests in Field Cages. Test insects were given a choice to oviposit between two test fruits: 'Hass' and natural host fruits; each test was designed as paired choice test. There were 15 'Hass' avocados hanging from tree branches and 15 natural host fruits artificially suspended from the tree using plastic netting tubes (Figure 1). 'Hass' and natural host fruits dangled at no more than 30 cm away from each other. The natural host fruits used for the tests were guavas for A. striata, mangoes for A. fraterculus and sweet oranges for C. capitata. Few days before conducting each test, all 'Hass' fruits on test trees inside the cages were covered with white paper bags; afterwards, the entire tree was thoroughly examined, searching and removing any flying insects and predatory spiders. On the day of each test, white bags covering 15 randomly selected 'Hass' test fruits were removed. Thus, only 15 'Hass' and 15 natural host fruits were exposed to the test insects, consisting of 15 gravid females that were 13-29 days old for A. striata and A. fraterculus, and 10-28 days old for C. capitata All gravid females used in choice tests were from wild stock colonies. Choice tests for A. fraterculus and C. capitata were replicated 16 times; for A. striata, four times. Gravid females' oviposition behavior was observed continuously, commencing immediately after releasing females at 9:00 in the morning and ending at 5:00 in the afternoon. Field technicians took turns in observing and recording test females' behavior inside the cage, which included: visiting the fruit, i.e., females alighted on the fruit without attempting to oviposit; attempting to oviposit, whereby a female attempted to insert the ovipositor into the fruit; and, ovipositing successfully, whereby egg deposition occurred. An oviposition attempt was recorded every time a female fly landed on a fruit, followed by repeated dabbing of labellum and probing of the ovipositor on the fruit surface. Insertion of the ovipositor into the fruit followed by egg deposition and aculeus dragging was recorded as successful oviposition. Accuracy of the categorical data on successful egg deposition was determined during processing of test fruit for presence of eggs and/or larvae. At the end of each test, 'Hass' avocados observed to have been oviposited were labeled accordingly using white liquid paper, and then rebagged; the fruit sample identification label was also written on the white paper bag. Marked, bagged fruits were left attached onto the tree until they naturally detached from the peduncle. Test fruits were brought to the laboratory and individually placed in one liter holding containers and processed for infestation as previously described. Control or natural host fruits which had been oviposited were immediately brought back to the laboratory after each test terminated. 'Hass' avocado test fruits were brought to the laboratory for fruit holding on the day they naturally detached or were harvested from the tree. No-Choice Tests in Field Cages. The treatments for the no choice cage tests were intact 'Hass', punctured 'Hass', and natural host fruits. 'Hass' fruits were punctured using a tack pin with a maximum depth of 5 mm; each test fruit was punctured 10 times, with punctures distributed randomly. Similar to choice tests, the natural host fruits were guavas, mangoes, and oranges for A. striata, A. fraterculus, and C. capitata, respectively. Each cage had one type of treatment fruit and offered to test females separately by species. Fifteen gravid females were released inside the cage. Forced, no choice oviposition tests by treatment and by species had variable number of replicates, w/c for brevity are shown and explained in Table 3. The duration and procedures for observing and recording the behavior of gravid females were similar to those for the choice tests. Likewise, the procedures for labeling and holding fruits were the same as those for the choice tests. No-Choice Tests in Sleeve Cages. Tests commenced once fruits on test trees attained > 21.5% dry mater content. As in cage oviposition studies, no-choice forced oviposition tests in sleeve cages (Figure 2) were conducted separately among A. striata, A. fraterculus, and C. capitata. However, the experimental design included separate testing of wild and laboratory stock colonies. Each sleeve cage had either 5 'Hass' or natural host fruits for tests using with wild stock flies, and either 10 'Hass' or natural host fruits for tests using laboratory stock flies. The natural host fruits were guavas, mangoes, and oranges for A. striata, A. fraterculus, and C. capitata, respectively. By 9:00 in the morning, sexually-mature adults aged 13-29 days for A. striata and A fraterculus, and 10-28 days for C. capitata were released inside the sleeves at a density rate of 25 pairs for wild and 50 pairs for laboratory stock colonies. These test flies were kept in the sleeve for four days, with ample supply of water and food (mixture of sugar and hydrolyzed protein (Marca A-1, Lima, Peru). During the 4-day test duration, each sleeve was inspected daily and any dead fly was removed and replaced with robust flies of same species, age, and sex. Tests were designed as paired no-choice tests; each 'Hass' avocado treatment cage was paired with a control cage containing the natural host fruit. Both wild and laboratory-stock colonies of A fraterculus and C capitata were used in the tests, while only wild stock colonies of A. striata were used. Forced, no choice oviposition tests by treatment and by species had variable number of replicates, as explained in Table 4.The gravidity of test females, based on presence of eggs in their ovaries, was reconfirmed by dissecting 3 laboratory stock and 10 wild stock females per sleeve cage. After the 4-day exposure period, 'Hass' and natural host fruits were brought to the laboratory and individually placed in one liter holding containers and processed for fruit fly infestation as previously described. RESULTS Climatic Conditions During the Study Agricola Saturno orchard was very arid, with zero precipitation most of the year; the highest cumulative rainfall of approximately 11 cm was observed in March 2009; the rest of the year mostly had no precipitation. The recorded temperature was highest in March and April; while the highest ambient relative humidity occurred in February and March. Relative Densities of A. striata, A. fraterculus, and C. capitata in Traps The consistently low densities of A. striata, A. fraterculus, and C. capitata in McPhail and Jackson traps in Agricola Saturno orchard and surrounding areas are shown in Fig 3. A. striata was not detected, i.e., zero density, in McPhail traps inside avocado fields of Agricola Saturno. Similarly, A. striata adults were not detected in Subsector La Villa Sol Sol-Paccha, except on weeks 20 (11-17 May) and 21 (18-24 May). The highest density of 0.0165 A. striata adult/trap/day was observed on week 21, which coincided with peak guava fruiting. A. fraterculus adults were detected in Agricola Saturno during weeks 11-18 (9-15 March to 27 April -3 May). The highest observed density of 0.225 A. fraterculus adult/trap/day was observed on week 17 (20-26 April). The highest density of A. fraterculus observed in Sector Yapatera was 0.59 adult/trap/day on week 12 (16-22 March). Agricola Saturno and Sector Yapatera had mango, guava, and citrus orchards harboring a low density population of A. fraterculus. During 'Hass' avocado harvest season, C. capitata adults were not detected in Agricola Saturno and Subsector La Villa, except on weeks 23 to 24 (1-14 June). Adults of C. capitata were consistently very low in Sector Yapatera. The peak densities of C. capitata, both observed in Agricola Saturno, were 0.114 male/trap/day in Jackson traps on week 23 and 0.107 adult/trap/day in McPhail traps on week 24. The peak fruiting season of oranges, tangerines, lemons occurred in May and June. Infestation Rates of Anastrepha spp. and C. capitata in Natural Host Fruits The low infestation rates of Anastrepha spp. and C. capitata in fruits of their natural host plants growing inside and along the perimeter of Agricola Saturno were evident (Table 1). Only one of 715 rough lemons was infested, with two adults of C. capitata emerging. Two of 204 grapefruits were infested with C. capitata, with 20 adults emerged. Four of 250 mandarin oranges were infested, with 15 C. capitata adults emerging. Seven of 160 mangoes were infested with with A. fraterculus, producing 45 adults. Fourteen of 120 guavas were infested, from which 16 A. fraterculus and 21 A. striata adults emerged. Table 1. Infestation rates of Anastrepha spp and C. capitata in fruits of natural host plants growing inside and along the perimeter of Agricola Saturno orchard from January to December 2009. Samples were ripe fruits collected from the ground. 1Family Annonaceae; 2Solanaceae; 3Rutaceae; 4Cucurbitaceae; 5Fabaceae; 6Anacardiaceae; 7Rubiaceae; 8Passifloraceae; 9Lauraceae; 10Myrtaceae. 11 Cc, Ceratitis capitata; Af, Anastrepha fraterculus; As, Anastrepha striata; Ad, Anastrepha distincta; Ao, Anastrepha obliqua. Assessment of Infestation Rates of A. striata, A. fraterculus, and C. capitata in 'Hass' Avocados on Trees, from a Pacckinghouse, and on the Ground All exportable mature green 'Hass' avocados collected from trees inside Agricola Saturno orchard had no fruit fly infestation. Exportable and culled avocados sampled from Sunshine packinghouse also were not infested (Table 2). Similarly, all 600 commercial grade fruits left on the ground under 'Hass' avocado trees and recovered after one, three, and seven days of exposure were not infested either by A. striata, A. fraterculus, or C. capitata. Table 2 . Absence of infestation by Anastrepha spp and C. capitata in 'Hass' avocados collected from Agricola Saturno orchard and Sunshine packinghouse; Piura, Peru, 2009. Forced Oviposition of A. striata, A. fraterculus, and C. capitata in 'Hass' Fruits Choice and No-Choice Field Cage Tests. Results of all caged tests were combined and summarized in Table 3. In both choice and no choice field cage tests, gravid females of A. striata did not even attempt to oviposit on intact and punctured 'Hass' avocados. Gravid females of A. fraterculus attempted but failed to successfully oviposit in intact and punctured 'Hass' avocados in both choice and no choice tests. C. capitata females successfully oviposited in four of 240 intact 'Hass' avocados in choice tests. Five of 480 intact and 23 of 240 punctured avocados were successfully oviposited by C. capitata during no choice tests. However, all eggs oviposited by C. capitata were observed to be encapsulated by callous tissues, and eventually died (Figure 5). No successful infestation of intact and punctured 'Hass' avocados by C. capitata were observed. Control fruits, i.e., guavas, mangoes,and tangelo oranges were successfully infested by A. striata, A. fraterculus, and C. capitata, respectively. No-Choice Sleeve Cage Tests. Both wild and laboratory colonies of A. striata, A. fraterculus, and C. capitata failed to infest 'Hass' avocado fruits in no-choice forced oviposition studies in sleeve cages (Table 4). These fruit flies successfully infested their respective control test fruits. Table 3. Oviposition behavior and absence of infestation by A. striata, A. fraterculus, and C. capitata in 'Hass' avocados under choice and forced, nochoice conditions in large field cages subject to the natural field environment in Agricola Saturno orchard; Piura, 2009 and 2010. 1Each replicate for choice test had 15 'Hass' and 15 host fruits; each replicate for a no-choice test either had 15 intact 'Hass', 15 punctured 'Hass', or 15 host fruits. Each replicate for both choice and no-choice tests had 15 gravid test females released in a cage; thus, 60, 240, and 480 test females signify 4, 16, and 32 replications. Table 4. Absence of infestation by A. striata, A. fraterculus, and C. capitata in 'Hass' avocados in forced, no-choice oviposition studies conducted under natural field conditions in sleeve cages in Agricola Saturno orchard; Piura, 2009 and 2010. 2 For both 'Hass' and host fruits, each replicate in a sleeve cage no-choice test using wild adults (by species) had 5 test fruits and 25 pairs of fruit fly adults; thus, 25, 50, and 100 test females signify one, two, and four replications, respectively. For tests using adults from laboratory colonies, each replicate had 10 test fruits and 50 pairs of fruit fly adults (by species); thus, 100 and 150 test females signify two and three replications, respectively. 1 Guava for A. striata, mango for A. fraterculus, and sweet orange for C. capitata. DISCUSSION USDA-APHIS, on 7 January 2009, published a proposed rule recommending the quarantine measures to mitigate the risks of tephritid pests associated with the importation of 'Hass' avocados into the continental United States (USDA 2009). These quarantine security measures include (1) establishment of an area free of A. fraterculus and A. striata, or trapping to demonstrate that places of production have a low prevalence of A. fraterculus and A. striata; (2) establishment of an area free of C. capitata; trapping to demonstrate that places of production are free of C. capitata; and, (3) application of appropriate commodity quarantine treatment approved by APHIS-PPQ (http://manuals.cphst.org/TIndex/treatmentSearch.cfm; https://epermits.aphis.usda.gov/manual/index.cfm). SENASA, as mentioned earlier, instead proposed extensive field and laboratory experiments aimed to establish that 'Hass' avocados grown in Perú are either a natural non-host or conditional non-host of A. striata, A. fraterculus, and C. capitata. Experiments were conducted and data gathered in collaboration with APHIS in 2009 and 2010 in the Departments of Lima, Ancash and Piura (SENASA 2010). Data collected in Piura in 2009, including data for forced oviposition tests in 2010 for C. capitata, are presented in this report. Results presented here, and those conducted in Mexico (Aluja et al. 2004), showed that 'Hass' avocados are not natural host fruits of A. striata. Our detailed observations of the gravid females' foraging behavior revealed that females of A. striata do not even attempt to oviposit in 'Hass' avocados, even under forced, no-choice conditions. Based on the corroborating data obtained from studies conducted in Perú and Mexico, USDA-APHIS in a final ruling, published on 4 January 2010, removed A. striata from the list of pests of 'Hass' avocados of Perú, which translates to a conclusion that A. striata is not a pest of 'Hass' avocado in Perú (USDA 2010). This paper is the first report on the status of 'Hass' avocado as a conditional non-host of A. fraterculus. A fruit commodity may be designated as a conditional non-host status under approved regulatory safeguards and defined limiting conditions, such as stage of maturity, other physiological conditions, and phenological asynchrony of the pest and the host commodity. In Perú, the percentage fruit dry matter content (> 21.5%) is used as the index of exportable mature green fruits. Under forced, no-choice infestation conditions in large field and sleeve cages, A. fraterculus did not successfully infest both intact (without holes) and punctured mature green 'Hass' avocados. The inability of A. fraterculus to infest 'Hass' avocados under forced conditions, and the verifiable records that A. fraterculus has never been intercepted in avocados (USDA 2011a) suggest that A. fraterculus is either not a pest of avocado, or not a pest of mature green or harvest mature 'Hass' avocados. On 22 July 2011, USDA-APHIS published a rule concluding that commercial grade, mature green 'Hass' avocado is a conditional non-host of A. fraterculus (USDA 2011b). Data presented here corroborate the findings of Willink and Villagran (2007) and De Graaf (2009) on the status of harvest mature 'Hass' avocado as a conditional non-host of C. capitata. Willink and Villagran (2007) evaluated the ability of C. capitata to infest 'Hass' avocados in Argentina. They conducted forced oviposition experiments in the laboratory and field, surveyed fruits extensively by collecting samples from production orchards and commercial packinghouses, and observed total absence of infestation of C. capitata in 'Hass' avocado. De Graaf (2009) conducted research on the susceptibility of Hass avocados to three Ceratitis species in South Africa: C. capitata, Ceratitis rosa Karsch and Ceratitis cosyra (Walker); his approach was similar to the methods presented here and by Aluja et al. (2004). Based on expansive fruit sampling in production orchards and packinghouses and forced oviposition studies in the laboratory and field, De Graaf (2009) concluded that mature green 'Hass' avocado is a conditional non-host of C. capitata, but a poor host of C. rosa and C. cosyra. USDA in a final rule concluded that commercial grade mature green 'Hass' avocado is a conditional non-host of C. capitata (USDA 2011b) Results of studies conducted in Perú, and those of fruit fly workers in Mexico, Argentina and South Africa collectively support the regulatory decisions of APHIS: commercial grade, mature green 'Hass' avocado is not a host of A. striata, and is a conditional non-host of C. capitata and A. fraterculus, and, thus, conventional quarantine treatments specified in the USDA-PPQ Treatment Manual are no longer required. Therefore, with appropriate safeguards before and during harvest, during packing, and during shipment and arrival at port of entry, mature green 'Hass' avocados from Perú do not pose risks of introducing A. striata, A. fraterculus, and C. capitata into the United States. Acknowledgments Studies presented here are collaborative efforts among SENASA, ProHass, and USDA-APHIS. We thank the following orchards and packing houses for their cooperation: Agricola Saturno, Piura; Santa Patricia, Lima; Japurima, Lima; Agricola Sechin, Casma; Frutas & Frutas,Casma; Torre Blanca, Lima; Camposol, La Libertad; and, Sunshine, Piura. Without the assistance of SENASA's scientific, technical and field support team and ProHass' research and development staff, this research would have not been possible. We would like to extend our utmost appreciation to Victor Pampa,Carlos Huaynate, Bruce Rocha, and Grimaldo Febres. References Cited Aluja, M., F. Díaz-Fleischer, and J. Arredondo. 2004. Nonhost status of commercial Persea americana 'Hass' to Anastrepha ludens, Anastrepha obliqua, Anastrepha serpentina, and Anastrepha striata (Diptera: Tephritidae) in Mexico. J. Econ. Entomol. 97(2): 293-309. De Graaf, J. 2009. Host status of avocado ('Hass') to Ceratitis capitata, Ceratitis rosa, and Ceratitis cosyra (Diptera: Tephritidae) in South Africa. J. Econ. Entomol. 102(4): 1448-1459. FAO/IAEA/USDA. 2003. Manual for product quality control and shipping procedures for sterile mass-reared tephritid fruit flies, ver. 5. International Atomic Energy Agency, Vienna, Austria. 85 pp. Gould, W. 1995. Probability of detecting Caribbean fruit fly (Diptera: Tephritidae) infestations by fruit dissection. Florida Entomol. 78(3): 502-507. Liquido, N.J., H.T. Chan, Jr., and G.T. McQuate. 1995. Hawaiian tephritid fruit flies (Diptera): Integrity of the infestation-free quarantine procedure for 'Sharwil' avocados. J. Econ. Entomol. 88(1): 85-96. NAPPO (North American Plant Protection Organization). 2008. NAPPO RSPM 30: Guidelines for the determination and designation of host status of a fruit or vegetable for fruit flies (Diptera: Tephritidae). The Secretariat of the North American Plant Protection Organization, Ottawa, Canada. 10 pp. Norma Técnica Peruana. 2005. NTP 011.018. Paltas. Requisitos, 4 th ed. Comisión de Reglamentos Técnicos y Comerciales—INDECOPI, Lima, Perú. 25 pp. SENASA (National Agrarian Health Service, Peru). 2009. Research Protocol: Non-host status of 'Hass' avocado (Persea americana) to Ceratitis capitata, Anastrepha fraterculus, and Anastrepha striata (Diptera: Tephritidae) in Perú. Ministry of Agriculture, National Agrarian Health Service. La Molina, Lima, Perú. April 2009. 41 pp. SENASA. 2010. Nonhost status of commercial avocado (Persea americana) 'Hass' with respect to Ceratitis capitata, Anastrepha fraterculus, and Anastrepha striata (Diptera: Tephritidae) in Peru. Ministry of Agriculture, National Agrarian Health Service and Peruvian Hass Avocado Growers Association. La Molina, Lima, Perú. December, 2010. 196 pp. USDA (United States Department of Agriculture). 2006. Importation of 'Hass' avocado (Persea americana) fruit from Peru into the continental United States. A qualitative, pathway-initiated risk assessment. USDA-APHIS-PPQ, Center for Plant Health Science and Technology. March 2006. 85 pp. USDA. 2009. Animal and Plant Health Inspection Service, 7CFR Parts 305 and 309 (Docket No. APHIS-2008-0126). Importation of Hass avocados from Peru: Proposed rule. Federal Register 74 (4): 651-664. USDA. 2010. Animal and Plant Health Inspection Service, 7CFR Parts 305 and 309 (Docket No. APHIS-2008-0126). Importation of Hass avocados from Peru: Final Rule. Federal Register 75 (1): 113. USDA. 2011a. AQAS-PestID: Agricultural Quarantine Activity System Pest Interception Database. USDA-APHIS-PPQ. Last access 26 August 2011. USDA. 2011b. Animal and Plant Health Inspection Service, 7CFR Parts 301 and 319 (Docket No. APHIS-2010-0127). Movement of Hass avocados from areas where Mediterranean Fruit Fly or South American Fruit Fly exist: Final Rule. Federal Register 76 (141): 43804-43808. Willink, E., and M. E. Villagran. 2007. Evaluation of quarantine risk of introduction of Ceratitis capitata in 'Hass' avocados from Argentina. In Proceedings of the VI World Avocado Congress (Actas VI Congreso Mundial del Aguacate), 12-16 November 2007, Viña Del Mar, Chile. (http://www.avocadosource.com/WAC6/WAC6_TOC.html). Last access 26 August 2011.
Prof. G. Stock Balzan Prizewinners' Interdisciplinary Forum 21 November 2014 (Rome) – Keynote Speech on the topic "Academies and Foundations to Promote Excellent & Independent Research" Distinguished winners of the Balzan Prizes, Dear Professor Curzio, Ladies and gentlemen, Prestigious prizes like the Balzan Prize and public award ceremonies are a great opportunity for scientists, for the science system itself and of course for institutions and in most cases for foundations as well to show and present their work. And there are several reasons why science, the science system and scientists benefit from prizes: 1° First, prizes clearly show to the non-scientific world the necessity for and, even more so, the abundance of excellence. 2° Within the science and research system, prizes send a clear signal that excellence counts and that the decisions of the jury are carefully observed by their peers, and hence they are part of the quality assurance practice within science. 3° And finally, since the prizes of course are given to personalities but are surely not inde- pendent of the topic they have been working on, the decisions of the jury can also be a hint about trends in science at that point in time. For foundations, the awarding of prizes is a perfect opportunity to document their principles and to demonstrate their missions. Moreover, it is a wonderful signal that civil society cares about our future and hence cares about science. And there is no doubt that science, the sci- ence system and we, all scientists, need the support of non-governmental foundations, a support which of course goes far beyond donating prizes. In order to talk about the role of foundations and academies within the frame of our science and research system, we first need to begin with a few general remarks on science and our current system. – There is no doubt that the world we are living in is a so-called "Leonardo world", a term created by Jürgen Mittelstraß, a German philosopher who indicates with these semantics that we people, scientists, and engineers largely contributed to what is surrounding us, I mean to our world as it is. There is again no doubt that the challenge, the responsibility to further improve the "conditio humana" and hence to tackle all the challenges ahead of us, be it climate, be it energy, be it health, can only be tackled by science, by better science and most likely by more science. However, science must be interconnected and truly problem-oriented, since the problems we are facing are not disciplinary problems only. The great challenges don't care about disciplinary functions and borders. And one of the major challenges within science has been and is to grasp these complexities with interdisciplinary or, again as Mittelstraß would put it, with trans-disciplinary approaches. Universal geniuses like the founder of my academy, Gottfried Wilhelm Leibniz, or Isaac Newton, founder of the Royal Society in London, or even Leonardo, are no longer available or possible. Therefore, we have learned to organise science, especially of course but not only the field of big science, into consortia and in many cases into regional and, where appropriate, into supra-national or even globally acting teams. And yes, this has led to an interdisciplinary working attitude, which however in most cases is still an interdisciplinary philosophy within natural sciences, including engineering. Bridging the gap with humanities and social sciences is still a major effort which we have to make since, as I mentioned before, most of the big challenges are still ahead of us. And the challenges need reflection, a true risk-benefit analysis which goes beyond technology and economics. Therefore, I would like to mark this true interdisciplinarity as the first of a number of "desiderata" we still have in science and within the science system. There is no doubt that the way we have approached our problems both in the past and present has been and still is highly successful; the scientific achievements in our various disciplines are breathtaking. This is true for e.g. medicine, where I come from, where we have begun to understand diseases at a molecular level and also treat them at this level. Another example of our enormous scientific success during the last decades is the field of space research, where scientists have managed to land a satellite called "Philae" after a 10-year journey on a small comet with the size of 12 square kilometers. Of course, there are many more examples in all fields. All of these achievements have a direct impact on our daily life, but they also increase the expectations people have of science and the desire of those who, by profession, have to care about science – to be specific, not only scientists, but also politicians and managers. The successes increase their desire for new solutions for solving the challenges ahead of us, and of course decision makers want to direct the money which is spent on research more and more towards those areas which promise new products, new processes and new solutions. This is what we call product-oriented or applied research. It is less and less understood that there is a continuum between curiosity-driven research and applied research. Curiosity-driven research is the beginning and the humus of all. Without this type of research, the ensuing applied research will soon die out. And it is also true that there is no clear sequential order between curiosity-driven and applied research. However, we know much better today that there is an interactive relationship between these two. Some curiosity-driven research has an immediate impact on applied research, but sometimes it takes 15 or 20 years to obtain results in applied research as it for example happened in what we call biotechnology today. There, it took from the late forties and fifties to the eighties and nineties to create a new industry out of the early research efforts. Sometimes questions arising in applied research necessitate completely new approaches to thinking and experimenting, and sometimes one has to go back to very elementary and basic questions in order to overcome hurdles and solve applied research questions. This even has consequences in the organisation of science and in our innovation system. University research which used to be curiosity-driven research today sees the new necessity of looking into applied research as well. And industry, the classic locus for applied research, in many cases faces an enormous need for curiosity-driven research within industry, often with the help of networks including academia. So, the relationship between invention and innovation, with innovation being the practical outcome of what has been created before as invention, is highly complex. And there can be no innovation without invention, because in most cases breakthroughs are made in curiositydriven research. So I would like to state that my second desideratum is the need for curiositydriven research which must not be scaled down – in contrast, we need more of this kind of research. In this context, we have to learn a third lesson: research in the humanities and in the social sciences is not only needed to preserve our cultural heritage. It is not only needed to interpret this heritage and make it available for our current thinking. It is also needed because, in the words of the German philosopher Hans-Georg Gadamer, "Zukunft braucht Herkunft", or if you would like to put it in English: "If you want to prepare for the future, you need to know where you come from". The hype about news in natural science or engineering and the excitement which it creates should never make us negate this basic principle – the need to support research in the humanities and the social sciences. And nevertheless, it took more than two years to make the Commission in Brussels who elaborated Horizon 2020, the new framework programme for research in Europe, to understand that humanities and social sciences are not only helpers and, to put it negatively, 'reflection machines' of the developments of the natural and technical sciences, because these fields have their own research needs in basic, curiosity-driven research. We know of many countries and not only poorer ones that are cutting the expenses for humanities and social sciences. And this is done in times when, more than ever, we need true interdisciplinarity, which means that not only mathematicians, engineers and material sciences work together but also philosophers, sociologists and others. The big challenges ahead of us demand and need the work of the social sciences and humanities, disciplines that take part in the dialogue on the best possible way to the future and, from the beginning, add their competencies to the large transformation processes which are a characteristic of our time. The old traditions which are sometimes pursued to find technical solutions and then, sometime later, even years later, used to reflect on consequences for our societies, represent an attitude and sequence which no longer work. Large technical programmes need intensive parallel reflections with ethics, philosophy, law, sociology and other disciplines. And of course there are more massive transformation processes ongoing in our societies, such as migration, religious diversity and many others which need research and new concepts. So my next topic in my list of "desiderata" is the preservation of the roots of innovation: curiosity-driven research including the humanities and social sciences. And this new development within science is paralleled by new ways of communication. Within science we now have a massive movement called "open access" where the role of publishers and science journals is questioned or threatened, or as you can also say in a positive way, supplemented by pre-publications and publications on the internet and in social media with blogs and tweets, which are used to distribute scientific results. Especially social media are used to increase the awareness for scientific results, and Wikipedia, with its enormous amounts of data and information and sometimes even knowledge, gives all of us the impression not only of rapid and easy access to what the world knows, but almost kindles the feeling that the availability of scientific data is identical to a solid knowledge of and the ability to properly reflect and interpret the data and bring them into context. But this is by no means sufficient for enabling and improving judgment! A couple of years ago, we had a very simple communication system: the scientist on the one side published his data and his interpretation in peer reviewed journals and if the data were of some interest to the public, science writers in journals on the other side were there to translate it to the public. Only rarely did scientists directly address the public; this attitude was even judged as being non-scientific and the scientists were regarded as being not as serious as they should be. Only the most successful were still somehow appreciated by their peers. Things have changed completely. On top of this and as a consequence, data linked to science, being positive or negative, are in most cases not reported by science writers but are first reported by general journalists. And the first reports, as we know, set in most cases the tone and the trend as to how the topic would be discussed in the media from that point onwards. When science writers and scientists, especially in cases where negative events are reported, start to discuss and to reflect on what has happened, the first hype has faded and the interest of the general public has already turned to the next topic. So the next challenge we are facing is to prepare our scientists for this new world of communication, be it scientific communication or be it communication with the general public. And there are many other challenges for scientists and for the science system which should be discussed, but I myself will concentrate now on my last and final point and this is the education of our young generation. It is general knowledge but not yet on the political agenda that the number of young people who are studying natural sciences – in Germany we call it "MINT" (mathematics, informatics, natural sciences and technology), called "STEM" in the Anglo-Saxon world and standing for science, technology, engineering and mathematics – is getting smaller and smaller. This is true for many countries in which today almost half of the young generation is entering university. The desperate need of our science-based society for trained and educated young people especially in the fields of "MINT" or "STEM" has now become an important economic factor. And in this situation, scientists as well as scientific organisations have to think and act carefully in order to find ways to increase the desire of young people to go into these fields and to stay there, especially in engineering, where a high amount of beginners – after some time – leave their studies and do something else. Thus, motivating and retaining the talents is an important aspect we have to deal with. At the same time, we also need a fresh look at how to improve the skills of students in the fields of humanities and social sciences. Here, I feel, a major issue is not the number of students but rather their attitudes, their preparedness to cope with the new challenges in their disciplines. Ladies and gentlemen, I think with this array of needs and future needs I have now somewhat prepared the floor for the discussion on what academies and foundations can contribute within the focus I have chosen. As president of ALLEA, I ask for your understanding that I first start with academies and the role they can and should play in the context I have discussed. Academies, if I start with the old Greek academies of the Platonic type in the 4 th century before Christ, were places where the independent and undistorted search for the truth could take place. They were places where individuals could follow this mission in a secure and trusted surrounding. This idea and principle was somehow forgotten until the times of the Renaissance and Enlightenment at the beginning of the 18 th Century, when this idea was rejuvenated. The Lincei Academy (founded in 1603), the Leopoldina, Germany's National Academy which is today located in Halle, the Royal Society in London, and the Académie des sciences in Paris were the first modern academies created in Europe where scientists, independent from courts, could do independent research. However, these academies only brought together the natural sciences and medicine. Gottfried Wilhelm Leibniz in fact was the first who felt that in order to improve the "conditio humana", one needs all sciences which should work together in order to combine "theoria cum praxi". Leibniz did not place one discipline over the other, he wanted to have this combination and he already knew that careful deliberation is part of our scientific duties, before and during implementation of new ideas. A mission, ladies and gentlemen, that could not be better formulated in our today's world. Our host, the Lincei Academy, is in the same league. Academies and foundations have in common the autonomy to act and to preserve. The autonomy of research and science is one of the great contributions that have altered and modernised the science system. Whilst the academies can provide a space where scientists can retreat and reflect on what they are doing, what they should be doing, where they can learn and train interdisciplinarity, where they can learn to understand the language being used in disciplines outside their own, and where they learn to understand and appreciate approaches being taken in other disciplines, foundations can, in a complementary way, also support scientists by offering them opportunities to retreat and to reflect in an interdisciplinary manner. And both academies and foundations can define new topics which can be dealt with by the scientists – topics which can be defined in workshops or congresses with a different level of publicity and also without publicity. This is a fantastic opportunity that foundations and academies can offer to scientists: to retreat and reflect. In many cases, this is also an opportunity for interdisciplinary work as the basis for what we call "scientific advice", both for the public and policy. The ability to take the different steps from information to knowledge and from knowledge to judgment is an opportunity often offered by academies and foundations in a similar way – an asset that is probably more important than ever. Discussions in many foundations, but especially in the academies which are e.g. brought together in ALLEA – the European Federation of 58 academies in Europe – were instrumental in shaping Horizon 2020 in Brussels, especially in creating a new awareness for curiositydriven research, interdisciplinarity and offering a "raison d'être" for giving the humanities and social sciences a special chapter within Horizon 2020, which was, as I mentioned before, heavily debated for a long time and as we all know is not over yet. In Brussels, we still find people who try to minimise and sometimes trivialise the contributions of the humanities and social sciences towards coping with the challenges ahead of us and ahead of Europe. Without the help of foundations or private donors, as we recently also learned from our American colleagues, curiosity-driven research, especially in the humanities, would severely be hampered in the United States. If I look at the work by my Academy in Berlin, the edition of Friedrich Nietzsche and the new editions of Immanuel Kant or Gottfried Wilhelm Leibniz would not be feasible without the generous donations of foundations – supplementary in my country to what the government is doing in an exceptional way. How do we create new ideas and new initiatives in our sometimes rigid academic system, how do we bring in new ideas and help to make them part of the institution? In many cases, think tanks in academies and foundations can formulate new needs, and the advantage of foundations is that they can financially support and also sponsor or endow chair programmes. All this can be achieved, and is being achieved, by foundations. There is one minor concern, however, that I would like to raise: sometimes I feel that in recent times foundations have started to formulate their own programmes more and more, and support only topics which fit into these programmes which, by nature, might be even narrower than their missions. And I would plead that foundations remain open to applications by scientists who are trying to follow ideas that are clearly far away from mainstream and are clearly risky. Yes, I do appreciate that foundations already take more risks when funding as compared to governmental funding agencies, but this is exactly what I am asking for: maintaining this attitude towards sponsoring non-mainstream and therefore uncertain projects. This is where the scientific adventure is and where the borders of current knowledge are. And in the words of Francis Bacon, that means: "As the birth of living creatures at first are ill-shapen, so are all innovations". This is where foundations can have the highest impact, not by filling gaps left by governmental systems but rather where we open up a new world, where science is, at its core, questioning existing knowledge, widening the horizon, crossing borders of disciplines and knowledge and truly exploring a completely new approach and perspective. This is where transdisciplinarity can start, where scientists have the energy and the courage to make themselves vulnerable by leaving the disciplinary safe harbours. Training our young scientists as scholars in what we call "soft skills" is not part of the classic government-sponsored curricula. Here again, academies and foundations play a prime role in enabling both our young and seasoned scientists to cope e.g. with the new challenges within the communications system. As we all know, in modern societies scientists have to defend why and what they are doing more and more, and normally they are not trained in this field. Therefore, enabling our scientists to fulfil the different jobs a scientist has to be skilled at is a wonderful area where we as academies and foundations can truly help. And, actually, to what extent this is already being done is amazing. Best practice examples are available! What we have not managed so far is how do we "train" the public to listen to scientists carefully and also prepare them to follow more complex sequences of thought? How can we teach the public not to stop at a certain level of information but to try to accompany scientists on the complicated journey towards knowledge and judgment? Again, this is a badly needed field of activities for academies and foundations. Here they can join forces and work towards creating new procedures for public deliberation. This is one of the pressing necessities if we want to bridge the gap between what science knows and needs to do and what the public understands and wants and needs to judge. Finally and again, I think foundations and academies were the first to analyse and to react to the need for increasing the awareness and preparedness of young people to study "MINT" and "STEM" subjects. A lot of initiatives have been taken, already starting with young children in kindergarten and continuing in primary school, where, as I see it, the main topic is not to reawaken interest in natural sciences but to try to maintain and kindle what is already there. There are effective programmes at the ages when secondary education takes place, but what we lack are programmes to train the trainers, meaning to teach the teachers. We have to direct more awareness towards enabling the teachers, who, in many countries, or I would say in most countries, are left alone and do their training individually. We need systematic programmes to modernise their knowledge, their teaching practices and in some cases, their motivations as well. The burden teachers are carrying in today's schools is largely underestimated and they are often underpaid. And if this is true in rich countries, how difficult is that situation in poor countries, especially in Africa – a continent which is now coming more and more into our focus, where we need to carefully consider providing help if we want to stop the exodus of educated citizens from those countries. And here, the Lincei Academy which is hosting us today is already at the forefront of designing programmes, and we all hope that Europe is wise enough to support these activities because what we can achieve with these programmes directed and invented by scientists is economically cheap when compared to the costs which are created if we do not react. Early reaction, prevention, and signalling where new needs are identified, bringing them to public awareness, and providing some funds for those new ideas – this is where academies and foundations join in. But foundations, due to their financial resources, can play an admirable role in implementing ideas and bringing concepts to fruition. Finally, I believe: joining forces between academies and foundations is an asset which can and should be exploited more. We can all learn from the cooperation of the Balzan Foundation and the Lincei Academy. Thank you for your patience and congratulations to the winners of the prestigious Balzan Prizes.
A Newsletter from the Old State Road Christian Church (Disciples of Christ) Of Charleston, Illinois November 4, 2010 The Disciple Harbinger Pastor Sharon's Note It is already November, and the month we celebrate Thanksgiving Day. Although Thanksgiving is a secular holiday, we in the church know that an attitude of thanksgiving is important each and every day of our lives. God is so good to us. In the Psalms we find these words written: "I will praise the name of God with a song; I will magnify him with thanksgiving." (69:30) And Paul wrote these words to the church at Philippi: "Do not worry about anything, but in everything by prayer and supplication with thanksgiving let your requests be made known to God." (4:6) Giving thanks, especially to God, was an important concern of the scripture writers. They emphasized that we should, especially, thank God for everything we have, for as they remind us, everything we have and are is a gift from God. Our families, the lifestyle we live, our health, the country in which we live, and our church are all gifts from God to us. What a wonderful God we have and serve. Our God not only invites us to accept blessing upon blessing, but our God also invites us to know Him better and more fully. And, speaking of church and thanksgiving, I am especially thankful, that I am here at Old State Road Christian Church. We are now in our second year together in ministry and words are inadequate to describe what a wonderful experience being here at OSRCC has meant to me. I feel privileged that God has allowed me to share mutual ministry with you the members of this congregation. Thank you to each of you for inviting me, and my family to be part of your church family. My wish for each of you is to have a bountiful day giving thanks with your families and friends, later this month. May your time bring joy and peace as you celebrate together. And, let us all thank God for generously blessing each of us with all that we have and are. In Christ, Pastor Sharon THANKSGIVING DINNER & HANNAH DRAKE The Thanksgiving Dinner will be Sunday, November 14 th at 4:00 p.m., followed by Hannah Drake playing the harp at 6:00 p.m. Turkey, ham, rolls, noodles and potatoes will be provided, please bring a covered dish to share. ANNUAL CONGREGATIONAL MEETING The Annual Congregational Meeting will be Sunday, November 21 st immediately following worship. As this is a very important part of the church's future, all are asked to please attend. Though only the members have a voting right, everyone's thoughts are wanted and appreciated. A quorum is needed to do any business, so please plan to stay. PREPARING THE HOUSE OF GOD FOR ADVENT/CHRISTMAS On Sunday, November 21 st following the Annual Congregational Meeting, decorating of the church will take place. A light lunch will be served to those who wish to stay and help, and could you please bring finger food to share? All hands are needed, and would be greatly appreciated. HANGING OF THE GREENS The Hanging of the Greens will be done on Sunday, November 28 th. CHARLESTON MINISTERIAL ASSOCIATION The CMA will meet at OSRCC, Thursday, November 4 th at noon, with Althea Pendergast coming to share information about Pathways. OUR SYMPATHY AND PRAYERS Our sympathy and prayers go to Jackie & Tarry James; Kevin James; Kelly & Doug Bacon & family; Kim & Richard Miller & family, as mother, grandmother, great-grandmother went home to be with the Lord on Sunday, October 17 th . We lift them up to the Lord, that He may surround them with His love and comforting care. CONGRATULATIONS!!! Congratulations to Mitch & Melissa Goodwin on their new blessing of a baby girl, Sophia, born September 16 th , weighing 6 lbs. 13 oz. Children are a blessing of God, and given out of love, and to share His love through new life, as He shares new life for each of us. 2010 THANKSGIVING SPECIAL OFFERING Sunday, November 14 th & 21 st , the Thanksgiving Special Offering will be collected. This special offering supports Disciples Colleges, Universities, and Theological Institutions (of which there are 21). These higher learning educators, help students discover vast opportunities to educate the heart, the mind, and the soul. This year it is entitled, "Making a Difference." Your support of Disciples higher educational institutions through the Thanksgiving Special Offering make a difference in the lives of the more than 26,000 students who chose a Disciples education. There will be envelopes and flyers on the back table concerning the offering. ANNUAL AUCTION The Annual Auction brought in a total of $ 1,634.00. REGIONAL ASSEMBLY CCIW Regional Assembly is being held Friday, November 12 th & Saturday, November 13 th in Decatur, with a few follow-up meetings and post-assembly conversations on Sunday, November 14 th . Meeting together to remember the Disciples Basics: Acting, Being, and Caring in Community. All disciples are encouraged to attend! WORSHIP COMMITTEE'S ADVENT/CHRISTMAS DATE TO REMEMBER November 21 st – decorate the church right after the church service. Please bring finger food to share. December 11 th – pizza and caroling. Will meet at the church at 5:00 p.m. December 24 th – there will be 2 services – 10:00 a.m. (service, meditation & communion served) & 11:00 p.m. ("Candles & Carols" by the choir & communion served) January 2 nd – take down the tree and decorations, immediately following worship. Advent/Christmas Candle Lighting Dates November 28 – First Sunday of Advent December 5 – Second Sunday of Advent December 12 – Third Sunday of Advent December 19 – Fourth Sunday of Advent December 24 – Christmas Eve Service December 26 – First Sunday after Christmas TIME CHANGE Remember to turn your clocks back on Sunday, November 7, 2010. ELDER'S On Wednesday, November 17 th , at 6:30 p.m. the Elder's Meeting has been cancelled, due to Lakeland Cluster having a "Get Acquainted Session" for the new Regional Minister, Dr. Teresa Dulyea-Parker at Marshall Avenue Christian Church in Mattoon, at 7:00 p.m. The hope is for the Elders to attend the "Get Acquainted Session." AS HEARD AROUND THE OLD STATE ROAD CHRISTIAN CHURCH "Four Worms . . . A Sermon" "A minister decided that a visual demonstration would help to illustrate his Sunday sermon. So he placed 4 worms into 4 separate jars. 1. Alcohol 2. Cigarette smoke 3. Chocolate syrup 4. Plain good clean soil The first worm was put into the container of alcohol. The second worm was put into a container of cigarette smoke. The third worm was put into a container of chocolate syrup. Then the fourth worm was put into a container of good clean soil. At the conclusion of the sermon, the minister reported the following results: The first worm in alcohol = Dead The second worm in cigarette smoke = Dead The third worm in chocolate syrup = Dead The fourth worm that was in good clean sold = Alive So the minister asked the congregation – What did you learn from this demonstration??? Maxine, who was sitting in the back, quickly raised her hand and said, 'As long as you drink, smoke and eat chocolate, you won't have worms!'" Thank you, Stan Huffman, M.D. POCKET CHANGE MISSION For September & October was for Charleston Food Pantry, there was a total of $ 10.96 collected. For November & December will be for Coalition for People in Need, Inc. FOOD PANTRY AND SOUP STOP OUTREACH Will be collected Sunday, November 7 th & 14 th . For Soup Stop will be bottles of water and/or plastic utensils; and/or for Charleston Food Pantry will be money most needed and/or tomato sauce and/or dry pasta. BOARD OF ELDERS MEETING (OPEN TO ALL) The next Board of Elders Meeting will be held on Wednesday, November 10, 2010 at 6:30 p.m. Please have all reports into the office no later than Tuesday, November 9, 2010. Thank you. NEXT HARBINGER The next Harbinger will be emailed/mailed by Thursday, December 2, 2010. Please have all items into the office no later than Tuesday, November 30, 2010. Thank you. SHUT-IN COMMUNION MINISTRY If you or someone you know will not be able to be in church and would like to receive communion on Sunday, November 7, 2010, please call the church office at 345-3003. If no answer, please leave a message on the voice mail that you would like to receive communion on this Sunday. It is always done the first Sunday of each month. CHURCH'S VISION AND MISSION STATEMENT Serving and Growing through Christ FIRST TIME VISITORS OCTOBER 2010 No new visitors in October. WEEKLY CALENDAR Choir –Through November – Wednesday– 5:30 p.m. Children's Church School Class–Sun.–9:30 a.m. Worship – Sunday – 9:30 a.m. Bible Study – Monday – 6:30 p.m. CONTINUING CHURCH OUTREACH Soup Stop to help every Thursday from 10:30 a.m. until 1:00 p.m. – 2 or 3 people are needed – if like to help, please call the church office. SERVING THE LORD FOR NOVEMBER 2010 WORSHIP LEADERS ELDERS DIACONATE FOR NOVEMBER 2010 ELDER OF THE MONTH The church has begun an Elder of Month program. If at anytime, you are in need and are unable to get in touch with Linda in the office, or Pastor Sharon is unavailable, the Elder of the Month may be called. For the month of November, the Elder of the Month is Tarry James, 345-6890. COFFEE/JUICE FELLOWSHIP SERVERS FOR NOVEMBER 7, 2010 October's Coffee Fellowship servers are, Jackie & Tarry James, Kelly & Doug Bacon. Coffee/Juice Fellowship will only be served on the first Sunday of each month. ELDER SHUT-IN NOVEMBER 7, 2010 Tricia Briggerman, Patty Maples BIRTHDAY & ANNIVERSARY UPDATES If your birthday or anniversary dates are not mentioned, please let the office know. NOVEMBER 2010 BIRTHDAYS NOVEMBER 2010 ANNIVERSARYS Jim & Kaye (Woodward) Wells November 25 CALENDAR OF EVENTS – NOVEMBER Monday, November 1, 2010 – Bible Study at 6:30 p.m. Tuesday, November 2, 2010 – Linda gone Wednesday, November 3, 2010– CCAR Cleans Choir at 5:30 p.m. Thursday, November 4, 2010 – CMA, OSRCC at Noon Soup Stop at 10:30 a.m. Evangelism Committee Meeting at 5:00 p.m. Sunday, November 7, 2010 – Children’s church school at 9:30 p.m. Sunday Worship at 9:30 p.m. Cougill Manor – Pastor Sharon & Choir at 4:00 p.m. Monday, November 8, 2010 – Bible Study at 6:30 p.m. Tuesday, November 9, 2010 – Materials due for Board Booklet Wednesday, November 10, 2010– Choir at 5:30 p.m. Board of Elder Meeting at 6:30 p.m. Thursday, November 11, 2010– Soup Stop at 10:30 a.m. VETERANS DAY! Friday, November 12, 2010 – Clergy Ethics Seminar – Decatur Regional Assembly Begins – Sunday, November 14, 2010 Sunday, November 14, 2010 - Children’s church school at 9:30 p.m. Sunday Worship at 9:30 p.m. Thanksgiving Dinner at 4:00 p.m. Hannah Drake playing the harp at 6:00 p.m. Monday, November 15, 2010 – Bible Study at 6:30 p.m. Tuesday, November 16, 2010– Linda gone Wednesday, November 17, 2010– Lakeland Cluster "Get Acquainted," MACC at 7:00 p.m. Choir at 5:30 p.m. CCAR Cleans Thursday, November 18, 2010– Soup Stop at 10:30 a.m. CWF at 7:00 p.m. Sunday, November 21, 2010 – Children's church school at 9:30 a.m. Sunday Worship at 9:30 a.m. Annual Congregational Meeting following worship Decorate for Advent/Christmas Thursday, November 25, 2010 – HAVE A BLESSED THANKSGIVING!!! Friday, November 26, 2010 – Office closed Sunday, November 28, 2010 – Children’s church school at 9:30 a.m. (Holy Hands) Hanging of the Greens during Worship Sunday Worship at 9:30 a.m. Monday, November 29, 2010 – Bible Study at 6:30 p.m. Tuesday, November 30, 2010 – Pastor Parish Relations Committee Meeting at Noon Linda gone OLD STATE ROAD CHRISTIAN CHURCH (DISCIPLES OF CHRIST) Charleston, IL 61920 13982 Old State Road 217/345-3003 www.disciplesofchrist.org email@example.com Rev. Sharon Patton, Pastor Lloyd Koontz, Facilitator Linda Thornton, Office Manager Join us every Sunday for Worship at 9:30 a.m. Children's Church School during Worship 9:30 a.m. Office hours are – Tuesday – Friday, 9-3 Growing in God's Love in a Spirit of Tolerance, Diversity, and Inclusion
Karl Puljak: When Spaces Are More Than Just Places — Season 1, Episode 3 Amy: You're listening to Beyond 1894, a podcast where we hear from Louisiana Tech University scholars, innovators, and professionals on their personal journeys and the impact they are making in the world around them. I'm your host, Amy Bell, and my co-host is Teddy Allen. Amy: So, Teddy? Teddy: Yes. Amy. Amy: Do you remember a time when you were completely awed by a building or a bridge? Teddy: Yeah. Yes, I do. Amy: Where were you, and what building and/or bridge? Teddy: It's 1966, before you were born, Amy, and I was six years old, and we went to Robert F. Kennedy Stadium in Washington. And it was the first time I went to a pro baseball game. It was the Washington Senators against the Kansas City A's, and just…. When you look back at that stadium, it's not a pretty stadium. It's not there anymore, but I didn't know there were that many people in the world. Amy: Wow, yeah. So as a kid, and you're in that stadium, what do you remember feeling? That was probably your first Stadium, right? Teddy: Yeah. I mean, where I grew up is 750 people. So, we were double A in football and the stands were 20 rows of stands--just a little concrete block with seats in them. So, I thought that was pretty cool. But then you go to a big-league football/baseball stadium. How can anyone put this together? I mean, they had to start. There was nothing there, and all of a sudden, all these, you can seat 70,000 people in this thing. Ramps, and covers, and concession stands, and bathrooms. I just, even my little, bitty, tiny, South Carolina mind was somewhat awed by, somebody had to think of this, for one thing, and somebody had to figure out how to put it together. Amy: For sure. Yeah, I remember, you know, we talked about how I'm from a small town as well. And the first time that my parents took me to Houston, Texas, and we're driving across all these different lanes and seeing huge buildings I've never ever saw before. I felt like I was in a completely different world. I was transfixed and enchanted by everything. I was like, "Wow, I can't believe this actually exists for some people." Teddy: Yeah, we probably take it for granted now. That's why we need to keep reminding ourselves every day to think like little people, and we'll keep being fascinated. If you're driving to Houston now from the South, from the north, you'll pass Minute Maid Park on the right, right when you come into town. But Minute Maid Park is a fascinating deal, and, you know, the roof retracts, there's a choo choo train in there. And again, this is just the baseball stadium. Amy: Wow. So, do you have a favorite stadium? Teddy: Well, Wrigley Field is hard to beat and Fenway Park--those are the two oldest. A place like Fenway or Wrigley Field, they stood the test of time. These things opened the year the Titanic sank. Was that 1914? So, it's been a minute, but they're so charming. And they're built within this tiny little piece of ground around houses and the city that somebody, the architect for that, was so far ahead of their time in figuring out: we're gonna build this and it could sit here 100 years and still retain its charm. Teddy: The human architectural mind: mine doesn't work like that. You know, we ride the elevator up in Wyly Tower with architecture kids all the time. Students all the time. Amy: Yeah, we do. Teddy: We're on the 12th floor. They're on the 13th. They got their big architect bag and all this kind of stuff. And I'm just wondering, you know, I wish I could be in their head just one day to figure out how they think, and how they see all this stuff out of nothing. How they create it out of nothing. Amy: Yeah, their experience. It's a good thing that you mentioned stadiums, actually. I think a lot of places actually bring people together, and stadiums bring a ton of people together. And that's something that Karl talked about in our interview together. That was a definite theme: bringing people together with architecture. Amy: So, Karl Puljak is the Director of the School of Design and the co-owner of Utility Brewing Company, if you've ever been there. We talked about architecture, the architecture students' work for Med Camps, how he started a Brewing Company with one of his former students, and what his goals are for the future. Teddy: He has dug in, and he has sold out to what he's doing, and I know a bunch of these… Amy: Sold out in a good way. Teddy: In a good way. I mean, he cares about the students, and that faculty over there does. My niece Lacey graduated two or three years ago. She was a leaf blowing in the wind, had no idea what she wanted to do. And about her second year here, maybe, she discovered architecture, and she's an architect in Nashville now. And once she figured out that's what she wanted to do, she was 100% going. And she had all these…. Karl and the faculty pushed her, and helped her, and encouraged her. And I mean, I've teared up before thinking about it, because she didn't know what she wanted to do. And when the light came on, it was, it was over. It was just a joy to see her--how much that she put herself in a program and how much they were willing to help her. Amy: Maybe one day we'll have her on the podcast. Teddy: Would love to have Lacey. She's a Pepperpot. She's a joy. Yeah, She's… she's a wonderful young architect. Amy: Awesome. And now let's hear from Karl. Amy: So how did you decide to study architecture? Karl: I decided pretty early that architecture might be something that would be of interest. One of the things I guess I was always looking at is possibly getting a degree in music. I studied cello since I was a little kid, and um, kind of kept up with all that stuff. And still do. But I liked some of the things that I experienced as, I guess, as a young kid about architecture. Karl: I lived in St. Louis. I'm from St. Louis but lived in the suburbs. So, I love the opportunity to go downtown with my family. Typically, it was like for Christmas or, uh, my dad worked for the brewery downtown. And, uh, but getting to see all those buildings, and getting to see them all close together, and getting to see, you know, especially during the week and during the holidays, all the activity that happened in the city. I just thought it was really great and very different from where I was living. Karl: In St. Louis, we have, you know, the big arch as well. And, I just found that always to be kind of a fascinating, interesting thing, you know. And we would take family and friends that were from out of town to go up there and take a look. And I was, again, I thought it was fascinating to be up on top of it, but I think even more so to be on the ground and looking up at that, at that thing, and just seeing, uh, learning how that thing was put together. They have a little film in the lobby, in the basement of the, uh, of the arch grounds where they have this film that talked about the making of it. I just thought it was fascinating. Such a simple thing, you know. A simple object but such a complicated thing yet at the same time. And I think those kinds of things were of interest to me. Karl: The other thing was, when I was younger, I met a guy who was both an engineer and an architect, and he used this quote that always still sticks with me. In making comparisons between architects and engineers, in one, uh, that architects know nothing about everything, and engineers know everything about nothing. So, but basically, the point is that architects are supposed to have a very broad understanding of the world, culture, history, um, and maybe engineers, um, again, as a stereotype, kind of focus on kind of singular things and really have a very deep kind of a depth of knowledge about something that's fairly limited. And I love the idea of kind of having a, you know, being a Renaissance person, and I think that's the other thing that maybe got me interested in that. Yeah, music kind of faded away. I knew I could still kind of play music while being an architecture major, and I did do that, so. Amy: Yeah. And so how did you get to Tech? Karl: Tech? Uh, it's a little bit…. So, after undergraduate I, uh, I went back to work in St. Louis. Um, worked briefly for an architecture firm for about a half a year, and decided that this really wasn't a fit for me. I decided over, well, after a little bit of scheming, to go to Europe and try to work. And so, um, my parents were a little surprised at that and kind of wondering what I was thinking. But, uh, whatever I did it, um, I ended up moving to Vienna for about three years. And, uh, practiced architecture there, played cello there, and then went back to graduate school. And I went to graduate school at a place called Cranbrook Academy of Art in Michigan. Karl: And kind of at that point, I had an opportunity, you know, to kind of decide, okay, well what's next? I guess my initial thought was I was going to move to New York, be, you know, be an architect and do what I guess a lot of people do kind of after they leave school: Go to the big city, and try to figure it out. But I got a phone call from a professor from Louisiana Tech named Robbie Fakelmann. And he asked if I might be interested in coming down to Ruston to teach for a year. Just as a one-year appointment, and it would be maybe an opportunity to learn a little bit about teaching. Uh, they had an opening, and he wanted to bring a little bit of young energy into the, into the school. And I said, "Well, that sounds kind of interesting." I'd never been to Louisiana at the time, but I wanted to, you know, I thought this might be something that worked. And I went down and visited, and, seemed like a possibility. And when they hired me, I guess later in the summer, I packed my bags and headed up, you know, headed this way, uh, sometime in August and ready to start this adventure. And that was 25 years ago. Amy: Wow. So, you must have liked it. Karl: I did, it's one of those things. I always wanted to go back and teach after, you know, after school. I don't know, it was always something that I knew I wanted to do. I just didn't think it would come as quickly as it did in terms of the opportunity. So that one-year appointment became a second one-year appointment, and then I applied and had a tenure track position and kind of just moved, kind of moved from there. Amy: What did you like about teaching? Karl: I think one of the things that's like, I just like being in the environment. I think I love being a…. When I was at school, when I was at the university, as an undergrad, or even as a graduate school, as a graduate student, I just loved being in the environment of people who are, who are learning, people who are trying to kind of push their ideas forward in this kind of environment. And, again, I think I thought I had maybe the temperament to be a teacher. Karl: I do love it. In my appointment now, it's mostly administrative, so I don't get to teach maybe as much as I would like to. But again, I think being able to teach…. And my, one of my primary jobs was to teach freshmen, freshmen design students. And these are kids who, again, most of them just came straight from high school with the idea of either, you know, majoring in interior design or architecture, not knowing 100% sure, being 100% sure this is something that they want to do. But you know, trying to, trying to bridge that gap between, you know, kind of where they came from and uh, you know, maybe where we help, we want to take them. Amy: So yeah, they're going through a transition. Karl: Absolutely. Amy: And, what's some advice that you typically give? Karl: Always keep your eyes and ears open, and, always kind of look, you know, kind of with a broader kind of vision about what's ahead of you. Appreciate the journey, I guess. Don't be in a rush to move to point B. You know, by keeping your options open, I think, I don't know, things are discovered that maybe you weren't even aware were out there. Amy: Yeah. Yeah. Yeah. Do you think that's what you did? Karl: I think so. Yeah. I think so. I made some decisions, and then, uh, took responsibility for them. It's like, okay, it's like, I decided to leave from this job in St. Louis in order to move to Austria. And uh, there were some challenges, like in terms of getting there. I mean, language is certainly one, a little bit. It's likeI, uh, my parents are from that part of the world, so the language wasn't all too bad. But it's a giant transition, and trying to… uh, if you understand that that transition is actually part of that growth and part of the experience, it's all good. I didn't go there necessarily…. I didn't go there 100% just to get a job, but a job was part of it. But I think also to learn. Amy: But then you came to Louisiana Tech and stayed here. Karl: That's right. And, and again, it's like, I don't know. I didn't think that initially when I came here, this is going to be a longer-term deal, but, you know, things change. It's like, I never thought living in a smaller town would necessarily be where I would find myself, but not, you know, not in any other way other than I just didn't. I was just kind of an intuition. But when you come to a place and you understand in a smaller town, there's, um, I don't know, in some ways there's more opportunities because there's just fewer fish in the pond. And I think, you know, you have the opportunity to get to meet people that maybe in a larger city you wouldn't have access to. And I think that was, that was great. Karl: And the other thing, of course, is I met a local girl and you know, been married for 20 years. So, uh, so that was another part of it. My wife is a graduate from Tech. Her parents are graduates from Tech. And, um, in fact, her dad's a pretty well-known guy in this university. He was the coach of the Lady Techsters for years and years and years. So, uh, I don't know, kind of being part of that, you know, becoming part of that family and seeing that, again, it's like I found, you know, profound satisfaction in what I was doing at work. You know, kind of on the job. It just seemed like this was going to work. This is going to be a place that I can, I can plant my roots. Amy: Yeah, for sure. And so, I want to talk a little bit about the architecture students and their involvement with Med Camps. So how did that start, and what's it been like? Karl: Sure. I guess, it's like the, maybe the beginning of that story is about, it seems like about 20, a little over 20, years ago. I proposed something to the director of the school of architecture that maybe it would be a good idea for our students to spend at least one quarter, or maybe two quarters, out in the community helping. Helping community needs, you know, kind of identifying nonprofits or other organizations that might need some help. And maybe with the skills that our students have, we could contribute in some way. Karl: And so, what we did is we started with a series of small projects. In the fifth year of our program, it was a five, it's a five-year program in architecture, and, uh, go out. We'd worked with the, you know, the City of Ruston. We worked with the parks department. We worked with a number of nonprofits. We worked with, uh, the city of, or the village of, Dubach, and, uh, worked on projects with them. And so the students not only designed these projects, presented them, uh, but then also went out and constructed them. Karl: And that's, that's been very exciting. It's like, so a number of projects, a number of Habitat for Humanity projects were constructed. And then, uh, in the recent six or seven years now, we've been working with Caleb Seney, who's the executive director of Med Camps. Working on ways to improve Camp Alabama, which is the home base of this organization. And trying to find, you know, the big ideas of how to maybe look at, um, you know, looking at a master plan, in terms of how things could develop over time. But then also doing, designing and building small components along the way. And again, I think, you know, the work of Brad Deal and, um, Robert Brooks has just been unbelievable. In terms of how they've kind of transformed, again, this idea of going out in the community, sharing the abilities and talents of our students, and building something that's bigger than themselves, is pretty awesome. Amy: What's one project that you have done for Med Camps that we can kind of like envision? Karl: Okay. Uh, I would say maybe one of the, you know, one of the most profound ones might be the very first one that they did. And this was six, seven years ago. Um, Med Camps is a, it's an old camp of the Presbytery. So, it's been around for decades. And Med Camps for Louisiana is a nonprofit organization that provides summer camp opportunities for, for kids with a variety of physical disabilities or you know, or, or other kind of health related issues and provides them a camp opportunity at no cost to the parents. So, one of the things, in like, in assessing what Robert Brooks and Brad Deal assessed as like, you know, there was no place, at least initially to gather. So they ended up meeting primarily in the parking lot of the facility, and they thought that, you know, maybe the, maybe one of the most important things, you know, we could do, as like as a way start the day for the campers to all gather together and as a way to kind of get together at the end of the day with all the activities and after dinner, they could meet somewhere, and again, it was a pretty simple idea. Karl: And what they created was a pavilion. Uh, that is, it's remarkable. It's, it's simple, you know, in a lot of ways and very poetic. It's very, uh, practical and functional, um, in order to allow, you know, again to, it has to work. Uh, but, um, being able to kind of find and establish a need and get students to look at that need and try to find ways to, you know, not simply make, I don't know, a deck, you know, for everybody to kind of gather around. But to make it a place of, I don't know, uh, a gathering place that provides an opportunity to start the day. And then to kind of, to wrap up the day, there's, um, they say, again, the pledge of allegiance, you know, at the beginning of the day. The flag goes down at the end, you know, that they have kind of on the edge of the Lake, goes down. For the kids, it was kind of home base in some ways. It's like obviously they had their cabins, but this was the place where we would all get together and we would all, uh, you know, kind of talk about what the day was, what the day might hold, and then also kind of get an, get an opportunity to kind of wrap up at the end of the day to reflect on that. Karl: I think that, you know, again, for me that's kind of what architecture is all about. It's like there is, you know, again, it's, it's not just making, making of the object, but it's about the occasion, you know, it's like you're making a place for an event to happen and for people to be engaged in it. I don't know, I think in some ways it's like the simplest, but it's incredibly profound. It's a deck with a roof, you know, if you want to look at it that way. But it's far more complex than that. There's a story kind of embedded in why it's designed and why it's built the way it is. That's what kind of, you know, adds the richness to it. And, uh, and I think that's also, uh, what kind of gets our students engaged in it. They know the bigger story about what this, what this is and what it means. Uh, it's not just a thing. Karl: And the thing that's really great about it, it was, these ideas were generated by the students and not just the ideas, but you know, the drawings to kind of make it happen. And then actually kind of going out onto the site and working for hours and hours and weeks and weeks in order to realize it. Um, it's a lot of, I don't know, it's just, it's a lot of work in a short period of time. But you know…. Amy: And is it safe to say that it's also helping make typical camp experiences accessible for, you know, people with disabilities? Karl: Absolutely. Absolutely. I think that the, the accessibility issue is paramount in this. It's like, and it's, it has to be considered in any of the work that those students do, you know. A large number of those students are, uh, rely on a wheelchair to get around. So being, you know, being able to have equal and fair access to all the facilities that the students create is paramount. That's a given. You know, there's no doubt that that has to happen. But, uh, I think through that our students understand how important this idea of accessibility is. And again, it could be physical accessibility, but it can also be social and cultural as well. Karl: There's a lot of learning that takes place in that class. And, I think the other thing that's really nice about it is, uh, when we initially started this, it was kind of the capstone project of their architecture experience. And now it's kind of in the middle of it. And I think that there's something really great about that in the fact that the students can take the experience that they had and apply to other classes down the road. And similarly, for the next group that's coming through the following year, they can offer advice, mentor, if the need comes, if the need comes to that. Amy: Yeah, that makes sense. They can process what they learned and then apply it and continue to learn more. Karl: And then teach the other, you know, the younger group as well. Amy: Yeah, it seems really rewarding. What's it like for the students? Karl: The students? Well, it's a pretty rigorous, it's a very short time period in order for this to happen. So, it's challenging. Uh, they're all working, you know, again, it's 20, 25, sometimes more, students working together on a singular project. There's a little bit, there can be a little bit of a, I don't know, reality TV, you know, it's like there's not always, not everything is harmonious all the time. There's, you know, uh, times for disagreement and debate. Um, but they also understand what they're doing is something, as I said, it's more than themselves. It's like, you know, the ego has to be kind of put to the side and they have to understand what the project is for and who it's for. And, uh, um, it's always a really exciting, and I mean, to me it's like moving, it's like I still get a little misty when I see these projects finished. They have, we have a ded. . .there's a dedication. You know, the kids that do come to the camp, they're there, their parents are there. And, uh, to see this all kind of come to fruition is pretty, pretty awesome. Amy: Earlier you talked about how living in a small town almost gives you a little bit more, it gives you more opportunities. I mean, not only are you the director of the School of Design, but you also have your own brewing company here in town. Karl: That's right. So, I co-own Utility Brewing Company. I co-own that with an architect who was actually, back in the day, a former student of mine, Cassidy Keim. And, uh, we also work with Dean Norton, he's an alum, and owned restaurants, uh, here in town. And yeah, when we, this is kind of another way in which we, we thought we could maybe contribute. I know my wife, and I think the odds of leaving Ruston are fairly remote. Um, she's committed, you know, her roots are here, her parents are here. Uh, our children have grown up here, and I don't foresee us moving. But I think to try to find another, another way to engage, uh, was the idea of this brewery. Karl: It's like Cassidy and I, um, did homebrewing kind of independently for a long time, and it was just a hobby for me. I enjoyed the social component of it, um, and getting together with people and doing this. And, uh, he and I got together a little bit later and started brewing together, and we participated in some of these, the brew competitions that are local here. And, uh, we found a little bit of success, and I think that maybe got to our head a bit. And thought, "Well, you know, look, there's no…. Nobody seems to be making one of these. And it seems like a college town should have something like this. Why not us?" Cassidy, as I said, he was an architect, and he had a space downtown, which happens to be right next to the Dixie Theater, which is a pretty great location. Karl: The other thing that's really great about that space is it has an outdoor courtyard area, so to have, and again, I think those are two things that we really wanted. We wanted to be part of the downtown if we could. If it was to have the luxury of being, having an opportunity to have some outside space actually would be a bonus. And that's kind of what happened. And again, it's like, well, the idea of doing a brewery and actually trying to make a brewery, that there's, uh, there's a lot of learning that takes place there and a lot of time and a lot of discussions with family and friends about whether we should do this or not. But we thought, you know, prudently, that we think that this would probably be okay. And, we went and learned a little bit about how to go from, well again, the analogy would be like going from baking a dozen chocolate chip cookies to baking like 20 dozen chocolate chip cookies with a bigger system. Amy: Yes Karl: Because previously we would, you know, we brewed with five, we brewed five gallons of beer at a time, and now in our system, we brew about, oh, 250 gallons at a time. So obviously the equipment's going to be way different. Learning about that, we had to travel a little bit, and, uh, thought, well, you know, we think maybe we could make this work. And yeah, that's kind of how it happened. Karl: Um, we've been open now for a little over two years. We were in planning and then construction probably for about a year and a half to two, probably two years. And, we are in the middle of an expansion right now. We're looking to kind of double the size of our interior seating and add a few more, uh, components that we think would be good because we have a, we have access to the building next door. So yeah, so, still get to do architecture things, even if I, you know, kind of primarily sit in my office and do administrative things, but, uh, staying involved, uh, in the profession in some way as well. Amy: And you've created a place to gather. Karl: I think that that was the thing that was really important. It's, uh, one of the things that we really wanted to do. We didn't really have a desire to be a brewery that kind of makes beer that you could go buy at the grocery store, or at a restaurant or anything. We just wanted to make a place where we would make the beer here. If you wanted it, you needed to come. Uh, we wanted to make a place that would be, I don't know, a place, that like a pub atmosphere, where people can kind of, you know, elbow next to each other and have a conversation. And I think it still stays that way. I think that's the thing that's really interest, you know, of interest to us. It's, uh, it's profoundly family oriented. It's like we, uh, you know, it's not, um, it's a, it runs as a restaurant. So, we're, uh, we serve pizzas and salads. But, uh, again, I think the idea of kind of making this beer and just having it at our place is, uh, something that was important to us, you know, as opposed to worrying about selling it to other people. It's like, you know, we'll make a place for people to kind of come and visit and hopefully enjoy, enjoy the experience. Amy: Yeah. And it's fantastic. I really like Utility. I go pretty frequently. It's nice to have in town. Yeah. Karl: Yeah, and I, well, and again, I hope so. The only way it works is, uh, it's everybody that's involved. It's like we have an outstanding manager in addition to our, uh, kind of the ownership team, and we have great folks that work with us. It's like, and most of them are Tech students and trying to balance their lives at school with their interests, you know, to work. It's kind of a, it's a fun thing to work through and work with. It's like, but you know, again, without the help of our team, it'd be very difficult. Amy: So, you have this business, this company with one of your previous, former students. Karl: Former student, yeah. Amy: So, do you create, you know, lasting relationships with your students? Karl: Oh, I think all instructors do. It's like, I love keeping in touch with my students. I want the students to know that they certainly can reach out to us, and you know, this is not, there's still service after the sale, as they say. It's like we want, we want to learn about what you guys are doing. We want to know about your successes, and we want to bring those to our other students. It's like we want, we'd love to bring you back and talk about that experience and what you've done. Amy: Yeah, for sure. And so, as the director of the School of Design, what are your goals for the future? Karl: We have a couple of short-term goals, it's like, and they don't seem very exciting. For me, it's like, in terms of a bigger vision, would to be to keep finding ways for our students and our faculty to engage outside of the walls of our own buildings. You know, I never wanted, you know, our school, to be an independent satellite of everything else that's going on here. If anything, it's like, I want to be in the mix. I want this, I want our faculty and students to be in the mix of things that are going on, you know, in different disciplines in different academic colleges and units. Uh, and then again, this other component of, you know, leaving, you know, the campus and actually participating in some way in the life of the town or the community or a little bit beyond that. Amy: VISTA has been a really cool project that brought a lot of people from different parts of campus together. Can you talk a little bit about that? Karl: I can. So, VISTA is, is a project that was spearheaded by Jamie Newman, and on our faculty, uh, Nick Bustamante, who was a professor of studio art and actually our program chair. And what they discovered is, the science folks needed opportunities to communicate some of their, I don't know, their kind of complex or huge or, you know, kind of beyond microscopic, ideas to others. And the visual artists have the, you know, have that skillset. And then kind of on the other side, it's like, I think, the visual artists have an opportunity to learn about some of the research that's going on in other colleges, and have, again, have an opportunity to participate in some way, you know, with that kind of work. Karl: And, and again, I think that relationship that Jamie and Nick have kind of established has started to kind of grow now. It's like they have an independent lab, you know, kind of on campus now, in which they can, uh, they, the students can learn those skills, uh, in terms of everything from digital painting to the 3-D printing technology to all sorts of other things, and then apply it to research that's established or evolving, you know, in, typically it's the College of Applied and Natural Science or the College of Engineering and Sciences. Amy: Yeah, and can we look forward to any other collaborative projects coming out of the school of design? Karl: I hope so. Um, and I know there's some things that we're working on right now. I've been working and talking with a number of folks, but, uh, especially Jerry Berg and our graphic design program, looking at ways in which game design could be something that we could look at. So, game design is not only kind of in the world of graphic design, but computer science, potentially business, potentially other parts of the campus, that would be exciting. One of the ones is, we have faculty members in the new School of Music that what they do is actually do music for, uh, for video games. So, their role is going to be extremely profound as well. So, this is another example, but we continue to look, there's a few other things that are, are just kind of rolling around in terms of ideas, but it takes, again, it takes not only a collaborative spirit by just a couple of people, but other people willing to play along and finding the value in that. And sometimes it's things that we, as a school, have maybe a direct interest in. Sometimes we get things kind of coming back to us. It's like in terms of an idea, and then, we work that way as well. Amy: Well, thank you so much for being with me on the podcast, and for answering my questions, and for talking to us. Karl: You're absolutely welcome. I loved it. Thanks for the opportunity. Amy: Thank you for listening to this episode of Beyond 1894. If you liked what you heard, please rate and review us. It will help others find our podcast. If you would like to find details about the episode, check out our show notes. To find our podcast webpage, go to 1894.latech.edu/beyond. If you have suggestions for future episodes email us at firstname.lastname@example.org. We would love your input, so tell us what you would like to hear! Amy: Beyond 1894 is produced by the Office of University Communications, with help from The Waggoner Center and The School of Music, at Louisiana Tech University. Dave Norris is the executive producer. I, Amy Bell, am the producer and chief editor, and Teddy Allen and I are cohosts. The sound engineering for this episode was done by Jensen Gates and the music featured was arranged by Kaelis Ash.
30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 15 The 30th anniversary of The Journal of Portfolio Management is a milestone in the rich intellectual history of modern finance, firmly establishing the relevance of quantitative models and scientific inquiry in the practice of financial management. One of the most enduring ideas from this intellectual history is the Efficient Markets Hypothesis (EMH), a deceptively simple notion that has become a lightning rod for its disciples and the proponents of behavioral economics and finance. In its purest form, the EMH obviates active portfolio management, calling into question the very motivation for portfolio research. It is only fitting that we revisit this groundbreaking idea after three very successful decades of this Journal. In this article, I review the current state of the controversy surrounding the EMH and propose a new perspective that reconciles the two opposing schools of thought. The proposed reconciliation, which I call the Adaptive Markets Hypothesis (AMH), is based on an evolutionary approach to economic interactions, as well as some recent research in the cognitive neurosciences that has been transforming and revitalizing the intersection of psychology and economics. Although some of these ideas have not yet been fully articulated within a rigorous quantitative framework, long time students of the EMH and seasoned practitioners will no doubt recognize immediately the possibilities generated by this new perspective. Only time will tell whether its potential will be fulfilled. I begin with a brief review of the classic version of the EMH, and then summarize the most significant criticisms leveled against it by psychologists and behavioral economists. I argue that the sources of this controversy can ANDREW W. LO is Harris & Harris Group Professor at the MIT Sloan School of Management, and chief scientific officer at AlphaSimplex Group, LLC, in Cambridge, MA. The Adaptive Markets Hypothesis Market efficiency from an evolutionary perspective. Andrew W. Lo It is illegal to reproduce this article in any format. Copyright 2004. be traced back to the very origins of modern neoclassical economics, and, by considering the sociology and cultural history of modern finance, we can develop a better understanding of how we arrived at the current crossroads for the EMH. I then turn to the AMH, in which the dynamics of evolution—competition, mutation, reproduction, and natural selection—determine the efficiency of markets and the waxing and waning of financial institutions, investment products, and ultimately institutional and individual fortunes. I conclude by considering some implications of the AMH for portfolio management, and by outlining a research agenda for formalizing several aspects of the model. 1 CLASSICAL EFFICIENT MARKETS HYPOTHESIS We all know the joke about an economist strolling down the street with a companion. They come upon a $100 bill lying on the ground. As his companion reaches down to pick it up, the economist says, "Don't bother—if it were a genuine $100 bill, someone would have already picked it up." This example of economic logic gone awry is a fairly accurate rendition of the Efficient Markets Hypothesis, one of the most contested propositions in all the social sciences. It is disarmingly simple to state; it has far-reaching consequences for academic theories and business practice; and yet is surprisingly resilient to empirical proof or refutation. Even after several decades of research and literally thousands of studies, many published in this Journal, economists have not yet reached a consensus about whether markets—particularly financial markets—are in fact efficient. As with so many of the ideas of modern economics, the origins of the EMH can be traced back to Paul Samuelson [1965], whose contribution is neatly summarized by his title, "Proof that Properly Anticipated Prices Fluctuate Randomly." In an informationally efficient market, price changes must be unforecastable if they are properly anticipated, that is, if they fully incorporate the information and expectations of all market participants. Roberts [1967] and Fama [1970] operationalized this hypothesis—summarized in Fama's wellknown description, "prices fully reflect all available information"—by placing structure on various information sets available to market participants. This concept of informational efficiency has a Zen-like, counterintuitive flavor to it. The more efficient the market, the more random the sequence of price changes generated by such a market; and the most efficient market of all is a market in which price changes are completely random and unpredictable. This is not an accident of nature, but is in fact the direct result of many active market participants attempting to profit from their information. Driven by profit opportunities, an army of investors pounce on even the smallest informational advantages at their disposal. In doing so, they incorporate their information into market prices and quickly eliminate the profit opportunities that first motivated their trades. If this occurs instantaneously, which it must in an idealized world of frictionless markets and costless trading, prices must always fully reflect all available information. Therefore, no profits can be garnered from information-based trading because such profits must have already been captured (the $100 bill on the ground). In mathematical terms, prices follow martingales. A decade after Samuelson's [1965] landmark work, his framework was broadened to accommodate risk-averse investors, yielding a neoclassical version of the EMH where price changes, properly weighted by aggregate marginal utilities, must be unforecastable (see, for example, LeRoy [1973]; Rubinstein [1976]; and Lucas [1978]). In markets where, according to Lucas [1978], all investors have "rational expectations," prices do fully reflect all available information and marginal-utility weighted prices follow martingales. The EMH has been extended in many other directions, to incorporate non-traded assets such as human capital, state-dependent preferences, heterogeneous investors, asymmetric information, and transaction costs. But the general thrust is the same: Individual investors form expectations rationally; markets aggregate information efficiently; and equilibrium prices incorporate all available information. The current version of the EMH can be summarized compactly by the "three Ps of Total Investment Management": prices, probabilities, and preferences (see Lo [1999]). The three Ps have their origins in one of the most basic and central ideas of modern economics, the principle of supply and demand. This principle states that the price of any commodity and the quantity traded are determined by the intersection of supply and demand curves, where the demand curve represents the schedule of quantities desired by consumers at various prices, and the supply curve represents the schedule of quantities producers are willing to supply at various prices. The intersection of these two curves determines an "equilibrium," a price-quantity pair that satisfies both consumers and producers simultaneously. Any other price-quantity pair may serve one group's interests, but not the other's. Even in this simple description of a market, all the elements of modern finance are present. The demand curve is the aggregation of many individual consumers' desires, each derived from optimizing an individual's preferences, subject to a budget constraint that depends on prices and other factors (e.g., income, savings requirements, and borrowing costs). Similarly, the supply curve is the aggregation of many individual producers' outputs, each derived from optimizing an entrepreneur's preferences, subject to a resource constraint that also depends on prices and other factors (e.g., costs of materials, wages, and trade credit). And probabilities affect 16 THE ADAPTIVE MARKETS HYPOTHESIS 30TH ANNIVERSARY ISSUE 2004 It is illegal to reproduce this article in any format. Copyright 2004. both consumers and producers as they formulate their consumption and production plans through time and in the face of uncertainty—uncertain income, uncertain costs, and uncertain business conditions. It is the interactions among prices, preferences, and probabilities that give modern financial economics its richness and depth. Formal models of financial asset prices such as Leroy [1973], Merton [1973], Rubinstein [1976], Lucas [1978], and Breeden [1979] show precisely how the three Ps simultaneously determine a "general equilibrium" in which demand equals supply across all markets in an uncertain world where individuals and corporations act rationally to optimize their own welfare. The three Ps enter into any economic decision under uncertainty. It may be argued that they are fundamental to all forms of decision-making. BEHAVIORAL CRITIQUES The three Ps of Total Investment Management yield quite specific theoretical and empirical implications that have been tested over the years. The early tests focused primarily on whether prices of certain financial assets do fully reflect various types of information, and several tests have also considered the characteristics of probabilities implicit in asset prices (see, for example, Cootner [1964] and Lo [1997]). But the most enduring critiques of the EMH revolve around the preferences and behavior of market participants. The standard approach to modeling preferences is to assert that investors optimize additive time-separable expected utility functions from certain parametric families, e.g., constant relative risk aversion. Psychologists and experimental economists have documented a number of departures from this paradigm, though, in the form of specific behavioral biases that are endemic in human decision-making under uncertainty, and several of these lead to undesirable outcomes for an individual's economic welfare. They include: overconfidence (Fischoff and Slovic [1980]; Barber and Odean [2001]; Gervais and Odean [2001]), overreaction (De Bondt and Thaler [1986]), loss aversion (Kahneman and Tversky [1979]; Shefrin and Statman [1985]; Odean [1998]), herding (Huberman and Regev [2001]), psychological accounting (Tversky and Kahneman [1981]), miscalibration of probabilities (Lichtenstein, Fischoff, and Phillips [1982]), hyperbolic discounting (Laibson [1997]), and regret (Bell [1982]; Clarke, Krase, and Statman [1994]). These critics of the EMH argue that investors are often if not always irrational, exhibiting predictable and financially ruinous behavior. To see just how pervasive such behavioral biases can be, consider a slightly modified version of the experiment psychologists Kahneman and Tversky [1979] conducted 25 years ago. Suppose you are offered two investment opportunities, A and B. A yields a sure profit of $240,000, and B is a lottery ticket yielding $1 million with a 25% probability and $0 with 75% probability. If you had to choose between A and B, which would you prefer? Investment B has an expected value of $250,000, which is higher than A's payoff, but this may not be all that meaningful to you because you will receive either $1 million or zero. Clearly, there is no right or wrong choice here; it is simply a matter of personal preferences. Faced with this choice, most subjects prefer A, the sure profit, to B, despite the fact that B offers a significant probability of winning considerably more. This behavior is often characterized as risk aversion for obvious reasons. Now suppose you are faced with another two choices, C and D: C yields a sure loss of $750,000, and D is a lottery ticket yielding $0 with 25% probability and a loss of $1 million with 75% probability. Which would you prefer? This situation is not as absurd as it might seem at first glance; many financial decisions involve choosing between the lesser of two evils. In this case, most subjects choose D, despite the fact that D is more risky than C. When faced with two choices that both involve losses, individuals seem to be riskseeking, not risk-averse as in the case of A versus B. The fact that individuals tend to be risk-averse in the face of gains and risk-seeking in the face of losses can lead to some very poor financial decisions. To see why, observe that the combination of choices A plus D is equivalent to a single lottery ticket yielding $240,000 with 25% probability and –$760,000 with 75% probability, while the combination of choices B plus C is equivalent to a single lottery ticket yielding $250,000 with 25% probability and –$750,000 with 75% probability. The B plus C combination has the same probabilities of gains and losses, but the gain is $10,000 higher and the loss is $10,000 lower. In other words, B plus C is formally equivalent to A plus D plus a sure profit of $10,000. In light of this analysis, would you still prefer A plus D? A common response to this example is that it is contrived, because the two pairs of investment opportunities are presented sequentially, not simultaneously. Yet in a typical global financial institution, the London office may be faced with choices A and B and the Tokyo office may be faced with choices C and D. Locally, it may seem as if there is no right or wrong answer—the choice between A and B or C and D seems to be simply a matter of personal risk preferences— but the globally consolidated financial statement for the entire institution will tell a very different story. From that perspective, there is a right answer and a wrong answer, and the empirical and experimental evidence suggests most individuals tend to select the wrong answer. Therefore, according to the behavioralists, quantitative models of efficient markets—all predicated on rational choice— are likely to be wrong as well. Grossman [1976] and Grossman and Stiglitz [1980] go even farther. They argue that perfectly informationally efficient markets are an impossibility, for if markets are perfectly 30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 17 It is illegal to reproduce this article in any format. Copyright 2004. efficient, there is no profit to gathering information, in which case there would be little reason to trade, and markets would eventually collapse. Alternatively, the degree of market inefficiency determines the effort investors are willing to expend to gather and trade on information. Hence, a non-degenerate market equilibrium will arise only when there are sufficient profit opportunities, i.e., inefficiencies, to compensate investors for the costs of trading and information gathering. The profits earned by attentive investors may be viewed as economic rents that accrue to those willing to engage in such activities. Who are the providers of these rents? Black [1986] gave us a provocative answer: "noise traders," individuals who trade on what they consider to be information that is, in fact, merely noise. The supporters of the EMH have responded to these challenges by arguing that while behavioral biases and corresponding inefficiencies do arise from time to time, there is a limit to their prevalence and impact because of opposing forces dedicated to exploiting such opportunities. A simple example of such a limit is the so-called Dutch book, where irrational probability beliefs give rise to guaranteed profits for the savvy investor. Consider, for example, an event E, defined as "the S&P 500 index drops by 5% or more next Monday," and suppose an individual has irrational beliefs as follows: There is a 50% probability that E will occur, and a 75% probability that E will not occur. This is clearly a violation of one of the basic axioms of probability theory—the probabilities of two mutually exclusive and exhaustive events must sum to one—but many experimental studies have documented such violations among an overwhelming majority of human subjects. These inconsistent subjective probability beliefs imply that the individual would be willing to take both of the following bets B 1 and B 2 : (1) where E c denotes the event "not E." Now suppose we take the opposite side of both bets, placing $50 on B 1 and $25 on B 2 . If E occurs, we lose $50 on B 1 but gain $75 on B 2 , yielding a profit of $25. If E c occurs, we gain $50 on B 1 and lose $25 on B 2 , also yielding a profit of $25. Regardless of the outcome, we have secured a profit of $25, an arbitrage that comes at the expense of the individual with inconsistent probability beliefs. Such beliefs are not sustainable, and market forces— B if E otherwise B if E otherwise c 1 2 1 1 3 = Ï Ì Ó = Ï Ì Ó $ $ $ namely, arbitrageurs such as hedge funds and proprietary trading groups—will take advantage of these opportunities until they no longer exist, that is, until the odds are in line with the axioms of probability theory. 2 Therefore, proponents of the classical EMH argue that there are limits to the degree and persistence of behavioral biases such as inconsistent probability beliefs, as well as substantial incentives for those who can identify and exploit such occurrences. While all of us are subject to certain behavioral biases from time to time, according to EMH supporters market forces will always act to bring prices back to rational levels, implying that the impact of irrational behavior on financial markets is generally negligible and, therefore, irrelevant. But this last conclusion relies on the assumption that market forces are powerful enough to overcome any type of behavioral bias, or, equivalently, that irrational beliefs are not so pervasive as to overwhelm the capacity of arbitrage capital dedicated to taking advantage of them. This is an empirical issue that cannot be settled theoretically, but must be tested through careful measurement and statistical analysis. One piece of anecdotal evidence is provided by the collapse of fixed-income relative-value hedge funds in 1998 such as Long-Term Capital Management (LTCM). The default by Russia on its government debt in August 1998 triggered a global flight to quality, widening credit spreads to record levels and causing massive dislocation in fixed-income and credit markets. During that period, bonds with virtually identical cash flows and supposedly little credit risk traded at dramatically different prices, implying extraordinary profit opportunities to those who could afford to maintain spread positions by purchasing the cheaper bonds and shorting the richer bonds, yielding a positive carry at the outset. If held to maturity, these spread positions would have generated payments and obligations that offset each other exactly, hence they were structured as near-arbitrages—just like the Dutch book example above. But as credit spreads widened, the gap between the long and the short side increased because illiquid bonds became cheaper and liquid bonds became more expensive, causing brokers and other creditors to require holders of these spread positions to either post additional margin or liquidate a portion of their positions to restore their margin levels. These margin calls caused many hedge funds to start unwinding some of their spread positions, causing spreads to widen further, which led to more margin calls, more unwinding, and so on. This created a cascade effect that ended with the collapse of LTCM and several other notable hedge funds. In retrospect, even the most ardent critics of LTCM and other fixed-income relative-value investors now acknowledge that their spread positions were quite rational, and that their downfall was largely due to an industrywide underappreciation of the commonality of their positions 18 THE ADAPTIVE MARKETS HYPOTHESIS 30TH ANNIVERSARY ISSUE 2004 It is illegal to reproduce this article in any format. Copyright 2004. and the degree of leverage applied across the many hedge funds, investment banks, and proprietary trading groups engaged in these types of spread trades. This suggests that the forces of irrationality—investors flocking to safety and liquidity in the aftermath of the Russian default in August 1998—were stronger, at least for several months, than the forces of rationality. This example, and many similar anecdotes of speculative bubbles, panics, manias, and market crashes—a classic reference is Kindleberger [1989]—have cast reasonable doubt on the hypothesis that an aggregate rationality will always be imposed by market forces. So what does this imply for the EMH? THE SOCIOLOGY OF MARKET EFFICIENCY To see how a reconciliation between the EMH and its behavioral critics might come about, it is useful to digress to consider the potential origins of this controversy. Although there are no doubt many factors contributing to this debate, one of the most compelling explanations involves key differences in the cultural and sociological aspects of economics and psychology, which are surprisingly deep even though both fields are concerned with human behavior. Consider, first, some of the defining characteristics of psychology (from the perspective of an economist): • Psychology is based primarily on observation and experimentation. • Field experiments are common. • Empirical analysis leads to new theories. • There are multiple theories of behavior. • Mutual consistency among theories is not critical. Contrast these with the comparable characteristics of economics: • Economics is based primarily on theory and abstraction. • Field experiments are not common. • Theories lead to empirical analysis. • There are few theories of behavior. • Mutual consistency is highly prized. Although there are of course exceptions to these generalizations, they do capture much of the spirit of the two disciplines. 3 For example, while psychologists certainly do propose abstract theories of human behavior from time to time, the vast majority of academic psychologists conduct experiments. Although experimental economics has made important inroads into the mainstream of economics and finance, the top journals still publish only a small fraction of experimental papers; the majority is more traditional theoretical and empirical studies. And although new theories of economic behavior have been proposed from time to time, most graduate programs in economics and finance teach only one such theory: expected utility theory and rational expectations, and its corresponding extensions, e.g., portfolio optimization, the capital asset pricing model, and dynamic general equilibrium asset pricing models. It is only recently that departures from this theory are not rejected out of hand. Less than a decade ago, manuscripts describing models of financial markets with arbitrage opportunities were routinely rejected at the top economics and finance journals, in some cases without even a review. The fact that economics is still dominated by a single model is a testament to the remarkable achievements of one person: Paul A. Samuelson. In 1947, Samuelson published his Ph.D. thesis titled Foundations of Economic Analysis, which might have seemed somewhat arrogant were it not for the fact that it did, indeed, become the foundations of modern economic analysis. Much of the economic literature of the time was based on somewhat informal discourse and diagrammatic exposition. Samuelson, however, developed a formal mathematical framework for economic analysis that could be applied to a number of seemingly unrelated contexts. His opening paragraph makes this intention explicit: The existence of analogies between central features of various theories implies the existence of a general theory which underlies the particular theories and unifies them with respect to those central features. This fundamental principle of generalization by abstraction was enunciated by the eminent American mathematician E.H. Moore more than thirty years ago. It is the purpose of the pages that follow to work out its implications for theoretical and applied economics [1947, p.3; italics in the original]. Samuelson then proceeded to build the infrastructure of what is now called microeconomics, which is taught as the first graduate-level course in every Ph.D. program in economics today, and along the way, made major contributions to welfare economics, general equilibrium theory, comparative static analysis, and business cycle theory. If there is a single theme to Samuelson's thesis, it is the systematic application of scientific principles to economic analysis, much like the approach of modern physics. This was no coincidence. In Samuelson's account of the intellectual origins of his dissertation, he acknowledges: Perhaps most relevant of all for the genesis of Foundations, Edwin Bidwell Wilson (1879–1964) was at Harvard. Wilson was the great Willard Gibbs's last (and, essentially only) protégé at Yale. He was a mathematician, a mathematical physicist, a mathematical statistician, a mathematical economist, a poly30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 19 It is illegal to reproduce this article in any format. Copyright 2004. math who had done first-class work in many fields of the natural and social sciences. I was perhaps his only disciple… I was vaccinated early to understand that economics and physics could share the same formal mathematical theorems (Euler's theorem on homogeneous functions, Weierstrass's theorems on constrained maxima, Jacobi determinant identities underlying Le Chatelier reactions, etc.), while still not resting on the same empirical foundations and certainties [1998, p. 1,376]. In a footnote to his statement regarding the general principle of comparative static analysis, Samuelson adds: It may be pointed out that this is essentially the method of thermodynamics, which can be regarded as a purely deductive science based upon certain postulates (notably the First and Second Laws of Thermodynamics). [1947, p. 21]. And much of the economics and finance literature since Foundations has followed Samuelson's lead in attempting to deduce implications from certain postulates such as utility maximization, the absence of arbitrage, or the equalization of supply and demand. In fact, the most recent milestone in economics—rational expectations—is founded on a single postulate, around which an entire literature has developed. This cultural bias in economics, also known as "physics envy," is, I claim, largely responsible for the controversy between EMH supporters and critics. The supporters point to the power of theoretical arguments such as expected utility theory, the principle of no arbitrage, and general equilibrium theory, while the latter point to experimental evidence to the contrary. A case in point is the Random Walk Hypothesis, which was taken to be synonymous with the EMH prior to Leroy [1973], Rubinstein [1976], and Lucas [1978], and even several years afterward. A number of well-known empirical studies had long since established the fact that markets were weak-form efficient in Roberts's [1967] terminology, implying that past prices could not be used to forecast future price changes. 4 And although some of these studies did find evidence against the random walk, e.g., Cowles and Jones [1937], they were largely dismissed as statistical anomalies, or not economically meaningful after accounting for transaction costs, e.g., Cowles [1960]. For example, after conducting an extensive empirical analysis of runs of U.S. stock returns from 1956 to 1962, Fama [1965, p. 80] concluded that: "there is no evidence of important dependence from either an investment or a statistical point of view." It was in this milieu that Lo and MacKinlay [1988] reexamined the Random Walk Hypothesis, rejecting it for weekly U.S. stock returns indexes from 1962 to 1985. The surprising element of their analysis was not only that the rejections were based on fairly well-known properties of returns—ratios of variances of different holding periods— but also the strong reaction that their results provoked among some of their senior colleagues (see Lo and MacKinlay [1999, Chapter 1] for further details). Moreover, Lo and MacKinlay [1999] observed that after the publication of their article they discovered several other studies that also rejected the Random Walk Hypothesis, and that the departures from the random walk uncovered by Larson [1960], Alexander [1961], Cootner [1962], Osborne [1962], Steiger [1964], Niederhoffer and Osborne [1966], and Schwartz and Whitcomb [1977], to name just a few examples, were largely ignored by the academic finance community. Lo and MacKinlay provide an explanation: With the benefit of hindsight and a more thorough review of the literature, we have come to the conclusion that the apparent inconsistency between the broad support for the Random Walk Hypothesis and our empirical findings is largely due to the common misconception that the Random Walk Hypothesis is equivalent to the Efficient Markets Hypothesis, and the near religious devotion of economists to the latter (see Chapter 1). Once we saw that we, and our colleagues, had been trained to study the data through the filtered lenses of classical market efficiency, it became clear that the problem lay not with our empirical analysis, but with the economic implications that others incorrectly attributed to our results—unbounded profit opportunities, irrational investors, and the like [1999, p. 14]. The legendary trader and squash player Victor Niederhoffer pointed to similar forces at work in creating this apparent cultural bias in favor of the Random Walk Hypothesis in an incident that took place while he was a finance PhD student at the University of Chicago in the 1960s (Niederhoffer [1997, p. 270]): This theory and the attitude of its adherents found classic expression in one incident I personally observed that deserves memorialization. A team of four of the most respected graduate students in finance had joined forces with two professors, now considered venerable enough to have won or to have been considered for a Nobel prize, but at that time feisty as Hades and insecure as a kid on his first date. This elite group was studying the possible impact of volume on stock price movements, a subject I had researched. As I was coming down the steps from the library on the third floor of Haskell Hall, the main business building, I could see this Group of Six gathered together on a 20 THE ADAPTIVE MARKETS HYPOTHESIS 30TH ANNIVERSARY ISSUE 2004 It is illegal to reproduce this article in any format. Copyright 2004. stairway landing, examining some computer output. Their voices wafted up to me, echoing off the stone walls of the building. One of the students was pointing to some output while querying the professors, "Well, what if we really do find something? We'll be up the creek. It won't be consistent with the random walk model." The younger professor replied, "Don't worry, we'll cross that bridge in the unlikely event we come to it." I could hardly believe my ears—here were six scientists openly hoping to find no departures from ignorance. I couldn't hold my tongue, and blurted out, "I sure am glad you are all keeping an open mind about your research." I could hardly refrain from grinning as I walked past them. I heard muttered imprecations in response. To Samuelson's credit, he was well aware of the limitations of a purely deductive approach even as he wrote the Foundations, and in his introduction he offered warning: Only the smallest fraction of economic writings, theoretical and applied, has been concerned with the derivation of operationally meaningful theorems. In part at least this has been the result of the bad methodological preconceptions that economic laws deduced from a priori assumptions possessed rigor and validity independently of any empirical human behavior. But only a very few economists have gone so far as this. The majority would have been glad to enunciate meaningful theorems if any had occurred to them. In fact, the literature abounds with false generalization. We do not have to dig deep to find examples. Literally hundreds of learned papers have been written on the subject of utility. Take a little bad psychology, add a dash of bad philosophy and ethics, and liberal quantities of bad logic, and any economist can prove that the demand curve for a commodity is negatively inclined [1947, p. 3, italics in the original]. This remarkable passage seems as germane today as it was over 50 years ago when it was first written. One interpretation is that a purely deductive approach may not always be appropriate for economic analysis. As impressive as the achievements of modern physics are, physical systems are inherently simpler than economic systems; hence deduction based on a few fundamental postulates is likely to be more successful in the former than in the latter. Conservation laws, symmetry, and the isotropic nature of space are powerful ideas in physics that simply do not have exact counterparts in economics. Alternatively, imagine the impact on the explanatory power of physical theories if relations like F = ma were to vary with the business cycle, Federal Reserve policy, or changes in the U.S. tax code. Economic systems involve human interactions, which almost by definition are more complex than interactions of inanimate objects governed by fixed and known laws of motion. Because human behavior is heuristic, adaptive, and not completely predictable—at least not nearly to the same extent as physical phenomena— modeling the joint behavior of many individuals is far more challenging than modeling just one individual. Indeed, the behavior of even a single individual can be baffling at times, as we all know. ADAPTIVE MARKETS: THE NEW SYNTHESIS The sociological backdrop of the EMH debate suggests that an alternative to the traditional deductive approach of neoclassic economics might be necessary. One particularly promising direction is the application of evolutionary principles to financial markets as suggested by Farmer and Lo [1999] and Farmer [2002]. This approach is heavily influenced by recent advances in the emerging discipline of "evolutionary psychology," which builds on the seminal research of E.O. Wilson [1975] in applying the principles of competition, reproduction, and natural selection to social interactions, yielding surprisingly compelling explanations for certain kinds of human behavior such as altruism, fairness, kin selection, language, mate selection, religion, morality, ethics, and abstract thought (see, for example, Barkow, Cosmides, and Tooby [1992]; Pinker [1993, 1997]; Crawford and Krebs [1998]; Buss [1999]; and Gigerenzer [2000]). "Sociobiology" is the rubric Wilson [1975] gave to these powerful ideas, which generated a considerable degree of controversy in their own right, and the same principles can be applied to economic and financial contexts. In doing so, we can fully reconcile the EMH with all its behavioral alternatives, leading to a new synthesis: the Adaptive Markets Hypothesis. Students of the history of economic thought will recall that Thomas Malthus used biological arguments—the fact that populations increase at geometric rates while natural resources increase at only arithmetic rates—to arrive at rather dire economic consequences, and that both Darwin and Wallace were influenced by these arguments (see Hirshleifer [1977] for further details). Also, Joseph Schumpeter's [1937] views of business cycles, entrepreneurs, and capitalism have an unmistakable evolutionary flavor to them; in fact, his notions of creative destruction and bursts of entrepreneurial activity are similar in spirit to natural selection and Eldredge and Gould's [1972] notion of "punctuated equilibrium." More recently, economists and biologists have begun to explore these connections in several veins: direct extensions of sociobiology to economics (Becker [1976]; Hirshleifer [1977]; Tullock [1979]; evolutionary game theory (Maynard Smith [1982]; Weibull [1995]); evolutionary eco30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 21 It is illegal to reproduce this article in any format. Copyright 2004. nomics (Nelson and Winter [1982]; Andersen [1994]; Englund [1994]; Luo [1999]); and economics as a complex system (Anderson, Arrow, and Pines [1988]). Hodgson [1995] provides additional examples of studies at the intersection of economics and biology, and publications like the Journal of Evolutionary Economics and the Electronic Journal of Evolutionary Modeling and Economic Dynamics now provide a home for this burgeoning literature. Evolutionary concepts have also appeared in a number of financial contexts. Luo [1995, 1998, 2001, 2003] explores the implications of natural selection for futures markets, and Hirshleifer and Luo [2001] consider the longrun prospects of overconfident traders in a competitive securities market. The literature on agent-based modeling pioneered by Arthur et al. [1997] that simulates interactions among software agents programmed with simple heuristics, relies heavily on evolutionary dynamics. And at least two prominent practitioners have proposed Darwinian alternatives to the EMH. In a chapter titled "The Ecology of Markets," Niederhoffer [1997, Ch. 15] likens financial markets to an ecosystem with dealers as "herbivores," speculators as "carnivores," and floor traders and distressed investors as "decomposers." And Bernstein [1998] makes a compelling case for active management by pointing out that the notion of equilibrium, which is central to the EMH, is rarely realized in practice and that market dynamics are better explained by evolutionary processes. Clearly the time is now ripe for an evolutionary alternative to market efficiency. To that end, we begin, as Samuelson [1947] did, with the theory of the individual consumer. Contrary to the neoclassic postulate that individuals maximize expected utility and have rational expectations, an evolutionary perspective makes considerably more modest claims, viewing individuals as organisms that have been honed, through generations of natural selection, to maximize the survival of their genetic material (see, for example, Dawkins [1976]). While such a reductionist approach might degenerate into useless generalities, e.g., the molecular biology of economic behavior, there are valuable insights to be gained from a broader biological perspective. Specifically, this perspective implies that behavior is not necessarily intrinsic and exogenous, but evolves by natural selection and depends on the particular environment through which selection occurs. That is, natural selection operates not only upon genetic material, but also upon social and cultural norms in Homo sapiens, hence Wilson's term, "sociobiology." To operationalize this perspective within an economic context, consider the idea of bounded rationality first espoused by Nobel Prize winning economist Herbert Simon. Simon [1955] suggests that individuals are hardly capable of the kind of optimization that neoclassic economics calls for in the standard theory of consumer choice. Instead, he argues that because optimization is costly and humans are naturally limited in their computational abilities, they engage in something he calls "satisficing," an alternative to optimization in which individuals make choices that are merely satisfactory, not necessarily optimal. In other words, individuals are bounded in their degree of rationality, which is in sharp contrast to the current orthodoxy—rational expectations— where individuals have unbounded rationality (the term hyperrational expectations might be more descriptive). Unfortunately, although this idea garnered a Nobel Prize for Simon, it had relatively little impact on the economics profession at the time. Apart from the sociological factors discussed above, Simon's framework was commonly dismissed because of one specific criticism: What determines the point at which an individual stops optimizing and reaches a satisfactory solution? If such a point is determined by the usual cost/benefit calculation underlying much of microeconomics (i.e., optimize until the marginal benefits of the optimum equal the marginal cost of getting there), this assumes the optimal solution is known, which would eliminate the need for satisficing. As a result, the idea of bounded rationality fell by the wayside, and rational expectations has become the de facto standard for modeling economic behavior under uncertainty. 5 An evolutionary perspective provides the missing ingredient in Simon's framework. The proper response to the question of how individuals determine the point at which their optimizing behavior is satisfactory is this: Such points are determined not analytically, but through trial and error and, of course, natural selection. Individuals make choices based on past experience and their best guess as to what might be optimal, and they learn by receiving positive or negative reinforcement from the outcomes. If they receive no such reinforcement, they do not learn. In this fashion, individuals develop heuristics to solve various economic challenges, and as long as those challenges remain stable, the heuristics will eventually adapt to yield approximately optimal solutions to them. If, on the other hand, the environment changes, it should come as no surprise that the heuristics of the old environment are not necessarily well suited to the new. In such cases, we observe "behavioral biases"—actions that are apparently ill advised in the context in which we observe them. But rather than labeling such behavior irrational, we should recognize that suboptimal behavior is not unlikely when we take heuristics out of their evolutionary context. A more accurate term for such behavior might be "maladaptive." The flopping of a fish on dry land may seem strange and unproductive, but underwater, the same motions are capable of propelling the fish away from its predators. By coupling Simon's notion of bounded rationality and satisficing with evolutionary dynamics, many other aspects of economic behavior can also be derived. Competition, cooperation, market-making behavior, general equilibrium, 22 THE ADAPTIVE MARKETS HYPOTHESIS 30TH ANNIVERSARY ISSUE 2004 It is illegal to reproduce this article in any format. Copyright 2004. and disequilibrium dynamics are all adaptations designed to address certain environmental challenges for the human species, and by viewing them through the lens of evolutionary biology, we can better understand the apparent contradictions between the EMH and the presence and persistence of behavioral biases. Specifically, the Adaptive Markets Hypothesis can be viewed as a new version of the EMH, derived from evolutionary principles. Prices reflect as much information as dictated by the combination of environmental conditions and the number and nature of "species" in the economy or, to use a more appropriate biological term, the ecology. By species, I mean distinct groups of market participants, each behaving in a common manner. For example, pension funds may be considered one species; retail investors another; market makers a third; and hedge fund managers a fourth. If multiple species (or the members of a single highly populous species) are competing for rather scarce resources within a single market, that market is likely to be highly efficient, e.g., the market for 10-year U.S. Treasury notes, where most relevant information is incorporated into prices within minutes. If, on the other hand, a small number of species are competing for rather abundant resources in a given market, that market will be less efficient, e.g., the market for oil paintings from the Italian Renaissance. Market efficiency cannot be evaluated in a vacuum, but is highly contextdependent and dynamic, just as insect populations advance and decline as a function of the seasons, the number of predators and prey they face, and their abilities to adapt to an ever-changing environment. The profit opportunities in any given market are akin to the amount of food and water in a particular local ecology—the more resources present, the less fierce the competition. As competition increases, either because of dwindling food supplies or an increase in the animal population, resources are depleted, which in turn causes a population decline, eventually reducing the level of competition and starting the cycle again. In some cases cycles converge to corner solutions; i.e., certain species become extinct, food sources are permanently exhausted, or environmental conditions shift dramatically. By viewing economic profits as the ultimate food source on which market participants depend for their survival, the dynamics of market interactions and financial innovation can be readily derived. Under the AMH, behavioral biases abound. The origins of such biases are heuristics that are adapted to nonfinancial contexts, and their impact is determined by the size of the population with such biases versus the size of competing populations with more effective heuristics. During the fall of 1998, the desire for liquidity and safety by a certain population of investors overwhelmed the population of hedge funds attempting to arbitrage such preferences, causing those arbitrage relations to break down. In the years prior to August 1998, however, fixed-income relative-value traders profited handsomely from these activities, presumably at the expense of individuals with seemingly irrational preferences (in fact, such preferences were shaped by a certain set of evolutionary forces, and might have been quite rational in other contexts). Therefore, under the AMH, investment strategies undergo cycles of profitability and loss in response to changing business conditions, the number of competitors entering and exiting the industry, and the type and magnitude of profit opportunities available. As opportunities shift, so too will the affected populations. For example, after 1998, the number of fixed-income relative-value hedge funds declined dramatically—because of outright failures, investor redemptions, and fewer startups in this sector—but many have reappeared in recent years as the performance of this type of investment strategy has improved. Even fear and greed—the two most common culprits in the downfall of rational thinking, according to most behavioralists—are the product of evolutionary forces, adaptive traits that enhance the probability of survival. Recent research in the cognitive neurosciences and economics suggests an important link between rationality in decision-making and emotion (Grossberg and Gutowski [1987]; Damasio [1994]; Elster [1998]; Lo [1999]; Loewenstein [2000]; Peters and Slovic [2000]; and Lo and Repin [2002]), implying that the two are not antithetical, but in fact complementary. For example, contrary to the common belief that emotions have no place in rational financial decision-making processes, Lo and Repin [2002] present preliminary evidence that physiological variables associated with the autonomic nervous system are highly correlated with market events even for highly experienced professional securities traders. They argue that emotional responses are a significant factor in the real-time processing of financial risks, and that an important component of a professional trader's skills lies in his or her ability to channel emotion, consciously or unconsciously, in specific ways during certain market conditions. This argument often surprises economists because of the ostensible link between emotion and behavioral biases, but a more sophisticated view of the role of emotions in human cognition shows that they are central to rationality (see, for example, Damasio [1994] and Rolls [1990, 1994, 1999]). In particular, emotions are the basis for a reward and punishment system that facilitates the selection of advantageous behavior, providing a numeraire for animals to engage in a "cost-benefit analysis" of the various actions open to them (Rolls [1999, Chapter 10.3]). From an evolutionary perspective, emotion is a powerful adaptation that dramatically improves how efficiently animals learn from their environments and their pasts. 6 30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 23 It is illegal to reproduce this article in any format. Copyright 2004. These evolutionary underpinnings are more than simple speculation in the context of financial market participants. The extraordinary degree of competitiveness of global financial markets and the outsize rewards that accrue to the "fittest" traders suggest that Darwinian selection—"survival of the richest," to be precise—is at work in determining the typical profile of the successful trader. After all, unsuccessful traders are eventually eliminated from the population after suffering a certain level of losses. The AMH is still under development, and certainly requires much more research to render it "operationally meaningful" in Samuelson's sense. Even at this early stage, though, it seems clear that an evolutionary framework is able to reconcile many of the apparent contradictions between efficient markets and behavioral exceptions. The former may be viewed as the steady-state limit of a population with constant environmental conditions, and the latter involves specific adaptations of certain groups that may or may not persist, depending on the particular evolutionary paths that the economy experiences. More specific implications may be derived through a combination of deductive and inductive inferences—for example, theoretical analysis of evolutionary dynamics, empirical analysis of evolutionary forces in financial markets, and experimental analysis of decision-making at the individual and group level—and are currently under investigation. PRACTICAL IMPLICATIONS Despite the rather abstract and qualitative nature of the AMH presented above, a number of surprisingly concrete implications can be derived. The first implication is that, to the extent that there is a relation between risk and reward, it is unlikely to be stable over time. Such a relation is determined by the relative sizes and preferences of various populations in the market ecology, as well as institutional aspects such as the regulatory environment and tax laws. As these factors shift over time, any risk/reward relation is likely to be affected. A corollary of this implication is that the equity risk premium is also time-varying and path-dependent. This is not so revolutionary an idea as it might first appear—even in the context of a rational expectations equilibrium model, if risk preferences change over time, then the equity risk premium must vary too. The incremental insight of the AMH is that aggregate risk preferences are not universal constants, but are shaped by the forces of natural selection. For example, until recently, U.S. markets were populated by a significant group of investors who have never experienced a genuine bear market—this fact has undoubtedly shaped the aggregate risk preferences of the U.S. economy, just as the experience of the last four years, since the bursting of the technology bubble has affected the risk preferences of the current population of investors. In this context, natural selection determines who participates in market interactions; those investors who experienced substantial losses in the technology bubble are more likely to have exited the market, leaving a different population of investors today than four years ago. Through the forces of natural selection, history matters. Irrespective of whether prices fully reflect all available information, the particular path that market prices have taken over the past few years influences current aggregate risk preferences. Among the three Ps of Total Investment Management, preferences is clearly the most fundamental and least understood. Several large bodies of research have developed around these issues—in economics and finance, psychology, operations research (also called decision sciences) and, more recently, brain and cognitive sciences—and many new insights are likely to flow from synthesizing these different strands of research into a more complete understanding of how individuals make decisions. Simon's [1982] seminal contributions to this literature are still remarkably timely and their implications have yet to be fully explored. 7 A second implication is that, contrary to the classical EMH, arbitrage opportunities do arise from time to time in the AMH. As Grossman and Stiglitz [1980] observe, without such opportunities, there will be no incentive to gather information, and the price discovery aspect of financial markets will collapse. From an evolutionary perspective, the very existence of active liquid financial markets implies that profit opportunities must be present. As they are exploited, they disappear. But new opportunities are also constantly being created as certain species die out, as others are born, and as institutions and business conditions change. Rather than the inexorable trend toward higher efficiency predicted by the EMH, the AMH implies considerably more complex market dynamics, with cycles as well as trends, and panics, manias, bubbles, crashes, and other phenomena that are routinely witnessed in natural market ecologies. These dynamics provide the motivation for active management as Bernstein [1998] suggests, and give rise to Niederhoffer's [1997] "carnivores" and "decomposers." A third implication is that investment strategies will also wax and wane, performing well in certain environments and performing poorly in other environments. Contrary to the classical EMH in which arbitrage opportunities are competed away, eventually eliminating the profitability of the strategy designed to exploit the arbitrage, the AMH implies that such strategies may decline for a time, and then return to profitability when environmental conditions become more conducive to such trades. An obvious example is risk arbitrage, which has been unprofitable for several years because of the decline in investment banking activity since 2001. As M&A activity begins 24 THE ADAPTIVE MARKETS HYPOTHESIS 30TH ANNIVERSARY ISSUE 2004 It is illegal to reproduce this article in any format. Copyright 2004. Month to pick up again, however, risk arbitrage will start to regain its popularity among both investors and portfolio managers, as it has just this year. A more striking example can be found by computing the rolling first-order autocorrelation ˆ r 1 of monthly returns of the S&P composite index from January 1871 through April 2003 (see the Exhibit). As a measure of market efficiency, ˆ r 1 might be expected to take on larger values during the early part of the sample and become progressively smaller during recent years as the U.S. equity market becomes more efficient. (Recall that the random walk hypothesis implies that returns are serially uncorrelated, hence ˆ r 1 should be 0 in theory). It is apparent from the Exhibit, however, that the degree of efficiency—as measured by the first-order autocorrelation—varies through time in a cyclical fashion, and there are periods in the 1950s when the market is more efficient than in the early 1990s. Such cycles are not ruled out by the EMH in theory, but in practice none of its empirical implementations has incorporated these dynamics, assuming instead that the world is stationary and markets are perpetually in equilibrium. This widening gulf between the stationary EMH and obvious shifts in market conditions no doubt contributed to Bernstein's [2003] recent critique of the policy portfolio in strategic asset allocation models and his controversial proposal to reconsider the case for tactical asset allocation. A fourth implication is that innovation is the key to survival. The classic EMH suggests that certain levels of expected returns can be achieved simply by bearing a sufficient degree of risk. The AMH implies that because the risk/reward relation varies through time, a better way to achieve a consistent level of expected returns is to adapt to changing market conditions. By evolving a multiplicity of capabilities that are suited to a variety of environmental conditions, investment managers are less likely to become extinct as a result of rapid changes in business conditions. Consider the current theory of the demise of the dinosaurs, and ask where the next financial killer asteroid might come from (see Alvarez [1997]). Finally, the AMH has a clear implication for all financial market participants. Survival is the only objective that matters. While profit maximization, utility maximization, and general equilibrium are certainly relevant aspects of market ecology, the organizing principle in determining the evolution of markets and financial technology is simply survival. There are many other practical insights and potential breakthroughs that can be derived from the AMH as we shift our mode of thinking in financial economics from the physical to the biological sciences. Although evolutionary ideas are not yet part of the financial mainstream, my hope is that they will become more commonplace as they demonstrate their worth—ideas are also subject to survival of the fittest. No one has illustrated this principle so well as Harry 30TH ANNIVERSARY ISSUE 2004 THE JOURNAL OF PORTFOLIO MANAGEMENT 25 Month E X H I B I T Rolling 60-Month First-Order Autocorrelation Coefficient ˆ r 1 of Monthly S&P Composite Returns— January 1987–April 2003 Data source: Robert J. Shiller, available at http://www.econ.yale.edu/~shiller/. It is illegal to reproduce this article in any format. Copyright 2004. Markowitz, the father of modern portfolio theory and a Nobel laureate in economics in 1990. In describing his experience as a Ph.D. student on the eve of his graduation, he wrote in his Nobel address: When I defended my dissertation as a student in the Economics Department of the University of Chicago, Professor Milton Friedman argued that portfolio theory was not Economics, and that they could not award me a Ph.D. degree in Economics for a dissertation which was not Economics. I assume that he was only half serious, since they did award me the degree without long debate. As to the merits of his arguments, at this point I am quite willing to concede: at the time I defended my dissertation, portfolio theory was not part of Economics. But now it is [1991, p. 476]. Perhaps over the next 30 years, The Journal of Portfolio Management will also bear witness to the relevance of the Adaptive Markets Hypothesis for financial markets and economics. ENDNOTES The author thanks Stephanie Hogue, Dmitry Repin, and Svetlana Sussman for helpful comments and discussion. Research support from the MIT Laboratory for Financial Engineering is gratefully acknowledged. 1Parts of this article include ideas and exposition from my published research. Where appropriate, I have modified passages to suit the current context without detailed citations and quotation marks so as to preserve continuity. Readers interested in the original sources may consult Lo [1997, 1999, 2002], Lo and MacKinlay [1999], and Lo and Repin [2002]. 2Only when these axioms are satisfied is arbitrage ruled out. This was conjectured by Ramsey [1926] and proved rigorously by de Finetti [1937] and Savage [1954]. 3For a less impressionistic and more detailed comparison of psychology and economics, see Rabin [1998, 2002]. 4See, for example, Kendall [1953], Osborne [1959, 1962], Roberts [1959, 1967], Cowles [1960], Larson [1960], Working [1960], Alexander [1961, 1964], Granger and Morgenstern [1963], Mandelbrot [1963], Fama [1965], Fama and Blume [1966], and Cowles and Jones [1937]. 5Simon's work is now receiving greater attention, thanks in part to the growing behavioral literature in economics and finance. See, for example, Simon [1982], Sargent [1993], Rubinstein [1998], Gigerenzer et al. [1999], Gigerenzer and Selten [2001], and Earl [2002]. 6This important insight was forcefully illustrated by Damasio [1994] in his description of one of his patients, code-named Elliot, who underwent surgery to remove a brain tumor. Along with the tumor, part of his frontal lobe had to be removed as well, and after he recovered from the surgery, it was discovered that Elliot no longer possessed the ability to experience emotions of any kind. This absence of emotional response had a surprisingly profound effect on his day-to-day activities, as Damasio [1994, p. 36] describes: When the job called for interrupting an activity and turning to another, he might persist nonetheless, seemingly losing sight of his main goal. Or he might interrupt the activity he had engaged, to turn to something he found more captivating at that particular moment…. The flow of work was stopped. One might say that the particular step of the task at which Elliot balked was actually being carried out too well, and at the expense of the overall purpose. One might say that Elliot had become irrational concerning the larger frame of behavior. Apparently, Elliot's inability to feel—his lack of emotional response—rendered him irrational from society's perspective. 7 More recent research on preferences include Kahneman, Slovic, and Tversky [1982], Hogarth and Reder [1986], Gigerenzer and Murray [1987], Dawes [1988], Fishburn [1988], Keeney and Raiffa [1993], Plous [1993], Sargent [1993], Thaler [1993], Damasio [1994], Arrow et al. [1996], Laibson [1997], Picard [1997], Pinker [1997], and Rubinstein [1998]. Starmer [2000] provides an excellent review of this literature. REFERENCES Alexander, S. "Price Movements in Speculative Markets: Trends or Random Walks." Industrial Management Review, 2 (1961), pp. 7–26. ——. "Price Movements in Speculative Markets: Trends or Random Walks, No. 2." 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Shag Rag Sue Young Through the National FastDance Association, our club dance activities are licensed by: President's Corner by Sue Young Our 21st annual Capital Shag Classic "A Night in Disguise" was a great event again this year. Thanks to all of you that participated in the mask contest. Congratulations to Vaughn Royal, Joan McKinney, and our two guests, Cindy Black and Ed for winning the contest. Check out all the creative masks on our Facebook page. Famous Dave's BBQ, free pours, and shooters were enjoyed by all. Thanks to Fran Mong and her hospitality committee for keeping us entertained and our glasses full. Hats off and a big thank you to Jeanne and Jason Potter, our Classic co-chairs for organizing such fun activities and for the many hours spent in preparing such a successful event and party. We had a great line up of very talented DJs thanks to our music chair Fran Mong. They filled the dance floor with their extensive collection of beach music. 3:00 - 5:00pm on Tuesday, September 20th. Also, there will be an All Virginia Party again at Ducks on Friday. More information will be available soon. And speaking of SOS, we are now selling Fun Monday tickets. As a member of ACSC, we need to support this event. The Fun Monday drawing was started as a way to finance the events of Fun Monday. It only takes $10 to make you eligible to be in the drawing. The first ticket drawn wins $7500, the second wins $2000, the third wins $1000, the fourth wins $500 and the fifth and final ticket wins $250. Five chances to win. Many thanks to Emily Maroon and John Rippingale for decorating the room. To Dave and Nancy Guilliams for making sure everyone had someone to dance with. To Bonnie Arms for managing the registration. To John Romito for taking pictures and posting them on Facebook. To Barbara Ebersole for managing the 50/50 drawing. And a Huge thank you to Marcia Conway and Adele Robey for producing the program. The workshops and dance exhibitions were great. Thanks to Pamela Alfano for bringing in shag pros Gene and Nancy Pope. We were treated to several dance exhibitions by the pros and our own talented members. Thanks to all of you that participated in that. After all the bills are paid there is a donation made to Caring For Kids, which is the chosen charity for the Fun Monday Enhancement Committee. The Caring for Kids charity is a great organization that helps a lot of kids. Last, but not least, my thanks and appreciation to all the NVSC volunteers who gave their time unselfishly to work at the free pours in the hospitality room, the ballroom and the registration table. If you are going to the SOS Fall Migration in North Myrtle Beach in September, plan to attend the SOS NVSC Party in the back room of Fat Harold's from Please support this event and buy a raffle ticket from one of your Board members. There will be a general membership meeting on Wednesday, August 24th immediately following the dance lessons. A Proud Member of: August 2016 Volume XX1I, No. 8 Special points of interest: - Dancing as Therapy (page 4) - Steps to Better Leading (page 4) - Ziggy Aloebaum (page 5) - Recipe (page 6) - Quasi Humor (page 6) Inside this issue: When and Where to Shag See more places to dance with other ACSC Virginia Shag Clubs, listed on page 3 See more upcoming Shag Events on page 3 Shag Rag Every Wednesday, 6:30—10:00 pm at the Elks Lodge, 8421 Arlington Blvd., Fairfax, VA (on Route 50 near Prosperity Avenue). Cover charge: Non-members $8.00, members $7.00; free lessons at 7:30 pm, no partners needed. Buffet dinner on the third Wednesday only, 6:45 8:00pm, $9.00, or order from the menu. For example, Appetizers (Buffalo Wings, Quesadilla, etc.), Salads (Caesar, Chef), Burgers & Sandwiches (Bacon & Blue, Pulled Pork BBQ). Dance Lessons at the Elks on Wednesdays Beginner lessons are FREE to non-members, but membership is required for the Intermediate class. Membership is $25/year. Lessons begin at 7:30 pm. Social dancing from before and after lessons to 10:00 pm. Please remember to ask Red Dot beginner dancers to dance. It takes lots of practice to become a better dancer! News and Announcements Where do I Get a Copy of the Shag Rag? Go to www.nvshag.org, click on Newsletters tab, click on the desired month. It's in PDF format. Also, copies will be available at the Fairfax Elks on Wednesdays. Hello Shagger Emails Are you getting the Hello Shagger e-mails? If not, visit our website at www.nvshag.org. On the left side, click on the blue box that says "Hello Shagger e-mail list" and give us your e-mail address! Hello Shagger Input Anyone with information to be included in the Hello Shagger email (including DJ schedules and menus), please send to email@example.com. Keep Your Membership Information Current Have you moved, changed phone numbers or email address? Let Bonnie Arms know at firstname.lastname@example.org. Shag Rag The deadline for Shag Rag input is the 25 th of every month. Please send content (including opinions, humor and recipes!) to Jim Scanlon at email@example.com. News From the Dance Committee The Dance Committee has made some exciting changes to the dance curriculum. Many of our Club members have been requesting that we add to or make changes to our program. As you are already aware, there is a new basic variation class at 7:00 PM on the first Wednesday of the month. The class will be taught by Joan McKinney and Sherri Wildoner. In addition, we decided to add new steps to the Intermediate A curriculum. Hope you enjoy the changes. Pamela Alfano Dance Committee Chair Other ACSC Virginia Shag Clubs Visit the club websites for venues and schedules. Battlefield Boogie Club, www.battlefieldboogieclub.com Boogie On The Bay Shag Club, www.boogieonthebay.com Colonial Shag Club (Newport News), www.colonialshagclub.com Danville Shag Club, www.danvilleshagclub.com Franklin Shag Club, firstname.lastname@example.org Lynchburg Shag Club, www.lynchburgshags.com Richmond Shag Club, www.richmondshagclub.org Roanoke Valley Shag Club, www.rvsc.memberlodge.com Virginia Beach Shag Club, www.vbshagclub.com When and Where to Dance in the Future September 16-25 - SOS Fall Migration, North Myrtle Beach, SC SOS cards are available here for purchase from Mark Hendrickson for $30.00 ($35.00 down at North Myrtle Beach) NEW MEMBERS When you have the opportunity, please welcome our new member ... Eddie O'Reilly … who joined NVSC this past month. Larry Camp 08/05 Dancing as Therapy Dance Through Life By Rafi Eldor (Israel) I am very happy to share my struggle to overcome the Parkinson's Disease (PD) symptoms. I am fighting the P.D. 24 hours a day for the last 8 years. When I was diagnosed and in the first 2 years my body was very stiff and I could hardly move. Then I began to use ballroom dancing in addition to conventional medicine. To my surprise my stiff body became flexible and I am feeling much better and it is being confirmed by my doctor. I am still working as a university professor and in addition I am giving many lectures about P.D. and ballroom dancing. In the past 14 month I have organized in different places more than 20 groups of P.D. that have started dance and they filling much better. I thank god of giving me the great opportunity to carry out programs that help other patients. I am very optimistic that a cure or vaccination would be found in the near future. Until than I will keep on dancing. Steps to Better Leading (From the OctoberDecember 2009 Next Generation Swing Don't Be Pushy— It's good to remember that leading is the act of providing your follower with the opportunity to do a move, or to get creative, or to pause a moment. It's not the act of telling, forcing, or commanding. If the follower isn't interested in what you've got planned . . . then be nice and change the plan. Stay Relaxed— Sometimes when you are caught up in the moment and you're inspired to do the absolutely best move you know . . . you can be too intense. Moves always work best when you stay relaxed. Listen To Your Follower— Your follower is doing you the favor of paying attention to your lead . . . so you should return the respect by paying attention to how things are going for her. She might not have been completely comfortable with the last move and may want to pause for a couple of beats or do a couple of basics to provide some relax time. Or maybe she is really feeling the music and wants to take a few beats to do some footwork or the latest Underarm Pass Variation she's learned or invented. Give her the time. Connection is Everything— Because so much Swing and other fastdance styles is (sic) done in an open position, with only your hands touching, it's super important that the connection with you partner be smooth and quiet, not rough or jerky. The (sic) needs to be a flex in your arm, you need to wait for you partner to finish one pattern before starting the next, and you must think of the point of contact of your hand with her hand as being a stable point, a dependable, steady, seriously relaxed connection. Simple First— Make sure that you can easily do simpler patterns first before doing the quadruple twisted dip to an unsuspecting follower. Build up to the harder moves. Dancing Is a Fun Conversation— What's really nice about Swing and other fastdance styles is that it's all set up to be give and take process between the leader and follower. The more you allow that give and take to happen, the more fun the conversation will be. You don't compete against your partner. You have a good time together. Pay Attention To The Music— If it's your favorite song, this will be easy, but . . .well . . . some were really never meant to be swing songs. But you're still out on the floor. You've still got a partner . . . so make lemonade out of that lemon of a song. The best way is to search for an interesting detail in the music. If you're lucky, even discover what it was that possessed the DJ to play it in the first place. Watch How Others Dance— It's easy to dance all night and hardly give a thought to the other couples on the floor but it can be a learning experience. As a leader you are not exposed to as many new moves as the follower. So thake (sic) a look around sometimes and see what the other leaders are doing. You might find some inspiration. Take a Class Or a Lesson— Just like watching other leaders dancing, taking lessons can give you new ideas to try to keep your dancing fresh. This can clue you in tp (sic) the latest trends and you'll have an easier time when your follower does something you've never seen before. It's All About having A Good Time— Even if you're a hardened competitor, it's still about having a good time. There's really no other purpose to dancing. Besides, happiness is healthy. The Adventures of Ziggy Aloebaum (SOME MEMBERS ASKED WHAT HAPPENED TO ZIGGY, WELL, HE JUST TOOK A REST FOR ONE MONTH) It was time for the intermediate lesson to begin. The gals and guys lined up in the usual manner; I found myself opposite Gloria Nipantuck, an attractive woman about 70, with perfectly coifed silver hair and the face and body of a 30-year old. The lesson was the usual pivot and the hug-ifyou-want-to-get-slapped-pivot, our instructors were Martha Coldbut and Harry Finewire. Being at the end of the line, it was difficult to hear, but through sign language Gloria and I managed to get the gist of what was being taught. The lead was to gently pull the lady toward his right side with his left hand, with all four fingers touching each other and his thumb pointing about 17 inches to the left of her left shoulder, and to move your eyes to the right, followed by moving your head also to the right. The lady was to respond by moving forward and smiling in a manner that communicated affirmation of the desire to be gently hugged while moving, thus completing the first step, the count of One. Some of us guys could not get the eye movement and head turn synchronized, so the instructor had to give us special attention. Only one of the gals could not get the "desire to be hugged" look, so she was talked to in private. After we repeated this initial move about 6 or 7 times, it was on to the "and" and step 2, as in "One and Two." The "and" part was no problem, then on the count of two, we were told that the guy should be looking over the left shoulder of the gal if she was small enough, if not then looking at her left arm pit, but definitely not at her left breast. We had to repeat this movement 4 or 5 times, because some of our shorter guys were sneaking a peek. Then it was on to steps "Three and Four." About this time, the DJ started playing music, which screwed everyone up and we had to start all over again. By then we had to switch partners, with the ladies moving down the line to their right. This hiatus gave me time to introduce myself to my new partner, Velveeta Hammerhold, a portly gal with tapioca thighs and a quizzical look about her that communicated her admiration of my newly-grown black goatee that I streaked with Just-for-Men Touch of Gray to match my black and grey plaid slacks. I said, "Velveeta, how about continuing this lesson at my house after the dance?" To which she replied: "No way, Jose, what do you think I am, some kind of floozy? Darn! Foiled again! So I decided to call it a night, go home and practice the pivot with the shag club video and a doorknob for a partner. Advertise Your Business in the Shag Rag! CONTACT Sue Young at email@example.com for details. Sing it! Recipe CHUCK BURGERS WITH PINEAPPLE SAUCE (12 burgers, 1/2 pound each) 6 pounds coarse-ground chuck, largest possible chunks 6 teaspoons MSG 1 1/2 teaspoons salt 12 slices bacon Combine ground chuck, salt and MSG. Toss lightly, coating all pieces. Form large burgers (do not pack). Wrap slice of bacon around each burger and secure with a toothpick. Place in refrigerator for 4 hours before grilling. Pineapple Sauce: 1 cup butter, melted 1 clove garlic, minced 1 teaspoon sugar 2 teaspoons salt 1/2 teaspoon pepper4 teaspoons flour 2/3 cup pineapple juice 1/2 cup lemon juice 1/4 teaspoon Tabasco sauce 1/2 teaspoon thyme Pineapple chunks Melt butter, add garlic, blend in flour and add remaining ingredients except pineapple chunks. Do not cook. Cool the mixture and then refrigerate. Spoon mixture on burgers while grilling. Place pineapple chunks on burgers during last few minutes of grilling. Quasi Humor To commemorate her 69th birthday, actress/vocalist, Julie Andrews made a special appearance at Manhattan's Radio City Music Hall for the benefit of the AARP. One of the musical numbers she performed was "My Favorite Things" from the legendary movie "Sound Of Music". Here are the lyrics she used: Maalox and nose drops and needles for knitting. Walkers and handrails, and new dental fittings. Bundles of magazines tied up in string. These are a few of my favorite things. Cadillacs and cataracts, and hearing aids and glasses. Polident and Fixodent, and false teeth in glasses. Pacemakers, golf carts and porches with swings. These are a few of my favorite things. When the pipes leak. When the bones creak, When the knees go bad, I simply remember my favorite things. And then I don't feel so bad. Hot tea and crumpets and corn pads for bunions. No spicy hot food or food cooked with onions. Bathrobes and heating pads and hot meals they bring. These are a few of my favorite things. Back pain, confused brains and no need for sinnin'. Thin bones and fractures and hair that is thinnin'. And we won't mention our short shrunken frames. When we remember our favorite things. When the joints ache. When the hips break. When the eyes grow dim. Then I remember the great life I've had. And then I don't feel so bad. \| President \| Sue Young \| 703-573-6870 \| \|---\|---\|---\| \| Vice President \| Bonnie Arms \| 703-819-9654 \| \| Secretary \| Donna Romito \| 703-971-1618 \| \| Treasurer \| Mark Hendrickson \| 703-282-1033 \| \| Director-at-large \| Jason Potter \| 703-220-6697 \| \| Director-at-large \| Pamela Alfano \| 202-414-9312 \| \| Director-at-large \| Fran Mong \| 703-368-2792 \| \| Director-at-large \| Ken Morford \| 202-465-5970 \| \| * \| Audit \| \|---\|---\| \| \| Capital Shag Classic \| \| * \| Shag-A-Thon \| \| * \| Dance \| \| \| Facebook \| \| \| Hello Shaggers \| \| \| Historian \| \| * \| Membership \| \| * \| Music \| \| \| Newsletter Editor \| \| \| Newsletter Publisher \| \| \| Photographer \| \| * \| Public Relations \| \| * \| Social/Hospitality \| \| \| Sunshine \| BORROWING SHAG VIDEOS..... is easy!!! Whether you have taken all of the shag classes offered at NVSC or are just looking for new steps or tips on technique... our club has a constantly growing library of shag instructional DVD or videos. These DVD's contain more steps and tips than you can shake a stick at and they're FREE to club members! All you have to do is put down a REFUNDABLE $25 deposit. See SUE YOUNG on Wednesday nights to borrow or purchase a DVD or video!!! Board Meetings are held each month and are open to any and all members in good standing who wish to attend. Unless a certain matter is placed on the meeting agenda, attendance is for observation, not participation. Since board meetings may not take place at the same time and place every month, please alert the Secretary at least one week in advance if you wish to attend (so that we may accommodate you). Copies of Board Meeting Minutes may be available on the www.nvshag.org website, or you may request copy (s) from the Club Secretary. "The Internal Revenue Service notified NVSC on April 19, 1999, that we have been accepted as a non-profit social club exempted from paying Federal income taxes. Anyone interested in reviewing NVSC's application and supporting documents provided to IRS, the IRS exemption letter, or the club's annual Form 990 to the IRS, please contact the club Treasurer." General Inquiries: firstname.lastname@example.org Membership: email@example.com Webmaster: firstname.lastname@example.org Hello Shagger: email@example.com Dedicated to the Preservation of Carolina Shag and Beach Music We' r e o n th e We b ! ww w. n vsh a g. o r g A n d o n Fa c e bo o k a t " No r th er n V i r gi n i a S h a g C l u b" Shag Rag NORTHERN VIRGINIA SHAG CLUB P.O. Box 2298 Merrifield, VA 22116 https://www.facebook.com/ NorthernVirginiaShagClub/ About Our Organization… Northern Virginia Shag Club (NVSC) was organized to preserve the Carolina Shag dance and its accompanying Beach music. NVSC dances the Carolina Shag every Wednesday night at: Elk's Lodge, 8421 Arlington Blvd, Fairfax, VA Come join us — learn the Carolina Shag! Free beginner lessons begin at 7:30 pm. A Buffet dinner is available for purchase. Social dancing is from 6:30 to 10:00 pm. COME JOIN US!
Winthrop Primary School Newsletter Newsletter No: 9 Tuesday 18th June 2018 NEWS FROM THE PRINCIPALS \| Thurs 21st June \| Yr 6 Big Band Bash \| \|---\|---\| \| Fri 22nd June \| Assembly C4 \| \| Tue 26th June \| Cybersafety Paul Litherland \| \| Tue 26th June \| School Reports available on Connect \| \| Tue 26th June \| Strings Concert 1.50pm \| \| Thurs 28th June \| Constable Care PP to Yr 6 \| \| Fri 29th June \| Cross Country 12.00 \| \| Tue 17th July \| Students return to school \| Important Dates P&C Meeting Financial Meeting 23rd July 2018 7.30pm Staffroom Tel: 9310 6100 Jackson Avenue, Winthrop WA 6150 www.winthropps.wa.edu.au Dear Parents and Carers, We are pleased to announce that Winthrop Primary School reports will be accessible online through Connect from Tuesday 26th June 2018. In-line with our sustainability focus and to increase parent accessibility we are introducing a paperless approach to the distribution of reports. Your child's Connect account will stay with your child from K-12 and therefore reports can be accessed throughout your child's education. You can save the reports to your personal devices and print them if they wish or visit the library on Thursday or Friday and we will assist you with printing. Parents are asked to contact Jenny on firstname.lastname@example.org if you are experiencing difficulty accessing the report. Jennifer will be hosting a Connect demonstration this Thursday, 21st June 2018 after school drop off in the library for interested parents. Thank you to those parents who have provided notes or informed the school in relation to student absences. Your co-operation in providing this information within three days of the absence is most appreciated. A reminder to parents and caregivers that the Department's Student Attendance policy and procedures do not allow principals to give permission for families to take their children on holidays during the school term. As students are required to attend school every day, time off for holidays is recorded as an absence. For further information, please see the flyer attached to this Newsletter or come and chat to a member of our Administration Team. Thank you to the Parents and Citizen's Association for organising the Scooter-a-thon and the Lap-a-thon and to our Deputy Principals for co-ordinating the event. It was a beautiful sunny day and the event was enjoyed by all. Well done to our energetic children. We are now collecting your generous donations which are gratefully received. Our incredible Parents and Citizen's Association also organised a Busy Bees last Saturday, working to improve our grounds. They group did a magnificent job and we look forward to seeing the fruits of their labour grow into healthy strong plants all over our school. Thank you all so much for your efforts and the time you give to our community. It is most appreciated. A special thank you to Kate Reading for organising the Busy Bee. Kind regards Julie Carlson and Karina Meldrum Principals Winthrop Primary School An Independent Public School News From Around The School WINTHROP PRIMARY SCHOOL NEW ENROLMENTS FOR 2019 ARE NOW OPEN SCHOOL CHAPLAIN Applications for Enrolments Kindy to Year 6 for commencement in 2019 will be accepted from Friday 1st June 2018. Enrolment packs can be collected from the front office. All enrolment enquires can be made at reception between 9:30am - 2:30pm daily or contact the front office on 9310 6100. When submitting your enrolment please ensure you have ALL ORIGINIAL supporting documents and ALL forms are completed. - Birth certificate - Immunisation records (ACIR History Statement) - Utilities/ Rates accounts stating your address x 2 (No telephone mobile accounts) - Drivers Licence - Visa - Citizenship - Passports We CANNOT accept incomplete enrolment. QKR APP INFORMATION As of June 6 th 2018 some of the older versions of the Qkr app will no longer work, families must update their app. Most parents have auto update enabled in their phone settings so this will happen seamlessly for them. If the app has stopped working, you will simply have to download the current version from the app store. Most parents have updated the new version. If you do have any issues, please visit the website to offer as a backup to people who have really old phones that may not be able to upgrade. https://qkr.mastercard.com/store/ WANTED Plastic containers, such as ice cream or yoghurt containers, suitable for students to play with in the nature playground sand pit. If you can help please drop off containers to Mrs Davies or Ms Chua in C4. FREE DRESS DAY Congratulation Winthrop Primary with free dress day rasing $573.85 for the P&C. Winthrop Primary School is very fortunate to have the services of a School Chaplain for two days a week. Joyce Barrett worked one day in 2017 and we are lucky to have been able to increase Joyce's time with us to two days in 2018. What is a Chaplain? Youth CARE is the organisation that employs chaplains across Western Australia (the EdDept provides funding for two days). Youth CARE Chaplains are employed on a full or part-time basis serving within the school as part of the professional student services team by: – Building relationships with students, families and staff. – Offering pastoral care. – Being a mentor. – Providing additional practical help for teaching and administrative staff. – Offering input into spiritual and 'meaning of life' questions. – Being a positive role model. – Providing a link between schools and local communities. The role of Chaplain is wide and varied, depending on the needs of the school, but the major focus is pastoral care. We all face challenging times in our lives, and having a 'safe place' to share and work through our feelings can help a lot. Of course, seeing a Chaplain is voluntary and if you would rather your child does not require this service, please let the front office. PARENT VOLUNTEERS YOUR HELP IS NEEDED IN THE LIBRARY Do you have a bit of spare time to help out in the Library to cover new school books in protective plastic wrapping? If so, please pop into the Library or contact me at email@example.com to help out. Thank you. Katy De Caprio/Technical Support Officer $$$ CREDIT REGARDING OPTIONAL CHARGES $$$ We have a large number of families who have credit against their child accounts for future excursions/ incursions. Families who have credit also are paying on the Qkr App which makes it difficult to lower the credit amount. We ask families if you are unsure of your child credit, please ring Chriss or Angela on 9310 6100 for your current balance. News From Around The School ANNOUNCEMENTS FROM ONG SENSEI We are hosting! Our annual visit of students from GKA is on again this year! Please find attached the Expression of Interest form if you and your family are interested in hosting a Year 6 student from 14 October to 31 October 2018. Exciting upcoming event.....our 2nd Whole school Japanese Matsuri is happening again on the 25 July 2018 (Wednesday). All Pre-primary to Year 6 students will be participating in various Japanese activities and crafts. Japanese Performing Arts Incursion for Years 1 to 6, Rakugo is a Japanese comedy incursion. Come dress in Japanese themed clothing or red/white tops and bottoms. We will need some parent volunteers on the day of festival to help look after some of the activity stalls. Please follow the link to sign up. Your time and help to make this a fabulous day for all our students are very much appreciated! Thank you! Sign up here please --> https://www.volunteersignup.org/EAHE7 BE THE CHANGE As part of our Be the Change school activities we are encouraging students to become involved in planting native trees. If you do not have a verge tree your local council will provide and plant one for you- you only need to request one from them. Alternatively, if you have the space you may wish to plant one in your yard. We are setting up a display tree within the school. If your child has been part of the process of planting a native tree they are invited to write their name on a cardboard "leaf" (it can be collected from Mrs Davies/ Chua's room in C4) and any other details - e.g. type of tree, where it was planted, birds you hope to attract. The leaves will be displayed on the tree. We hope you will become involved in making our suburb greener. Thankyou Sustainability Team 2018 SCHOOL TERM DATES Term 2 Tuesday 1st May - Friday 29th June Term 3 Tuesday 17th July - Friday 21st September Term 4 Tuesday 9th October - Thurs 13th December ENTERTAINMENT BOOK Entertainment Book Information and ordering form are on Winthrop Primary School website under P&C News. POSITION VACANT Would you like to join the friendly School Banking Team? Are you available on Thursday from 8:20am to 9:20am? Please let one of the school banking ladies know if you are keen to join in on the fun of school banking with Winthrop Primary School. All positions are voluntary. TERM TWO ASSEMBLY DATES Friday 22nd June 2018 - C4 TERM THREE ASSEMBLY DATES Friday 27th July 2018 - E3 Friday 10th August 2018 - E6 & E5 Friday 24th August 2018 - D4 & C2 Friday 7th September 2018 - B2 & B4 Friday 21st September 2018 - C1 Help raise money for our school by shopping at Winthrop Gardens Supa IGA School Number of Participants Total School Benefits Winthrop PS 267 $27,118.16 News From Around The School PARENT INFORMATION EVENINGS We are excited to invite you to our upcoming parent events. There are many more events planned over the coming months so please keep your eye out as we advertise the events in the newsletter and on the website. Cybersafety - Paul Litherland 26th June 2018 6.30 - 8.00pm Register here Protective Behaviours 1st August 2018 6.30 - 8.30pm Register Here P& C BUSY BEE There's a beautiful humming sound resonating across campus!!! And it's all thanks to all the families and teachers who volunteered to be part of the first BUSY BEE session of the year. The campus was a hive of activity with our very own wonderful colony of buzzing bees planting a whopping 150 plants, moving and spreading over 16m3 of mulch and clearing 50L of rubbish. A massive thank you to Winthrop Super IGA for donating all the refreshments on the day to keep the worker bees going. If you missed out on the fun this term, there will be another BUSY BEE session next term. You can contact the Queen Bee to volunteer through the P&C email address: firstname.lastname@example.org UU CHINESE MADE EASY CLASS For all the parents of existing UU Chinese students: The enrolment form for semester 2 (term 3 & term 4) have been giving out to students this week. Please check with your child. If your child's missing out the class, please contact Reena on 04222 86635 for the form. Thanks! Tuesday, Wednesday and Thursday after school Location: Winthrop Primary Library Registration form in front office. Contact Reena (0422 286 635 or email@example.com for more information. ) UNIFORM SHOP CLEARANCE SALE ALL uniform long pants are reduced to clear at $15! Whilst stocks last and no returns. UNIFORM SHOP TIMES Uniform shop is open every Tuesday at 8:30am in the undercover area. For uniform information please contact Elise Bridges via email firstname.lastname@example.org. News From The P&C IT IS LAP-A-THON FUNDRAISING TIME AT WINTHROP PRIMARY SCHOOL! Thank you to parents, guardians, teachers and assistants who helped out last week during the Lap-a-thon and PrePrimary Scooter-a-thon events. Even the kindergarteners joined in as spectators and soaked up the glorious sunshine. The P&C would like to thank Winthrop Supa IGA for donating close to 600 juice boxes for all the children who ran their hearts out. Now it's time for the children to collect donations from their sponsors. There will be two prizes for individual children who raised the highest amounts and two lucky draw prizes to be announced at next month's assembly. The first class to return all their forms and money will receive a free lunch from the school canteen: Subway! Donations and sponsorship forms must be returned by Wednesday 27 th June to enter the draw for prizes - $50 Coles Myer gift card each! The P&C would like to thank everyone for their contribution towards improving facilities and enhancing learning at Winthrop Primary School Last Chance P&C FUNDRAISING Time to get your sauce on….for a cause!!! For the month of June, Tankk Gourmet Fish and Chips will be supporting Winthrop Primary School through their "Sauce for a Cause" initiative. All profits from the sale of their sauces in June will be donated to the Winthrop Primary P&C. So relish in the opportunity to take a night off from preparing the dinner and pop on down to see Paul and his team at Tankk Gourmet Fish and Chips in Winthrop Village. Why not take the whole family down to enjoy dipping into their fab selection of games for all ages to while away an evening together of great food, great company and really great sauce! (Did we mention it's also BYO) Don't forget to spread the word to all your friends and families in the community. Tankk Gourmet Fish and Chips – Sauce for a Cause Winthrop P&C June 2018 News From The P&C WINTHROP PRIMARY SCHOOL OUTDOOR MOVIE NIGHT On FRIDAY November 30 th 2018 (please save the date) we are hosting another Outdoor Movie Night on our school oval. After the great success of our previous movie night in 2016, we are hoping this special event will once again bring together our lovely school community, family and friends for a fun night out. Winthrop Primary P&C are now searching for some supportive businesses and people to help us make this end-of-year fundraiser a real success. Last year we were very lucky to have 10 amazing businesses make this event possible and we are still truly grateful for their generosity. We are hoping this year that there are some school families out there who own a business - or you may know of somebody in or around our community who does and would be interested in providing some sponsorship for this great event. This opportunity would provide your business with some wonderful exposure within our community while helping raise money for the children of Winthrop Primary School. Last year we were lucky enough to have over 400 people attend this fun event. We are offering three levels of sponsorship – Gold $500, Silver $300 and Bronze $150. Each level provides a certain amount of business exposure from the event. Alternatively, you may wish to contribute to a raffle on the night. So if you think this is something you could possibly see your business supporting, we would love to hear from you. Please make contact with Stacey Foster as soon as possible to find out more and secure your sponsorship. Mob: 0403122459 Email: email@example.com
WESTERN INSTITUTE FOR SOCIAL RESEARCH Occasional Paper Number 5 1999 Cross-Cultural Counseling: An Oakland Model By Nolan Jones, WISR M.A. MFT student - -- Occasional Paper Number 5 1999 Cross-Cultural Counseling: An Oakland Model By Nolan Jones, WISR M.A. and MFT student Nolan Jones is a college advisor, mentoring programs consultant, and a professional workshop facilitator. He has designed and facilitated human development training in the Bay Area for the last eight years. Known for his communication seminars and parenting workshops, Nolan has conducted training for agencies such as the Haight Ashbury Free Clinics, Oakland Unified School District, Big Brothers Big Sisters, Santa Rita Jail, The Joe Morgan Youth Foundation, and other Bay Area community groups. He has appeared on local television and radio for his parenting workshops and was one of the rotating hosts for a call-in radio talk show on KPFA 94.1 FM entitled "Simba Talk." Nolan has just recently designed and facilitated an in-service training on developing cross-cultural competence. He has a B.A. in African American Studies from the University of California at Berkeley. Occasional Paper No.5 Published by: Western Institute for Social Research 3220 Sacramento Street Berkeley, CA 94702 (510) 655-2830 Copyright 1999 by Nolan Jones Nolan Jones WISR MFCC Paper CROSS-CUL TURAL COMPETENCE: AN OAKLAND MODEL Buffy, a middle class college senior, had just been asked to mentor a low-income student :from the Oakland inner-city. Buffy enthusiastically accepts the invitation. With plans to attend medical school in the fall, she thought she would volunteer some time in the interim. However, a few weeks later, she called the mentor coordinator to ask for some advice because she was afraid to meet with her student mentee. When asked why? She replied, "I am not sure I will be able to relate to her culturally. She is Muslim and I am not. Do I have to act a certain way with her? I don't want to offend her." What is the ethnicity of the mentor and the mentee? Both the mentor and the mentee are African American. Susan, a high school junior, rushes into her counselor's office upset. She says no matter how hard she tries, her English teacher refuses to give her a grade better than a D' in the class. Susan turns in all of her homework, does all of her assignments, and still nothing seems to change. According to Susan, the teacher says the problem is in her writing. Susan told the counselor that one of her friends said the reason her grade is not improving in English is because she writes like she speaks. The counselor asked Susan what her :friend meant. Susan said, "I write in Ebonies." What are the ethnicities of Susan, the teacher, and the counselor? Susan is Chinese, the teacher is white and the counselor is African American. Becky and Jan are best friends at a local high school. Becky is from a low income family and Jan is :from a middle class family. One day they are assigned to work with a counselor on a newsletter. After several days of working with the counselor on the committee they approached the assistant director and said they refuse to continue working with the counselor. They said that they could not relate to the counselor. Moreover, they said they felt uncomfortable around him especially when he would make statements like "we should work together because we have got to stick together and because we have a lot in common." What is the ethnicity of the two best friends, the counselor, and the assistant director? The counselor is Latino, Becky is Mexican American, and Jan is Puerto Rican. Jan does not speak Spanish. The assistant director is African American. All of the examples above actually happened during my experience as a counselor and mentor coordinator in Oakland. The three vignettes demonstrate three points. First, automatically ascribing particular behavioral traits to certain ethnic groups in Oakland can be unpredictable and misleading in an assessment. Second, because two people belong to the same ethnic group does not mean they have an immediate cultural connection. Finally, White middle class Americans are not the only ones that can benefit from cross-cultural education. Some African Americans, Asian Americans, Hispanic Americans, and American Indians who make vertical socioeconomic moves to the middle class and upper middle class, often embrace some of the cultural predilections of the American White middle class. Thus, in order to be an effective cross-cultural counselor in Oakland, the recommended approaches given in cross-cultural education must be customized for the population being served. Customization, implementation, practice and conscious self-awareness contribute to the development of true cross-cultural competence. Hence, in this paper I will look at how cross-cultural competence can occur in Oakland, California using some of the cross-cultural theories and models. In our cross-cultural discussion, I will make reference to one or more of five major groups in Oakland: African American, Asian American, American Indian, European American, and Hispanics. Because of the nature of the study, ethnic and cultural descriptions must be clarified. The names or terms used to describe each group are the names most preferred by the groups themselves according to the May 1995 U.S. Census. Thus, the term White will be used to describe European Americans, Hispanic to describe Spanish speaking indigenous people of the Western Hemisphere, and American Indian to describe non-Spanish speaking indigenous people of the Western Hemisphere. However, when applicable, more specific ethnic definitions such as Latino, Chicano, and Mexican American will be used in relevant vignettes. I will use the term People of Color instead of minority when referring to African American, Asian American, American Indian, and Hispanic American collectively. THE NEED FOR CROSS-CULTURAL EDUCATION Whether in teaching, counseling or mentoring, cross-cultural implies interacting or interfacing across cultural lines. It means providing a service to someone from another cultural background. Should there be a different approach when working with someone :from another culture? Can a counselor, teacher, or mentor be effective with someone culturally different :from him/her? Or perhaps, a more pertinent question is what will it take for effective cross-cultural counseling to occur given the typical presumption woven into the fabric of most American institutional disciplines appears as the following: all 3cultures different from mainstream middle class white American culture are somehow deviant, deficient, or dysfunctional. These chauvinistic attitudes are probably what gave birth to such terms like "culturally disadvantaged." However, given the rapid demographic change in American society, chauvinistic references to multicultural diversity will be challenged even more. For example, "by the year 2010, because of higher birth rates and immigration trends, nonwhites are expected to constitute more than one third of the American people, and upwards of 50 percent of the school age population. By the year 2050, the average U.S. resident will trace his or her descent to Africa, Asia, the Hispanic world, the Pacific Islands, the Middle East" (Taylor, 1990). Furthermore, Spanish is the second most spoken language in American (U.S. Census Bureau, 1998). Thus, the need for cross cultural dialogue and competency is relevant and timely. CULTURE CLARIFICATION Cross-cultural education is important in any human service field. Cross cultural education extends beyond learning about other ethnic groups in the United States. There are many forms of culture that exist. For example, there are male cultures and female cultures, southern cultures and eastern cultures, urban cultures and rural cultures, adolescent cultures and adult cultures, popular cultures and mainstream cultures. When two people come together as a married couple, each brings his or her family culture to the relationship. Thus, techniques from cross-cultural education can certainly be applied to many forms of relationships. However, the cultures I will discuss are of the five major ethnic groups in Oakland, California that have tenets such as language, family practices, worldviews, and values specific to their groups. The same techniques used to provide cross-cultural counseling for People of Color from other cultural backgrounds may be used in other cross-cultural arenas mentioned earlier. However, when counseling People of Color, one should consider four areas: the stage of racial identity formation of his/her client, the economic class of the client, the political and social history of the client's ethnic group, and his/her own identity, history, biases, judgments, and class as a counselor. All can affect the counseling relationship. COUNSELING USING RACIAL IDENTITY DEVELOPMENT MODELS One approach to use in cross-cultural counseling is the racial identity development model. Racial identity development models argue that the identity development stage of a client can determine what method of therapy to use, to whom the client will relate, and to what the client will respond. Racial identity theories contend that People of Color move through several stages of racial identity in their lives. The stages range from a stage of rejection of one's own culture while embracing middle class white American culture to a stage of nationalistic glorification of one's own culture while totally rejecting middle class White America. In each of the racial identity development models, the stage in which the person feels most at peace is the stage of internalization, self-acceptance of one's own culture without rejecting middle class white American culture. In the study of African American racial identity development, William Cross describes four stages of development that All African Americans go through. Those stages are called pre-encounter, encounter, immersion-emersion, and internalization. The encounter stage is the time in which African Americans "consciously or unconsciously devalue their own Blackness and concurrently value White values and ways. There is a strong desire to assimilate and acculturate into White society" (Sue & Sue, 1990). Two things occur, during the next stage, the encounter stage. First, the individual encounters racism, which causes a personal crisis, which challenges his/her previous cultural values, then the Black person changes his/her worldview to a Black worldview. In the immersion-emergion stage, the Black person immerses himself/herself into Black culture and withdraws from dominant white culture. The final stage, internalization, a sense of security in self is achieved as a result of resolving the conflict between the old and new identities. Like Cross' racial identity development model, Jackson (1975) also proposes a four stage racial identity development process for African Americans. His four stages described as passive-acceptance, active-resistance, redirection, and internalization correspond to Cross' pre-encounter, encounter, immersion-emersion, and internalization stages respectively. African Americans are not the only People of Color who experience the racial identity development stages, Asian Americans, Hispanics, and American Indians have a similar "sociopolitical identity transformation" (Sue & Sue, 1990). Sue describes this process as the Racial/Cultural Identity Development R/CID model. In this model there are five stages: Conformity, Dissonance, Resistance and Immersion, Introspection, and Integrative Awareness. While the R/CID is similar to Cross' and Jackson's models, there are some nuances to consider. For example, in each of the development stages, the R/CID model describes the person of color's attitude toward self, toward others in the same group, toward People of Color in other groups, and toward the dominant group. A person of color in the conformity stage of R/<CID model has a depreciating attitude I toward self and his/her group, a discriminatory attitude toward other People of Color in other groups, and an appreciative attitude toward the dominant group. A person of color in the Integrative Awareness stage of the R/CID model has an appreciative attitude toward self, group, and other People of Color in other groups. However, there is a selective appreciation for the dominant group (Sue & Sue, 1990). A competent cross-cultural counselor understands the importance of the R/CID model in counseling situations. According to Sue, a person of color at the conformity stage might prefer a White counselor as opposed to one of his/her ethnic group due to the rejection of his/her culture. The White counselor's responsibility, in this case, is to determine whether or not he is making progress with his client or if his client is complying in order to please or gain the approval of the White counselor. (Sue & Sue, 1990). On the other hand, a person of color in the Resistance and Immersion stage would prefer a counselor of his/her ethnic group. A White counselor might symbolize the psychological racism and oppression the person of color sees as the cause of the problem. If the client in the Resistance and Immersion stage has a White counselor, s/he will be the object of blame and attack. Therefore, the counselor must not personalize the attack. In each situation, if the counselor, using the R/CID model, assesses the stage of identity development of his client first, then s/he can determine the best approach for building the necessary rapport with the client. For example, what if the client identifies himself/ herself as Biracial and the source of her problem is determining how to identify with both of the ethnic groups she is a product of? What stage of racial identity development would categorize this client? What if a Black client of West Indian descent displayed hatred toward Black people in the United States? Is it a clear case of R/CID or is it cultural tenet of the West Indies? The assessment would depend on the stage of identity of the counselor. In addition to understanding the R/CID of the client, the counselor must also be aware of his /her own R/CID, for it can have a profound effect on the relationship and the recommended therapy. For example, a mutual disrespect could evolve between a counselor of color in the conformity stage who only values middle class white American values, and a client in the resistance stage of R/CID, who rejects middle class white American culture. Will the counselor lose his/her credibility in the eyes of the client due to the different orientation? Or, would the counselor patronize or judge the client for rejecting his/her different orientation? Maybe, neither situation would happen. However, given the different stages of R/CID both the client and counselor represent, it is highly possible that building rapport would be challenging, particularly if the counselor is self-righteous about his/her perspective and unaware of his/her R/CID and that of his/her client. In case of the Latino counselor interacting with the Mexican American student, perhaps the lack of rapport established between the two reflected the different places in the R/CID model of each person. The counselor seemed to encourage cultural pride and sticking together while the student only thought of interacting first a human being. EDUCATING THE BOURGEOISIE Much cross-cultural education is done for the purpose of educating white middle class professionals who have had no or limited experience in dealing with People of Color from low income or impoverished backgrounds. However, the small percentage of People of Color in the counseling field, in some cases, also have limited or no experience working with other People of Color. While there have been some impressive work done in the field, several assumptions are made as a result of the research. First, it is assumed that only white middle class professionals are the only ones who need or could benefit from cross-cultural training and preparation for dealing with families and communities they know little about. Middle class African Americans, Asian Americans, American Indians and Hispanics who embrace many of the beliefs and attitudes of white middle class can also benefit from cross-cultural education. Second, it is assumed that cultural challenges only exist between people from different ethnic backgrounds. Class differences between people within the same ethnic group often present cultural challenges, too. For instance, every client of color may not be low income, and therefore have had a different experience or challenge particular to that class. The case of the Pre-Medicine student who could not relate to the Muslim mentee exemplifies this. Even though both of the students, one in college, and the other in high school, were African American, religion was only one level of cultural difference. The other was class. The college student was from a middle class family and had never experienced life as a low-income high school student from the inner-city. Class difference was just as much a cultural barrier between the two students as religion. Finally, it is assumed that those who have received cross-cultural counseling education would be able to maneuver competently in cross-cultural client counselor relationships. Knowledge must accompany practice. Information about different cultural groups does not guarantee cross-cultural competence. There are nuances gained from actual experience and practice that theory and information cannot possibly cover. For example, in Oakland there are middle schools and high schools with predominantly Asian American student populations who have embraced inner-city African American "Hip Hop" culture and lifestyles. How would someone with a background in cross-cultural counseling and a belief about how to work with Asian American students customize his/her information in this new environment with "non-traditional" Asian American students? A competent cross-cultural counselor would take his or her cues from the environment and adjust his or her information accordingly. GATHERING THE ETHNIC HISTORIES OF YOUR CLIENTS Gathering information on the ethnic, social and cultural histories of your clients of color is another step necessary toward acquiring cross-cultural competence. Every Black person that walks into an office is not an African American from the Bay Area. Some are from the West Indies, South America, and many parts of Africa. Some are from the south and others are from back east, cultural differences by region. Likewise, every Hispanic is not Mexican or Mexican American. Some are Latino, Cuban, Puerto Rican, EI Salvadorian, etc. Is your Asian client first, second, or third generation Asian American? Or, is s/he a recent immigrant from China, Japan, Korea, Vietnam, Cambodia, or Laos? If you are unsure of the ethnic and cultural history of your client or clients community, then one approach is to ask. Asking for information up front is one of the best ways to avoid making whopping stereotypic assumptions about groups of people you may be unfamiliar with. Secondly, gathering historical information may also point to cues and directions to take in the therapy. For example, are the issues to address in a therapy session related 10 to trauma and depression many recent Asian immigrants experience due to separation from family and loves during the immigration or are they related to adjusting to a new non-traditional environment that may not support personal cultural practices? Is your African American client really stressed about her family? Or, is she suffering from Mundane Extreme Environmental Stress (MEES): "an environment in which racism and subtle oppression are ubiquitous, constant, continuing, and mundane, and one in which African Americans must daily suffer the annoying 'micro-aggressions' such environments breed (Carole, 1998). Why is your Mexican client stressed out? Is it due to employment challenges or is it due to the frustration with having to communicate with his child's teacher in another language (McGoldrick, Pearce, and Giordano, 1982)? In addition to learning about your client by researching the history of client's culture, gathering information :&om the clients themselves will help answer many of the questions, and help avoid stereotyping. It also empowers the client with an opportunity to identify him/herself. Gathering information demonstrates to your client that you care enough to learn about him/her and that you have done your homework. Besides, it is a great way to develop rapport with your client. All counselors regardless of their ethnic backgrounds should gather information about their clients. Assuming you know about a person based on his or her ethnic background could cause you to misdiagnose or assess the client. The case of the Chinese student in Oakland being penalized in her writing for using Ebonies is an example of how one could misjudge someone based on ethnicity. Most people would have assumed the "Ebonies" conflict involved an African American student. Investigating, reading, taking classes, and asking questions demonstrate genuine and responsible actions. Will the information gathered about your client's culture really apply to your client? Is that really the culture of your client? If the reading, research seems irrelevant in nature. Then ask the appropriate questions of your clients? For example, some research may imply that many inner-city African Americans are poor and uneducated, but your client is obviously a middle class college graduate originally from the inner-city ghetto. How do you proceed? One approach is to abandon assumptions and ask questions for clarification. Where are you trom? How do you define yourself ethnically? What is your socioeconomic status? Are you first generation or second to go to college? What were the reasons for migrating? How many are in the family? Who is considered part of the family? However, depending on your client, particularly with many American Indian clients, a more indirect approach to asking questions may be more effective. In any case, if you are working with a client whose culture you know little about, before asking questions, explain that you might make some mistakes and that you are coming from a particular worldview but are willing to learn (Sue & Sue, 1990). The client in return will appreciate your honesty and may be willing to work with you. KNOW THYSELF: CULTURAL SELF-ASSESSMENTS Just as important as gathering information about the client is gathering information about oneself as a counselor. As a counselor, what are your worldview, R/CID, and prejudices? Are you aware of them or are you unconscious of them? To be an effective and competent cross-cultural counselor, the counselor must become aware of his or her own issues around race, prejudices, biases and values. Then actively learn how to manage the beliefs and values that could be potentially damaging to a client from another culture. For example, if you are a white counselor who have had some traumatic experiences with African American men, and your client happens to be an African American man, to what degree will those subjective feelings affect your ability to counsel your African American client? Will it shape the questions? Will it taint the compassion? Or, will it trigger residual emotional baggage easily projected outwardly? Likewise, if you are an upwardly mobile, educated African American counselor counseling a low income African American from the "ghetto" with a victim mentality, how would that affect your ability to counsel your client? As a counselor, managing your issues will enhance your personal effectiveness in cross-cultural interactions. (Attending diversity training, values exercises, ethnic studies courses, and conscious interaction with diverse cultures in different arenas are great ways to become aware of your own prejudices.) AVOIDING CROSS-CULTURAL TRAPS Even with the best intentions or the desire to be fair, non-judgmental, and culturally appropriate, we sometimes "fall short." We fall for the cross-cultural traps inherent in the process of developing cross-cultural competence. Two of those cross cultural traps are stereotyping, and denying one's personal expertise. A novice relying heavily on the recommendations from books in the field of cross-cultural counseling may periodically fall into trap of stereotyping or overgeneralizations. For example, a counselor in Oakland had read that Asian American families valued hard work and education. He had also noticed from his personal experiences growing up in the Bay Area, that many of the Asian Americans he had encountered had been successful academically. Furthermore, he recently learned that one of the most prestigious public universities in the country, DC Berkeley, student population comprised mostly of Asian students. Thus, this Oakland counselor after assessing the academic needs of the high school students concluded that Asian American students had no problems and really did not need an academic or college advising. When one of his Asian students at the high school requested help because he was failing his class, struggling in tutoring, and demonstrated a fear of applying to college, the counselor responded with disbelief. He suggested that the student just study harder because according to his research, Asians were strong in this arena and thus would not need as much help. What the Oakland counselor failed to realize is although there are many Asian Americans succeeding academically, there are many Asians in America like the recent Southeast Asian immigrants who are not succeeding academically. According to the 1995 U.S. Bureau of Census, among the Hmong, only 31 % have completed high school, and less than 6% of Tongans, Cambodians, Laotians, and Hmongs 25 years and older have a bachelor's degree. While the counselor's advise was informed by his personal experience and research, his overgeneralization caused him to fall into the trap of stereotyping a student that could have benefited ITom a more compassionate and understanding approach to counseling. Perhaps, the Oakland counselor could have avoided the cross-cultural trap of stereotyping by first, approaching the student as an individual in need of guidance. Then, the counselor could have offered counseling service based on the student's academic needs and not based on the belief about the group the student represented. Overgeneralization makes it easy to ignore the abundant ethnic and cultural diversity within groups like Asian Americans. Asking questions in advance for clarification is a great way to avoid such traps. The other cross-cultural trap to be aware of is the process of denying one's personal expertise. In the attempt to "do it right" be politically correct, or culturally appropriate, counselors and teachers often throw common sense out of the window. Techniques and practices used to get results are often shunned due to the fear of offending someone's culture. For example, an Oakland counselor refused to discipline an African American female student for breaking one of the program rules: No girls in boys rooms and vice versa. The female student took a shower and several male students' rooms. The counselor's reasoning for not taking action was that he did not want to offend the student and also did not want to be accused of racism or sexual harassment. Thus, he remained silent about the whole incident. The student was not held accountable for breaking the rules until the incident was reported to the assistant director. Although the counselor was aware of the nature of the teen's infraction, his fear of being accused of being racist or sexist prevented him from taking the actions he had been trained to take. The counselor's behavior in this vignette is similar to one of common barriers to effective cross-cultural counseling with African Americans: unquestioning acceptance of behavior or perspectives of African Americans due to one's own personal guilt (Sue & Sue. 1999). "The African American client is allowed to freely express hostility or take any action that is felt to be justified. This stance may involve feelings of racial guilt on the part ofthe counselor, who is attempting to prove he/she is open and accepting" (Sue, p. 249, 1999). Unquestioning the African American perspective does a grave disservice to African Americans who want to be held accountable for their actions. It is a paternalistic and patronizing stance. In this example, the student was infuriated with counselor for not reprimanding her when he first learned of the infraction. Ironically, the counselor created a self- fulfilling prophecy. He still offended the student. Like the Oakland counselor, it is possible for many professionals working with multicultural populations to compromise their integrity, loosen their boundaries, and endure verbal attacks from African Americans due to their own internalized guilt and fear. No one has the right to achieve a personal goal without considering the rights and feelings of others regardless of the ethnic and cultural group. One way the counselor could have avoided this particular cultural trap is by following the agency's policies. The rules applied to all students regardless of the ethnic culture. Girls were not allowed in the boy's room and vice versa. The rule is straight forward, not racist or sexist. Another way to avoid denying your own expertise, or in this case, common sense, is by managing your own issues around race and sex. An effective cross-cultural counselor gives him/herself permission to make mistakes as s/he discovers his/her issues around racial and ethnic cultural differences. Although the Oakland counselor's intentions were positive, his unresolved feelings with African Americans clouded his decision-making ability. CONCLUSION I realize that my multicultural experiences are unique. Furthermore, I have had the luxury of growing up in Oakland, California, one of the most diverse places on the planet. My dentist is Asian American, my peridontist is African American, and my doctor is White. My mechanic is Nigerian, and as a child my family had regular barbecues with my brother's best friend and his family who is Mexican. One of my best friends is from Guyana and the other is from Kenya. At my local bank there are five tellers. Each represents one of five different ethnic groups: African American, Asian American, Mexican American, East Indian, and White. The pharmacy at Kaiser Oakland has similar demographics. In my neighborhood, my next door neighbors on the right are Mexican American and my next door neighbors on the left are recent Asian immigrants. Three doors down my neighbors are white. As a child, my next door neighbors were a black and white interracial couple. My favorite teacher in elementary school was an Aftican American woman and my favorite teacher in junior high school was a White woman. Perhaps my experience has shaped my perspective on cross-cultural counseling. Not everyone has had exposure to the rich diversity I have. Certainly there are people who have never left all white suburbs, or all black neighborhoods, chinatowns, barrios, etc. Clearly, some people have only seen people from other ethnic groups on television or in magazines. So how do you sensitize or desensitize those who suffer ftom xenophobia because they have not been exposed to other cultures? Will diversity training and cross cultural education work? How do you minimize the damage from those who remain myopic in their views of other cultures but are in positions to provide a human service to them? Should they be allowed to provide service without appropriate cross-cultural training? Does it matter? The ultimate goal in cross-cultural education is to develop cross-cultural competence. Ideally, we would like all therapists, counselors, educators, and mentors working with ethnically and culturally diverse populations to be effective and affirming with all of their clients. Therefore, from my experience and research I propose the following recommendations for enhancing cross-cultural counseling. 1. Know thyself, thy beliefs, thy values, and thy prejudices. 2. Develop a healthy curiosity for other cultures and languages. 3. Be human, not perfect. Give yourself permission to make mistakes. 4. Learn your client's culture and history. But treat the client as an individual first. 5. Be open and flexible. Make what you know about cultures specific to the client. 6. Be compassionate and listen for cultural cues. 7. Customize your research Most of the recommendations have already been addressed. I will elaborate on the others in future papers. Bibliography Carroll, Grace. Environmental Stress and African Americans: The. Other Side of The Moon. Connecticut: Praeger Publishers, 1998 Gonzalez, Odette Pollar and Rafael. Dynamics of Diversity: Strategic Programs for Your Organization. California: Crisp Publications, Inc., 1994 Jackson, B. "Black Identity Development." Journal of Educational Diversity, 9, 1975 Pearce, Monica Goldrick, Joe Giordano and John K. Ethnicity & Family Therapy. Ed. New York: The Guilford Press, 1982 Pearce, Monica Goldrick, Joe Giordano and John K. Ethnicity & Family Therapy. 2nd Ed. New York: The Guilford Press, 1996 Sue, Derald Wing and David. Counseling The Culturally Different: Theory & Practice 2nd Ed. New York: john Wiley & Sons, Inc., 1990 Sue, Derald Wing and David. Counseling The Culturally Different: Theory & Practice 3rd Ed. New York: John Wiley & Sons, Inc., 1999 Taylor, Orlando L. "Cross-Cultural Communication: An Essential Dimension of Effective Education." Washington D.C.: Mid-Atlantic Equity Center, 1990 Zuckerman, George Simmons and Amy. Working Together: Succeeding in a Multicultural Organization. California: Crisp Publications, Inc., 1994
A Primer on Home Rule August 2009 The Institute for Public Policy & Economic Development A partnership among Keystone College, King's College, Luzerne County Community College, Marywood University, Misericordia University, Penn State Wilkes-Barre, The Commonwealth Medical College, University of Scranton, & Wilkes University A Primer on Home Rule Charter Contents Special thanks to the Pennsylvania Economy League-Central Division for its contribution to this primer Produced by The Institute for Public Policy and Economic Development Senior Researchers Teri Ooms Sherry Tracewski Research Associates Pilar Lizasoain ©2009 All Rights Reserved. The Institute for Public Policy & Economic Development Introduction "Home rule" refers to a "limited autonomy or self-government granted by a central or regional government to its dependent political units." 1 In other words, home rule potentially provides local municipalities with the power to self-govern over communal concerns. Establishment of a home rule in Luzerne County would grant it the ability to regulate and arbitrate over its own municipalities' laws and mandates. Moreover, municipal home rule would allow Luzerne County the authority to establish its own laws to protect: * Local businesses * Natural resources * Community values 2 * Workers' rights Home rule proponents claim it stimulates public participation and increases community awareness of local issues. "In home rule states, local government authority over local matters is delegated in broad terms, and local governments are not generally required to obtain specific authority for particular activities." 3 Instead of depending on Pennsylvania's state law, the county could design its own laws and a regulation not dependent upon the state government's typically drawn out authorization process. In May 2009, Luzerne County voters elected a study commission to evaluate home rule and present a framework for home rule governance to be considered by voters. History of Home Rule The Commonwealth of Pennsylvania has had a particularly lengthy struggle in its historic attempts to incorporate a municipal home rule. On March 4, 1681, King Charles II authorized William Penn's Charter – giving the Penn Family the power to oversee and govern more than 16 million acres of land that would ultimately be known as Pennsylvania. 4 William Penn's Charter (1681)/ Pennsylvania's "birth certificate" * Marks beginning of the Commonwealth * Granted Penn the power to implement a system of government without British monarchy intervention * Charter advocated for the following: - Representative government - Separation of church and state - Elimination of nobility and ranks - Self-rule - Diplomatic co-existence among ethnically and religiously diverse communities 5 Although Penn's Charter was established in the 17 th Century, its ideals and focuses represent democracy's main principles. William Penn's political philosophies and charter were even highly praised by Thomas Jefferson. Jefferson referred to Penn as "the greatest law giver the world has produced." 6 Unfortunately, Penn's Charter did not withstand the 19 th Century; legislative abuses and interference in local government matters eventually led to the Supreme Court's establishment of Dillon's Rule in Pennsylvania. 7 Without the approval of the central state government, Dillon's Rule prohibited municipalities from incorporating local laws to address specific county issues. 8 Dillon's Rule (1877) * Municipal governments are dependents of state government * State governments are responsible for a local government's "existence, form and function" 9 As a result of Dillon's Rule, the beginning of the 20 th Century inspired a political progressive movement that aspired to reform and to create a more effective form of local government. The wave for change advocated the notion of "a constitutional guarantee of home rule for municipalities across the country." 10 But the Progressive era's idea of a home rule strictly aimed to reorganize municipality governments in terms of efficiency: Home rule in the Progressive era was meant to achieve governing "efficiency" fashioned after corporate business models, and was not viewed as a way to expand citizen participation or create greater local democracy. 11 Thus, the community was not provided a more accessible government or to increased public involvement; instead, the move was strictly aimed to design a well organized and highly proficient local authority. In 1922, home rule was finally established in Pennsylvania due to a modification of the Constitution, which assigned the General Assembly the power to grant cities the option of enacting a home rule charter. In 1949, the General Assembly designated home rule authority to Philadelphia only. 12 By 1968, the Commonwealth granted all counties the ability to adopt a home rule charter. "Home Rule transfers substantial authority and responsibility to act in local affairs from state law to a local Charter which is adopted by voters. A county that adopts a Home Rule Charter has the ability to amend its Charter through referendum to suit its changing needs." 13 Therefore, all of Pennsylvania municipalities and counties are technically allowed to enact their own home rule charters, which have the capacity to minimize a county's reliance on state legislation to govern local government. Current Forum of Government Although the Constitution of the Commonwealth of Pennsylvania enabled local governments statewide the option to adopt a Home Rule Charter in 1968, Luzerne County runs on a system known as the County Code. County Code Basics: * Consists of state laws only. Only Pennsylvania state legislators have the power to determine all—large and small—changes made in the local government In other words, the current state code prevents Luzerne County residents from voting on communal issues concerning the management and operations of the county's administrative authority. 14 Home Rule vs. County Code The structure and regulations of the existing Luzerne County Code and a Home Rule Charter share various commonalities, yet there are clear areas of disagreement. In order to fully understand each, it is important to understand their differences and similarities. Similarities * County Code and Home Rule follow regulations and limitations found in: - U.S. and Pennsylvania Constitutions. - Some state laws. * Both must follow existing labor and legal binding contracts. * "County's municipalities are separate and distinct from the County." 15 * Neither system diminishes citizen benefits, such as Social Security, Medicare, Medicaid, welfare, student loans, etc. Differences * County Code only allows Luzerne County's administration to operate under "specifically authorized state laws." 16 * A Home Rule Charter's operations can only be restricted by state or federal law. * Home Rule enables municipality or county to govern by community voting over particular local manners, without statewide legislation intervention. * A Home Rule Charter allows citizens "to amend its Charter through referendum to suit its changing needs." 17 Historic Reasons for Home Rule * Residual powers – write own administrative code * Increased citizen access – initiative & referendum * Improved accountability & responsiveness * Flexibility * Improved fiscal procedures & controls * Professional administration * Focused political leadership * Wider representation * Separate legislative & executive functions * Merit hiring & advancement Limitations * United States Constitution * Pennsylvania Constitution * Specific restrictions - Act 62 * State laws * Laws that are uniform & applicable throughout the Commonwealth * The charter itself * Laws directed expressly at home rule governments Specific Limitations * Arbitration/labor relations * Independence of municipalities * Boundary Change Law * Election Code * Recall * Ethics Law * Reapportionment * Open Records Law * Sunshine Law * Local Agency Law * Unit Debt Act * Tort claims * Taxation subjects * Veterans preference * Court appointed personnel * Clean streams * Storm Water Management Act * Sewage Facilities Act * Recycling & Waste Reduction Act * Firearms/hunting regulations * Vehicle Code * Private business limitations A Primer on Home Rule Charter * Regulation of utilities * Eminent domain * Local government autonomy * Zoning - Pennsylvania Municipalities Planning Code Home Rule Charter Development Pennsylvania's Home Rule Charter and Optional Plans Laws (Act 62 of 1972) offers counties and municipalities the steps necessary to incorporate home rule authority. In order to develop a Home Rule Charter, Luzerne County must first contact the Pennsylvania General Assembly: "Only an Act of the Pennsylvania General Assembly in Harrisburg can change this code." 18 On November 6, 2001, the Luzerne County Government Study Commission was elected to consider the Home Rule Charter and Optional Plans Laws Act 62 of 1972. The Commission is comprised of eleven nonpartisan members who provide free services. 19 The Commission was charged with studying the current form of government, the County Code, and assessing whether or not it is beneficial to the community. Once the Government Study Commission unanimously decided that alterations in local government would be a positive change, it drafted the proposal of a Home Rule Charter. 20 Finally, the proposed charter was reviewed and voted on by Luzerne County voters in a municipal election. In case of the 2001 Government Study Commission, voters did not accept its charter. In 2009, another Government Study Commission was elected and is now in the process of drafting a charter for consideration by Luzerne County voters. Endnotes 1 "Home Rule." (2009). In Encyclopedia Britannica. Retrieved April 02, 2009, from Encyclopedia Britannica Online: http://www.britannica.com/EBchecked/topic/270114/home-rule 2 The Community Environmental Legal Defense Fund. (2008). Why Home Rule? Retrieved Apr. 6, 2009, from http://www.celdf.org/HomeRule/WhatisHomeRule/tabid/114/Default.aspx 3 Frayda, B. S. (2006). Do North Carolina Governments Need Home Rule? Popular Government 3, 15-24. , 4 Ries, L. A., & Stewart, J. S. (2009). This Venerable Document. Retrieved Apr. 20, 2009, from http://www.phmc.state.pa.us/bah/DAM/charter/charter.html 5 Ries, L. A., & Stewart, J. S. (2009). This Venerable Document. Retrieved Apr. 20, 2009, from http://www.phmc.state.pa.us/bah/DAM/charter/charter.html 6 Ries, L. A., & Stewart, J. S. (2009). This Venerable Document. Retrieved Apr. 20, 2009, from http://www.phmc.state.pa.us/bah/DAM/charter/charter.html 7 The Community Environmental Legal Defense Fund. (2008). Why Home Rule? Retrieved Apr. 6, 2009, from http://www.celdf.org/HomeRule/WhatisHomeRule/tabid/114/Default.aspx 8 Ormsby, S., Appel, E., Brady, P., & Gibber, J. (2004). Dillon's Rule: Good or Bad for Local Governments? League of Women Voters of the Fairfax Area Education Fund, S-1-S-8. 9 Brannen, D. (2005). Cooley Doctrine Memo. Retrieved Apr. 27, 2009, from http://www.celdf.org/CooleyDoctrineMemo/tabid/128/Default.aspx 10 The Community Environmental Legal Defense Fund. (2008). Why Home Rule? Retrieved Apr. 6, 2009, from http://www.celdf.org/HomeRule/WhatisHomeRule/tabid/114/Default.aspx 11 The Community Environmental Legal Defense Fund. (2008). Why Home Rule? Retrieved Apr. 6, 2009, from http://www.celdf.org/HomeRule/WhatisHomeRule/tabid/114/Default.aspx 12 The Community Environmental Legal Defense Fund. (2008). Why Home Rule? Retrieved Apr. 6, 2009, from http://www.celdf.org/HomeRule/WhatisHomeRule/tabid/114/Default.aspx 13 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 14 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 15Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 16 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 17 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 18 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 19 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq= 20 Luzerne County Government Study Commission. (2003). Amended Report of the Luzerne County Government Study Commission. Retrieved Apr. 28, 2009, from http://www.google.com/search?hl=en&q=amended+report+of+the+luzerne+county+gove rnment+study+comission&aq=f&oq=
ENALAPRIL MALEATE 5 mg TABLETS ENALAPRIL MALEATE 10 mg TABLETS ENALAPRIL MALEATE 20 mg TABLETS (Enalapril Maleate) Read all of this leaflet carefully before you start taking this medicine because it contains important information for you. * Keep this leaflet. You may need to read it again. * If you have any further questions, ask your doctor, pharmacist or nurse. * This medicine has been prescribed for you only. Do not pass it on to others. It may harm them, even if their signs of illness are the same as yours. * If any of the side effects gets serious, or if you notice any side effects not listed in this leaflet, please tell your doctor or pharmacist. If you get any side effects, talk to your doctor, pharmacist or nurse. This includes any possible side effects not listed in this leaflet. See section 4. What is in this leaflet: 1. What Enalapril Tablets are and what they are used for 2. What you need to know before you take Enalapril Tablets 3. How to take Enalapril Tablets 4. Possible side effects 5. How to store Enalapril Tablets 6. Contents of the pack and other information 1. What Enalapril Tablets are and what they are used for Enalapril Tablets belong to a group of medicines called 'ACE inhibitors'(angiotensin converting enzyme inhibitors). Enalapril tablets are used * to treat high blood pressure (hypertension). * to prevent the signs of heart failure. The signs include: shortness of breath, tiredness after light physical activity such as walking, or swelling of the ankles and feet. * to treat heart failure (weakening of heart function). It can lower the need to go to hospital and can help some patients live longer. Enalapril works by widening your blood vessels. This lowers your blood pressure. The medicine usually starts to work within an hour, and the effect lasts for at least 24 hours. Some people will require several weeks of treatment until the best effect on your blood pressure is seen. 2. What you need to know before you take Enalapril Tablets Do not take Enalapril Tablets if: * you are allergic (hypersensitive) to enalapril maleate or any of the other ingredients of Enalapril tablets (listed in Section 6) or to any other ACE inhibitors similar to Enalapril tablets. * you have diabetes or impaired kidney function and you are treated with a blood pressure lowering medicine containing aliskiren * you ever had swelling of your face, lips, mouth, tongue or throat which caused difficulty in swallowing or breathing (angioedema) when the reason why was not known or it was inherited. * you are more than 3 months pregnant. (It is also better to avoid Enalapril Tablets in early pregnancy- see pregnancy section.) * you have taken or are currently taking sacubitril/valsartan, a medicine used to treat a type of long-term (chronic) heart failure in adults, as the risk of angioedema (rapid swelling under the skin in an area such as the throat) is increased. Do not take Enalapril Tablets if any of the above apply to you. If you are not sure, talk to your doctor or pharmacist before taking Enalapril Tablets. Warnings and Precautions Check with your doctor or pharmacist before taking Enalapril Tablets if any of the following apply to you. * If you have a kidney problem (including kidney transplantation). These may lead to higher levels of potassium in your blood which can be serious. Your doctor may need to adjust your dose of Enalapril tablets or monitor your blood level of potassium. * If you have been very sick suffered from excessive vomiting or had bad diarrhoea recently. * If you are having dialysis. * If you are over 70 years of age. * If you have a condition involving the blood vessels in the brain. * If you have a heart problem. * If you suffer from blood problems such as low or lack of white blood cells (neutropenia / agranulocytosis), low blood platelet count (thrombocytopenia) or a decreased number of red blood cells (anaemia). * If you have a liver problem. * If you have collagen vascular disease (e.g. lupus erthematosus, rheumatoid arthritis or scleroderma), are on therapy that suppress your immune system, are taking drugs like allopurinol (used for the treatment of gout) or procainamide (used to treat abnormal heart rhythms) or any combinations of these. Your doctor may periodically take a blood sample to check your white cell count. If any of these apply to you and you develop an infection (symptoms may be high temperature, feverish), you should let your doctor know immediately. * If you have a history of angioedema (symptoms such as itching, nettle rash, wheezing or swelling of the hands, throat, mouth and eye lids) while taking other medicines. You should be aware that black patients are at increased risk of these types of reactions to ACE inhibitors. * If you have diabetes and are taking antidiabetic agents or insulin to control your diabetes; you should closely monitor your blood for low blood glucose levels especially during the first month of treatment. The level of potassium in your blood can also be higher. * If you have low blood pressure (you may notice this as faintness or dizziness, especially when standing). * if you are taking any of the following medicines used to treat high blood pressure: * an angiotensin II receptor blocker (ARBs) (also known as sartans - for example valsartan, telmisartan, irbesartan), in particular if you have diabetes-related kidney problems. * aliskiren Your doctor may check your kidney function, blood pressure, and the amount of electrolytes (e.g. potassium) in your blood at regular intervals. See also information under the heading "Do not take Enalapril Tablets" You must tell your doctor if you think you are (or might become) pregnant. This medicine is not recommended in early pregnancy and must not be taken if you are more than 3 months pregnant, as it may cause serious harm to your baby if used at that stage (see Pregnancy section). You should be aware that Enalapril Tablets lowers the blood pressure in black patients less effectively than in non-black patients. If you are not sure if any of the above applies to you, talk to your doctor or pharmacist before taking Enalapril Tablets. Please let your doctor know immediately if you develop any of the following symptoms while taking Enalapril Tablets * Jaundice (yellowing of the skin and whites of the eyes) * A dry cough which is persistent for a long time If you going to undergo any of the below mentioned procedures, please tell the doctor who is treating you that you are taking Enalapril Tablets. * a treatment called LDL apheresis, which is removal of cholesterol from your blood. * a desensitisation treatment to reduce the effect of an allergy to bee or wasp stings. * any surgery or receive anaesthetics (even at the dentist). If any of the above applies to you, talk to your doctor or dentist before the procedure. Other medicines and Enalapril Tablets Tell your doctor or pharmacist if you are taking, have recently taken or might take any other medicines. This includes herbal medicines. This is because Enalapril Tablets can affect the way some medicines work. Also some other medicines can affect the way Enalapril Tablets works. Your doctor may need to change your dose and/or to take other precautions: In particular tell your doctor or pharmacist if you are taking any of the following medicines: * an angiotensin II receptor blocker (ARB) or aliskiren (see also information under the headings "Do not take Enalapril Tablets if" and "Warnings and precautions") * Potassium supplements (including salt substitutes), potassium-sparing diuretics and other medicines that can increase the amount of potassium in your blood (e.g. trimethoprim and cotrimoxazole for infections caused by bacteria; ciclosporin, an immunosuppressant medicine used to prevent organ transplant rejection; and heparin, a medicine used to thin blood to prevent clots) * other medicines to lower blood pressure, such as beta-blockers or water tablets (diuretics) * medicines for diabetes (including oral antidiabetic medicines and insulin) * medicines for depression called 'tricyclic antidepressants' * lithium (a medicine used to treat a certain kind of depression) * medicines for mental problems called 'antipsychotics' * certain pain or arthritis medicines including gold therapy * certain cough and cold medicines and weight reducing medicines which contain something called a 'sympathomimetic agent' * See also information under the heading "Warnings and precautions" * non-steroidal anti-inflammatory drugs, including COX-2-inhibitors (medicines that reduce * a medicine containing a neprilysin inhibitor such as sacubitril (available as fixed-dose combination with valsartan) and racecadotril. The risk of angioedema (swelling of the face, lips, tongue or throat with difficulty in swallowing or breathing) may be increased. See also information under the headings "Do not take Enalapril tablets" and "Warnings and precautions". inflammation, and can be used to help relieve pain) * medicines used to dissolve blood clots (thrombolytics) * aspirin (acetylsalicylic acid) * alcohol. If you are taking any of the following medicines, the risk of angioedema may be increased: * Racecadotril, a medicine used to treat diarrhoea; * Vildagliptin, a medicine used to treat diabetes. * Medicines used to prevent organ transplant rejection and for cancer (e.g., temsirolimus, sirolimus, everolimus). If you are not sure if any of the above applies to you, talk to your doctor or pharmacist before taking Enalapril tablets. Taking Enalapril Tablets with food and drink Enalapril Tablets can be taken with or without food. Most people take Enalapril tablets with a drink of water. Preganancy and breast-feeding Pregnancy If you are pregnant or breast-feeding, think you may be pregnant or are planning to have a baby, ask your doctor for advice before taking this medicine. Your doctor will normally advise you to stop taking Enalapril Tablets before you become pregnant or as soon as you know you are pregnant and will advise you to take another medicine instead of Enalapril Tablets. Enalapril Tablets is not recommended in early pregnancy, and must not be taken when more than 3 months pregnant, as it may cause serious harm to your baby if used after the third month of pregnancy. Breast-feeding Tell your doctor if you are breast-feeding or about to start breast-feeding. Breast-feeding new born babies (first few weeks after birth), and especially premature babies, is not recommended whilst taking Enalapril Tablets. In case of an older baby your doctor should advise you on the benefits and risks of taking Enalapril Tablets whilst breast-feeding, compared to other treatments. Driving and using machines You may feel dizzy or sleepy while taking Enalapril tablets. If this happens, do not drive or use any tools or machines. Enalapril tablets contain lactose These tablets contain Lactose, which is a type of sugar If you have been told by your doctor that you have intolerance to some sugars, contact your doctor before taking this medicinal product. 3. How to take Enalapril Tablets Always take this medicine exactly as your doctor as told you. You should check with your doctor or pharmacist if you are not sure. - It is very important to continue taking this medicine for as long as your doctor prescribes it - Do not take more tablets than prescribed. - The score line is only there to help you break the tablet if you have difficulty swallowing it whole The dose you take will depend on your condition and whether you are taking any other treatment. The usual dose is: High Blood Pressure * Some patients may need a lower starting dose. * The usual starting dose ranges from 5 to 20 mg taken once a day. * The usual long term dose is 20 mg taken once a day. * The maximal long term dose is 40 mg taken once a day. Heart Failure * Your doctor will raise this amount step by step until the dose that is right for you has been achieved. * The usual starting dose is 2.5 mg taken once a day. * The usual long term dose is 20 mg each day, taken in one or two doses. * The maximal long term dose is 40 mg each day, divided in two doses. Patients with kidney problems * Moderate kidney problems - 5 mg to 10 mg each day. Your dose of medicine will be changed depending on how well your kidneys are working: * Severe kidney problems - 2.5 mg each day. * If you are having dialysis - 2.5 mg each day. On days you are not having dialysis, your dose may be changed depending on how low your blood pressure is. Elderly patients Your dose will be decided by your doctor, and will be based on how well your kidneys are working. Use in Children The usual starting doses are: Use of Enalapril tablets in children with high blood pressure is limited. If the child can swallow tablets, the dose will be worked out using the child's weight and blood pressure. * between 20 kg and 50 kg – 2.5 mg each day. * more than 50 kg – 5 mg each day. The dose can be changed according to the needs of the child: * a maximum of 40 mg daily can be used in children who are more than 50kg. * a maximum of 20 mg daily can be used in children who are between 20 kg and 50 kg. This medicine is not recommended in new-born babies (first few weeks after birth) and in children with kidney problems. If you take more Enalapril Tablets than you should If you take more Enalapril Tablets than you should, talk to your doctor or go to a hospital straight away. Take the medicine pack with you. The following effects may happen: feeling of light-headed or dizziness. This is due to a sudden or excessive drop in blood pressure. If you forget to take Enalapril Tablets - - Take the next dose as usual. - If you forget to take a tablet, skip the missed dose. - Do not take a double dose to make up for a forgotten dose. If you stop taking Enalapril Tablets Do not stop taking your medicine unless your doctor tells you to. If you have any further questions on the use of this product, ask your doctor or pharmacist. 4. Possible side effects Like all medicines, this medicine can cause side effects, although not everybody gets them. The following side effects may happen with this medicine: Stop taking Enalapril Tablets and talk to a doctor straight away, if you notice any of the following: - swelling of your hands, feet or ankles - swelling of your face, lips, tongue or throat which may cause difficulty in breathing or swallowing - if you develop a raised red skin rash (hives). You should be aware that black patients are at increased risk of these types of reactions. If any of the above happen, stop taking Enalapril Tablets and talk to a doctor straight away. When you start taking this medicine you may feel faint or dizzy. If this happens, it will help to lie down. This is caused by your blood pressure lowering. It should improve as you continue to take the medicine. If you are worried, please talk to your doctor. Other side effects include: Very Common (may affect more than 1 in 10 people) * blurred vision * Feeling dizzy, weak or sick. * Cough. Common (may affect up to 1 in 10 people) * Headache, depression, fainting (syncope), * Light-headedness due to low blood pressure, changes in heart rhythm, fast heartbeat, angina or chest pain. * Change in sense of taste, * Diarrhoea, abdominal pain * Shortness of breath * Tiredness (fatigue), depression, * rash, allergic reactions with swelling of the face, lips, tongue or throat with difficulty in swallowing or breathing * High levels of potassium in the blood, increased levels of creatinine in your blood (both are usually detected by a test). Uncommon (may affect up to 1 in 100 people) * Sudden fall in blood pressure, * flushing * Fast or uneven heart beats (palpitations), * heart attack (possibly due to very low blood pressure in certain high-risk patients, include ing those with blood flow problems of the heart or brain) * Anaemia (including aplastic and haemolytic), * stroke (possibly due to very low blood pressure in high-risk patients) * feeling your skin prickling or being numb * Confusion, sleeplessness or sleepiness, nervousness, * Pins and needles, * Ringing in your ears (tinnitus), * Vertigo (spinning sensation) * Runny nose, sore throat or hoarseness, * Slow movement of food through your intestine (ileus), inflammation of your pancreas * Asthma- associated tightness in chest * Being sick (vomiting), indigestion, constipation, anorexia, * impaired kidney function, kidney failure * Irritated stomach (gastric irritations), dry mouth, ulcer, * increased sweating * Increased perspiration, * itching or nettle rash * Loss of hair, * High level of proteins in your urine (measured in a test), * Muscle cramps, generally feeling unwell (malaise), high temperature (fever), Impotence, * Low level of blood sugar or sodium, high level of blood urea (all measured in a blood test). Rare (may affect up to 1 in 1,000 people) * Changes in blood values such as a lower number of white and red blood cells, lower haemoglobin, lower number of blood platelets * 'Raynaud's phenomenon' where your hands and feet may become very cold and white due to low blood flow * Bone marrow depression * Autoimmune diseases * swollen glands in neck, armpit or groin * Strange dreams or sleep problems * Inflammation of your nose * accumulation of fluid or other substances in the lungs (as seen on X-rays) * inflammation of the lungs causing difficulty breathing (Pneumonia) * Lower amount of urine produced * Inflammation of the cheeks, gums, tongue, lips, throat * rash that looks like targets (erythema multiforme) * 'Stevens-Johnson syndrome' and 'toxic epidermal necrolysis' (serious skin conditions where you have reddening and scaling of your skin, blistering or raw scores), exfoliative dermatitis/erythroderma (severe skin rash with flaking or peeling of the skin), pemphigus (small fluid-filled bumps on the skin) * Enlargement of the mammary glands in males (gynaecomastia). * liver or gallbladder problems such as lower liver function, inflammation of your liver, jaundice (yellowing of the skin or eyes), high levels of liver enzymes or bilirubin (measured in a blood test) Very Rare (may affect up to 1 in 10,000 people) * Swelling in your intestine (intestinal angioedema). Not known (frequency cannot be estimated from the available data) * A symptom complex has been reported which may include some or all of the following: fever, inflammation of the blood vessels (serositis/vasculitis), muscle pain (myalgia/myositis), joint pain (arthralgia/arthritis). Rash, photosensitivity or other skin manifestations may occur. * overproduction of antidiuretic hormone, which causes fluid retention, resulting in weakness, tiredness or confusion Reporting of side effects If you get any side effects, talk to your doctor, pharmacist or nurse. This includes any possible side effects not listed in this leaflet. You can also report side effects directly via the Yellow Card Scheme. Website: www.mhra.gov.uk/yellowcard or search for MHRA Yellow card in the Google play or Apple App Store By reporting side effects you can help provide more information on the safety of this medicine. 5. How to store Enalapril Tablets * Do not store above 25°C. Store in the original package. * Do not use this medicine after the expiry date which is stated on the label or carton. The expiry date refers to the last day of that month. * Keep this medicine out of the sight and reach of children. * Do not throw away any medicines via wastewater or household waste. Ask your pharmacist how to throw away medicines you no longer use. These measures will help protect the environment. 6. Contents of the pack and other information What Enalapril Tablet contains * The active substance is Enalapril maleate. * The other ingredients are lactose, maize starch and glycerol distearate. (see section 2 for Important information about some of the ingredients of Enalapril tablets). What Enalapril Tablets looks like and contents of the pack * Enalapril 5 mg tablets are white, circular, biplaner, uncoated, with '5' embossed on one face and score line on the other. * Enalapril 10 mg tablets are white, circular, biplaner, uncoated, with 'l0' embossed on one face and score line on the other. * Enalapril 20 mg tablets are white, circular, biplaner, uncoated, with '20' embossed on one face and score line on the other. Enalapril tablets are available in blister pack of 28 tablets. Marketing Authorisation Holder and Manufacturer Accord Healthcare Limited, Sage House, 319 Pinner Road, North Harrow, Middlesex, HA1 4HF, United Kingdom Enalapril 5mg Tablets (PL 20075/0279) Enalapril 10mg Tablets (PL 20075/0280) Enalapril 20mg Tablets (PL 20075/0281) POM This leaflet was last revised in 11/2020.
"All of the places of our lives are sanctuaries; some of them just happen to have steeples. And all of the people in our lives are saints; it is just that some of them have day jobs and most will never have feast days named for them." Robert Benson "The challenge of the saints of the twenty-first century is to begin again to comprehend the sacred in the ten thousand things of our world; to reverence what we have come to view as ordinary and devoid of spirit." Edward Hays Secular Sanctity The Worship of God All Saints' Sunday WELCOME TO THIRD PRESBYTERIAN CHURCH We are grateful for your presence this morning. Third Church strives to be a faithful, open and inclusive congregation. We are a diverse people united by a common faith in Jesus Christ and by meaningful worship and service. We invite all who are seeking to live a life of Christian faith and discipleship to join us. If you are new to Third Church, the following information may be helpful. Parking on Sunday Mornings: Street parking is possible on both sides of East Avenue. On Sundays, the Arnold Park parking lot is available for handicap parking only. Other parking is available in the Meigs Street parking lot and can also be found at: * Jewish Community Federation (Sibley Place) Church School: is available for children, preschool through sixth grade, during the 10:45am worship service. Children should report to their classrooms in the Education Building before the service at 10:40am this morning. * American Association of University Women * Rochester Area Community Foundation In the event of a Medical Emergency, please notify an usher or staff member. An AED and first aid supplies are located in the hallway between the sanctuary and elevator. Hearing Assistance: The Chapel and Sanctuary are equipped with induction loop systems. Use the "T-switch" of your hearing aid. If you have difficulty hearing during the worship service, please speak with an usher immediately. An Elevator is located at the Parish HouseEducation Building junction to assist in accessibility. Large Print Bulletins and Bibles are available from the ushers. Hymnals and Bibles are located in the pew racks. Child Care is available all morning in the Education Building for infants and toddlers. Pastoral Care: needs and prayer concerns may be communicated to Ernest Krug. More about Membership: If you are interested in joining Third Church, or just want to know more, contact Lynette Sparks (271-6537, ext. 106 or firstname.lastname@example.org). The next Exploring Membership Luncheon will take place Sunday, December 9 at 12:00pm. Newsletter: The Messenger is published monthly. Copies are available in the Chapel and Sanctuary, in the literature racks outside Johnston Hall and the Arnold Park entrance, and on the church website. If you are interested in receiving the newsletter, contact Cindy Mark in the Church Office (ext. 100 or email@example.com). A WORD ABOUT THIS CHURCH THIRD CHURCH participates in the Presbyterian Church (USA) Commitment to Peacemaking. Our intention is to pursue avenues of peace and justice for ourselves, our families and communities, for all people in the world in which we live. We seek to be agents of reconciliation. THIRD CHURCH has joined with other Presbyterian congregations in declaring ourselves to be a "More Light" church. We are committed to the full participation of all persons in our church community without regard for sexual orientation, personal background or human condition. www.thirdpresbyterian.org @ThirdChurchROC "Third Presbyterian Church" DOXOLOGY Preparation for Worship We come to worship from a busy and noisy world. As we prepare to offer ourselves in praise and adoration of God, it is important that we step back from our preoccupations and focus our thoughts on God. We ask that you please silence all electronic devices. As the music begins, please take time to become more aware of the continuing presence of God. Please stand as yo u are able, in body or in spirit. PRELUDE "Alléluias sereins d'une âme qui desire le ciel" (Serene alleluias from a soul longing for Heaven) (Please stand as the organ introduction begins) Praise God, from whom all blessings flow; Praise God, all creatures here below; Praise God above, ye heavenly host; Praise Father, Son, and Holy Ghost. CALL to WORSHIP LEADER: Sing to the Lord a new song. PEOPLE: Let all the faithful praise God. LEADER: This is the day that the Lord has made. PEOPLE: Let us rejoice and be glad in it. HYMN 327 "From All That Dwell Below the Skies" Olivier Messiaen OLD HUNDREDTH LASST UNS ERFREUEN PRAYER of CONFESSION Eternal God, in every age you have raised up people to live and die in faith. We confess that we are indifferent to your will. You call us to proclaim your name, but we are silent. You call us to do what is just, but we remain idle. You call us to live faithfully, but we are afraid. In your mercy, forgive us. Give us courage to follow in your way, that joined with those from ages past, who have served you with faith, hope and love, we may inherit the kingdom you promised in Jesus Christ. Amen. SILENT PRAYER KYRIE ASSURANCE OF PARDON LEADER: Friends, believe the good news. PEOPLE: In Jesus Christ, we are forgiven. RESPONSE WORDS of WELCOME We ask that you sign the Friendship Pad and pass it to the person next to you in the pew. Please greet those worshipping with you at the close of the service. OLD TESTAMENT LESSON — Ruth 1:1-18 Pew Bible, OT page 241 LEADER: The Word of the Lord. PEOPLE: Thanks be to God. ANTHEM SERMON HYMN 731 "And I Saw A New Heaven" And I saw a new heaven and a new earth: For the first heaven and the first earth were passed away; and there was no more sea. And I John saw the holy city, new Jerusalem, coming down from God out of heaven, prepared as a bride adorned for her husband. And I heard a great voice out of heaven, saying, 'Behold, the tabernacle of God is with men, and he will dwell with them and they shall be his people, and God himself shall be with them and be their God. And God shall wipe away all tears from their eyes; And there shall be no more death, neither sorrow nor crying, neither shall there be any more pain, for the former things are passed away. - Revelation 21:1-4 PRAYER OF REMEMBRANCE Eternal God, neither death nor life can separate us from your love. Grant that we may serve you faithfully here on earth, and in heaven rejoice with all your saints who ceaselessly proclaim your glory; through Jesus Christ our Lord, who lives and reigns with you and the Holy Spirit, one God, forever and ever. Amen. Jean Campbell Cynthia Coupal Ann Garrett Newton H. Green Angela Johnson Sarah Lunt Pete Merrill Virginia Norton The Rev. Donald Roth Mary Schwertz Betsy Stanton Natalie Stewart Judith Stonehill Lois Tomlinson Barbara von Berg "Where You Go…" John Wilkinson "Give Thanks for Those Whose Faith Is Firm" REPTON During this hymn, children in first grade and older will return to worship to be present for the Sacrament of Communion. The gathering of the servers. AFFIRMATION OF FAITH Apostles' Creed I believe in God, the Father Almighty, Maker of heaven and earth, And in Jesus Christ, his only Son, our Lord: Who was conceived by the Holy Ghost, born of the Virgin Mary, suffered under Pontius Pilate, was crucified, dead, and buried; he descended into hell; the third day he rose again from the dead; he ascended into heaven, and sitteth on the right hand of God the Father Almighty; from thence he shall come to judge the quick and the dead. I believe in the Holy Ghost; the holy catholic church; the communion of saints; the forgiveness of sins; the resurrection of the body; and the life everlasting. Amen. FOCUS on STEWARDSHIP PRESENTATION of OFFERINGS In addition to the regular offering, today we receive our monthly special offering to support the People's Emergency Fund, which is used to help those who come to us in financial distress, especially those who face eviction or utility shut-offs. Each month we are forced to turn some people away because funds have been depleted; your donations enable more assistance to people in need. Envelopes are in the pew racks. Thank you for your generosity. ANTHEM "A Prayer of the Middle Ages" Howard Hanson We declare unto all the ages as the greatest marvel, Ere there were hills and trees or the mighty ocean, Ere the sunlight shone forth, or the moon cast its beams, When naught was, from end to end, There wert Thou, O God, Thou almighty God, from time unknown to time unknown, Eternal God, Thou almighty God, Thou who madest Heav'n and Earth, Give through Thy holy blessing Faith unending Give to us wisdom, prudence and strength, That Thy will we may do. Amen. -8th century poem (trans. James Francis Cooke) RESPONSE THE SACRAMENT of THE LORD'S SUPPER At the time of communion, ushers will invite you to come forward via the center and side aisles. Take a piece of gluten free bread from the server, dip it in the cup which contains grape juice, and partake as you are served. Return to your seat via the side aisle. If moving forward is difficult for you, a team of servers will come to you to serve the communion elements. INVITATION TO THE LORD'S TABLE GREAT PRAYER OF THANKSGIVING LEADER : The Lord be with you. PEOPLE: And also with you. LEADER : Lift up your hearts. PEOPLE: We lift them to the Lord. LEADER : Let us give thanks to the Lord our God. PEOPLE : It is right to give our thanks and praise. * SANCTUS THE LORD'S PRAYER Our Father who art in heaven, hallowed be thy name. Thy kingdom come, thy will be done, on earth as it is in heaven. Give us this day our daily bread; and forgive us our debts, as we forgive our debtors; and lead us not into temptation, but deliver us from evil. For thine is the kingdom and the power and the glory, forever. Amen. THE WORDS OF INSTITUTION SHARING THE BREAD AND THE CUP MUSIC DURING COMMUNION Please join the choir in singing Hymn 495, "Thee We Adore, O Hidden Savior, Thee" and Hymn 515, "I Come with Joy" PRAYER AFTER COMMUNION God of glory, in this holy feast you have made us one with Christ and with that great multitude of the faithful – those who hunger and thirst no more and worship night and day in your temple. Lead us in the paths of righteousness and guide us to the springs of the water of life, until we join the choir of the redeemed. Through Jesus Christ our Lord. Amen. HYMN 326 "For All the Saints" SINE NOMINE CHARGE and BENEDICTION CHORAL BENEDICTION "Amen" GREETING POSTLUDE Phillip E. Baker Junior Choir th "CROFT'S 136: Ye boundless realms of joy" C. Hubert H. Parry The chancel flowers this morning are given in loving memory of L. Alfreda Hill. The memorial prayer candle is lit in living memory and with deep gratitude for Third Church members who have died in the past year. PARTICIPANTS IN THIS MORNING'S SERVICE Sunday Seminar MINISTRY, SERVICE, AND FELLOWSHIP OPPORTUNITIES Visits for Sharing and Listening Today at 9:30am in Johnston Hall "The Big Picture of the Presbytery of Genesee Valley," led by Amy Williams Fowler, Presbytery Leader Sunday November 11: "All Abilities Inclusion at Third Church," led by Ernest Krug and friends. Living in the Word Today at 9:30am in the Parlor: led by Ernest Krug. Sunday November 11: led by Dianna Daunton. Stewardship Update Stewardship Sunday is November 18. Please read the "In Touch" section of the November Messenger for information on this year's campaign. Watch your mail for your 2019 pledge card. Monday Night Yoga Monday, November 5, 6:30pm Johnston Hall Join us for this free class! All levels welcome. Thursday Voices Thursdays in Johnston Hall at 12:00pm November 8: " Hymns of Thanksgiving," led by John Wilkinson. East Avenue Grocery Run share how much money was raised and how much food was collected. In the meantime we are grateful for the opportunity to share with our neighbors in need and for those who put so much love and energy into this event. A big THANK YOU to all who ran, walked, cheered, volunteered, sponsored and donated to make our ninth annual Grocery Run a success. In the coming weeks we will During the fall, friends and members of the Stewardship Committee will be continuing a visitation project begun last year. The purpose of the meetings is to gather stories and feedback about Third Church and its place in our lives, and to talk about supporting the future of the church. Some of you have received a letter explaining more about the program and asking for your participation. Everyone's input is valuable, but not everyone will be reached this fall—those who do not get a letter now will be reached at a later date. Thank you for supporting this effort! November Children's Ministry Newsletter The November Children's Ministry newsletter was emailed to families on Wednesday October 31. In the shifting of our e-mail platform, we have re-built that mailing list--so if you did not receive it, and would like to be added to the mailing list, please contact Becky D'Angelo-Veitch at firstname.lastname@example.org. Elvis to Elton Friday November 9, 6:00pm-8:30pm, Celebration Center For those age 60 and over! You are invited to take part in the fun and fellowship, and to enjoy great food at this dinner. Enjoy the entertaining program, "Down Under," presented by Bob Crumrine. Just bring a dish to pass (based on your last name: A - G main dish, H - R dessert; S - Z salad). The event is free. Please RSVP to Elizabeth Woodard at 3814427 or email email@example.com. United with Music Benefit Concert Saturday November 10, 3:00pm, Sanctuary Donation at the door Famed classical guitarist Ayman Jarjour will perform with Eastman School of Music guitarists Ken Luk, Erik Gibelyou and Bernardo Marcondes in a benefit concert that will support two local charities helping refugees: Refugees Helping Refugees and Mary's Place. Jarjour is from Syria and was educated at the Royal Conservatory of Music in Madrid, Spain and The Juilliard School in New York. Veterans Day Event Sunday, November 11, following the 10:45am Service, Johnston Hall "Serving in the Military: Sharing Our Stories" To continue our Year of Stories and to mark the 100th anniversary of Armistice Day, all who have served in any way in the military are invited to a gathering following 10:45 a.m. worship on November 11. A light lunch will be served (please call the church office to reserve a space). Attendees will be invited to share their own personal stories. This will be a good opportunity to connect with others and to remember individual and collective experiences. James Moore will serve as convener for the gathering. Please join us that day for what will be an important time of remembrance and recognition. Our Next RAIHN Rotation Starts November 11 Can you help fill these spots? Please sign up for our upcoming RAIHN rotation: www.thirdpresbyterian.org/raihn. Dinner: Saturday November 17 at 4:00pm (evening host), Dinner Greeters: Monday November 12, Wednesday November 14, Thursday November 15 at 5:00pm, Kid sitting: Monday November 12, during Life Skills class 6:45pm-8:15pm (need 2) Additional help needed Sunday November 18: 9:00am-10:00am, take down (10 needed), 9:15am– 11:30am, host for 3rd floor lounge, 10:30am– 12:00pm, Sunday School "traffic monitor," 11:00am-1:30pm, Pizza Lunch/closedown (need 1), 1:15pm-2:00pm, take down in youth lounge (need 3) If you have any questions please contact Laurie Mahoney at firstname.lastname@example.org or Lou Loggi at email@example.com. Trans Day of Remembrance Service Tuesday November 20, 7:00pm Martin Luther King Park The More Light Committee invites you to the annual Trans Day of Remembrance Service, remembering all those impacted by violence in the trans community, including those who have been killed in the past year. Interfaith Thanksgiving Service Thursday November 22 (Thanksgiving Day), 11:00am First Baptist Church in Brighton Join us for one of the oldest continuous services in the nation. All are welcome. Tutors Needed It's not too late to become a tutor! We are still looking for a few more tutors to fill substitution spots and to work with those approaching middle school in fifth and sixth grades at School #35. If you are interested, contact School #35 tutoring coordinator Melanie Jones at firstname.lastname@example.org. Christmas Basket Sign Up It's that time of year again – Christmas Basket signups! Please come by the Christmas Basket table each Sunday in November to sign up to purchase, pack, and deliver a Christmas Basket for local families from schools #3 and 35 and RAIHN graduates. Monetary donations can also be made to purchase gift cards that accompany each basket. We also will be collecting girls' and boys' undies, socks, and tights, and all sizes mittens and hats for the children from both schools and RAIHN. For more information, please feel free to contact Meg Bishop at email@example.com or 864-423-7069. Would You Like to be a Liturgist? Would you like to be a reader at the 10:45am service? We are beginning to make the liturgist schedule for the new year and would love to welcome new readers. Please email pastoral administrator Emily Blecksmith at firstname.lastname@example.org if you have questions or would like to sign up. Food Cupboard Needs Your Support Once Again! Thank you to everyone who faithfully brought jars of peanut butter for our Food Cupboard. Our shelves are well stocked again. We would appreciate your continuing help with BOXES OF CEREAL. Wifi Password If you would like to connect to the "TPC-Guest" network, the password is "WelcometoThird!" Please note the password is case sensitive. The upgrade in wireless signal strength is part of the overall technology upgrade taking place here at Third Church. Help Us Build Community on Social Media Calling all Facebook friends! If you haven't yet, please like and follow the Third Presbyterian Church Facebook page and also join the Third Church Community Facebook group. Because Facebook is such a powerful tool for ministry in the digital age, we are launching a more intentional presence on the platform to reach more people. Now you have more opportunities to engage, reflect, and share than ever before. Updates to Third Church's Twitter and Instagram feeds will be next. Join us online at @ThirdChurchROC. Additionally, if you are not on our email distribution list to receive weekly updates, please contact Cindy Mark at email@example.com. Third Church Has Mobile and Online Giving Donating has never been easier! 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Strategic Development Considerations Le Sueur, Minnesota Developed for Southern Minnesota Initiative Foundation's Rural Entrepreneurial Venture (REV) Community Coach Linda Wallace Community REV Coach email@example.com 507.389.8889 Introduction The e2 Entrepreneurial Ecosystems believes in empowering research – making data-driven decisions about economic development to be more strategic and, ultimately, create the kinds of economic development outcomes and long-term community or regional prosperity you desire. We work hard to build tools and resources that communities can use to access and understand data and turn that raw information into knowledge you can apply in your community. This Strategic Development Considerations is one of our Getting Started Tools. This profile was prepared for Le Sueur & Sibley Counties in Minnesota by e2, for our partner, Southern Minnesota Initiative Foundation's Rural Entrepreneurial Venture (REV). Using Our Strategic Development Considerations Our Strategic Development Considerations Paper is meant to be used as a conversation starter in your community or region. We believe that the best development decisions are made after a thorough assessment of your assets and opportunities. This Profile provides one set of information to get you started. We encourage you to share this profile with a diverse group of community and regional stakeholders and residents. The data shared here will be enriched by conversations with a range of partners who bring new and unique perspectives on your economy and opportunities. An entrepreneur is likely to look at this information from a different perspective than a community banker or county commissioner. Yet, these perspectives can help you establish a better understanding of your starting point and create the space for you to dream about what might be possible in your county going forward. Le Sueur Quick Summary We have pulled updated data from Esri to provide a quick summary of Le Sueur, Minnesota. All of this data is for zip code areas 56044, 56057, 56058, and 56082 that includes the municipality of Le Sueur and its adjoining countryside residents and businesses. Location and Demographic Summary. We have provided a quick location and demographic summary for your community. Le Sueur straddles both Le Sueur and Sibley Counties. We have produced Development Opportunity Profiles for both Le Sueur and Sibley Counties. Le Sueur is urbanizing and part of the greater Twin Cities metropolitan area. Esri is projecting relatively strong population growth for the 2018 through 2023 period for both Le Sueur and Sibley Counties at 0.26% per year. This growth rate could accelerate with stronger push out from the Twin Cities. Business Sector and Employment Summary. We have also provided from Esri data a quick business and employment profiles for your community. Note, Esri data may underestimate your overall venture community but it is a starting place for understanding your economy. Retail MarketPlace Summary. A Retail MarketPlace Profile from Esri is also included. We will address this data later in our considerations. Other Available Data for Your Community. We have pulled additional community level data from Esri and the U.S. Census that is available through your Electronic Library. Work with your REV Coach or feel free to reach out to Don at firstname.lastname@example.org for help with accessing this information. Feel free to post your questions and we can work to see if our research can provide addition data and analysis that is helpful to your community's development efforts. The following section provides community data for Le Sueur, Minnesota. This data is for your community's immediate area. More specific and detailed data is available through your REV Community Coach and the e-library. Le Sueur, MN The map highlights the community region of Le Sueur, Minnesota. The community-level data has been pulled at the zip code level. Le Sueur is identified as the region including the following five zip codes: 56011, 56044, 56057, 56058, 56082. Figure 1 - Le Sueur, MN Demographic Profile 2010 Population – 34,378 Households – 12,154 Median Age – 34.2 Years Average Household Size – 2.58 2018 Projected Pop – 35,735 2023 Projection Pop – 37,013 Projected 2018-2023 Growth Rate = +0.71% per year The following are some considerations: * Give some thought as to what defines your community. Consider not only residents and ventures located within municipal boundaries, but also residents and ventures located in your immediate area. We have worked with your REV Team to define your community inclusive of four Zip Codes. * Your community continues to have a substantial and growing population and market capable of supporting a relatively diverse economy and society. * The Twin Cities are projected to continue growing pushing its footprint out into communities like Le Sueur. This metro and regional growth will create development opportunities for your community. Persons and businesses seeking proxcimity to the Twin Cities but outter urban locations and costs will find Le Sueur a potential option. Figure 2 – Esri Business and Employment Profiles for Le Sueur, MN \| Le Sueur, MN Business Summary Total Businesses – 1,171 Businesses per 1,000 Residents Le Sueur – 33 Le Sueur County – 35 Minnesota – 37 U.S. – 77 Total Employees – 12,759 Employees per 1,000 Residents Le Sueur – 357 Le Sueur County – 349 Minnesota – 574 U.S. – 447 \| Percent of Total Sector Ventures Employees Employees \| \|---\|---\| \| \| Agriculture 42 135 1.1% Mining & Utilities 3 11 0.1% Construction 106 510 4.0% Manufacturing 43 1,367 10.7% Wholesale Trade 37 491 3.8% Retail Trade* 139 1,491 11.7% Transportation & Warehousing 37 479 3.8% Information 18 99 0.8% Finance & Insurance* 68 414 3.2% Real Estate 52 129 1.0% Professional Services 63 414 3.2% Management & Administrative 28 133 1.0% Education 44 2,107 16.5% Health Care 103 1,881 14.7% \| \| \| Arts, Entertainment & Recreation 31 371 2.9% Accommodations 10 107 0.8% Food Service 56 824 6.5% Hospitality Sector** 97 1,302 10.2% \| \| \| Other Services 154 816 6.4% Public Administration 94 974 7.6% Unclassified Establishments 43 6 0.0% \| \| \| Total 1,171 12,759 100% \| Some considerations regarding your venture economy: * It is important to note that there are multiple sources that provide venture and employment information. The Esri resource tends to count more established ventures and therefore fewer ventures when compared to other sources. * Le Sueur has 33 ventures per 1,000 residents compared to Minnesota's 37 and the U.S. benchmark of 77 ventures per 1,000 residents. This data suggests a substantial venture community and related development opportunities. * Referring to Figure 3 on the next page Le Sueur has a 2018 retail spending leakage of nearly $92 million. Given your community's size and location, this is a reasonable leakage rate. However, there are opportunities for capturing additional spending leakage. If just 5% of this spending leakage was capture by local businesses an additional $4.6 million in retails sales could be localized contributing to increased local sales taxes and up to seven to 60-70 net new jobs. Figure 3 - Retail MarketPlace Profile, Le Sueur, MN, 2018 Le Sueur Strategic Development Considerations Location Considerations and Growth Potential Le Sueur is rooted in two Minnesota counties – Le Sueur and Sibley counties. Le Sueur is urbanizing and more industrial. Sibley County is more rural and has a higher relative dependence on production agriculture. Le Sueur's location relative to the growing Twin Cities metroplex is a significant development opportunity. Le Sueur is part of the outer footprint of the Twin Cities. Your community offers more affordable space for development and a more rural and lower density landscape for both residents and businesses. Tracking Twin City development and working pro-actively with developers will position your community for optimal, but smart urbanizing development. Finally, we suggest, doing some longer-term population scenarios with the Twin Cities regional planning authority. These scenarios could help your community explore how Twin City growth could impact your community over time, allowing you to be more intentional and pro-active in your planning and management of growth. Focusing on Younger Adults and Retiring Boomers. Figures 4 and 5 in your two county Development Opportunity Profiles, provide age cohort change data developed by Dr. Ben Winchester at the University of Minnesota. This data suggests a strengthening of your population structure. We suggest focusing development efforts on attracting and retaining two critical age cohorts: 25- to 45-year-olds and retiring Boomers. Increasing your 25- to 45-year-old population will increase your population of youth and young children, add to available workforce, and increase your consumer base. This demographic will position your community to stabilize your population and move towards modest growth over time. More on the retiring Boomers later in our analysis. For demographic renewal to occur, it is foundational that your community pursue a development approach that increases job/career opportunities and enhances quality of life placemaking that is competitive for both younger adults, young families, and retiring Boomers. Growing a Stronger Economy and Community Your Historic Economy. Like other rural communities in America's heartland, your community's historic economic rationale was to serve farmers in your area. Production agriculture continues to be an important building block of your economy. Over time, your community became an area trade center providing government, health care, and other services along with retail trade and entertainment offerings. With World War II and the post-war period spurring the movement of manufacturing to America's heartland, your economy was diversified by manufacturing and other industry. Finally, your location relative to the Twin Cities metroplex is now driving development. Your Future Economy? Production agriculture, manufacturing, and trade center functions are all being stressed today in much of America. Automation, consolidation, and intense external competition is challenging all of these sectors. The potential for urbanization is possibly the greatest opportunity and threat to your community's longer-term development. As a community located in a growing region, you have more opportunities when compared to more traditional rural communities. Both Le Sueur and Sibley Counties have the same top five economic drivers based on 2017 household earnings: 1. Commuters (persons living in these counties but working outside of these counties) 3. Manufacturing 2. Retirees 4. Government (including public education) 5. Construction All five of these economic drivers are seeing very strong growth over the 2001 through 2017 period. Your economic structure reflects both legacy and new economy. Our analysis suggests the following development opportunities for your community: Core development opportunities are tied to retiring commutes, retiring Boomers (and associated health care), larger employer retention and expansion (particularly manufacturing) and regional economic growth, becoming more competitive in capturing area spending and diversifying your economy through fostering entrepreneurship and growing rooted, area-owned small and medium sized entrepreneurial ventures. More on these opportunities to follow. Commuters. Your community is part of the Twin Cities metroplex economy and society as illustrated by your strong commuting activity. Resident commuters (live in your county but work outside of the county) are your largest source of household earnings in 2017 at $769 million (both counties). This kind of commuting has grown by a very strong 93% between 2001 and 2017. Focusing now on just Le Sueur County, inflow from personal income (live in the county and work outside of the county) has grown from $210 million in 1990 to $468 million in 2010 and $546 million in 2016. Outflow of personal income (live outside of the county by work in your county) grew between 1990 and 2010 from $83 million to $296 million and moderated to $295 million in 2016. Overall in 2016, the Bureau of Economic Analysis estimates a net commuting income gain of $78 million in 2016. The Census Bureau also generates a commuter report (see your Electronic Library for details) based on 2015 data. For this year, Census estimates that 4,310 workers live outside of your county but commute into the county for work on a regular basis. Another 4,133 workers live and work in your county, and 10,844 workers (56% of all workers) live in your county but work outside of your county. In addition to focusing on this as a development reality, there are two potential development opportunities rooted in your commuter economy. 1. Bedroom Community Opportunities. Your community is already home to many residents who work outside of your community. Sometimes, we call this pattern a "bedroom" community. Despite working somewhere else, "bedroom" residents have housing, use schools, spend money, and are active in your community. Growth in the regional economy, particularly in adjacent employment hub communities, will increase potential development opportunities for your community. By supporting housing, child care, schools, and other amenities, you can potentially further your development for commuter residents. 2. Source of Entrepreneurial Energy. There is a type of lifecycle associated with commuting, particularly among those commuters who are travelling longer distances. Younger commuters are willing to accept lengthy commutes, because they are early in their work and are willing to make sacrifices for their careers. But as commuters age and start to have children or are caring for elders, the "price" of commuting increases. Additionally, as commuters age, they are acquiring experiences, skills, education, and other assets that give them more work and career options. For some commuters, getting off the road becomes an important goal. These commuters may make the choice to move or locate where they work. Or, these commuters may choose to take work or engage in business closer to home. A potential source of entrepreneurial energy are aging commuters ready to start or buy a business in their hometown. 3. Retiring Boomers. Every day 10,000 Boomers are retiring, and this trend will continue for three decades. An important segment of retiring Boomers is moving back to more rural and smaller towns. These Boomers are seeking less congestion, safer communities, and a lower cost of living, but they are also looking for progressive communities that offer the right amenities such as 55 plus housing, strong recreational and cultural amenities, health care, and access to larger communities with airports and a wide range of desired amenities and cultural offerings. Right now, retirees are your community's second largest economic driver generating $613 million (both counties) in household earnings in 2017. This part of your economy grew by a strong 94% between 2000 and 2017. We recommend exploring retiree-related development options. Spending Capture. Total personal income for your two county in 2016 is $1.9 billion. Some of this income will be saved, invested, or spent elsewhere, but most of this income is available to be spent in your community. Estimated retail demand and supply is summarized in Figure 3, but this data is only a partial picture of potential area spending. In addition to retail spending, there is spending for health care, services, entertainment and recreation, and other activities. Over the years, rural spending markets have faced more competition first with mail order catalogues, then box stores, franchises, and now e-commerce. Corresponding with these trends, competition for local spending has resulted in growing spending leakages to outside competition undermining our main street economies. Your economy continues to have local health care, a relatively strong local finance and insurance sector, and fairly positive retail trade indicators. Retail trade, for example in Le Sueur County, is your seventh largest source of household earnings. Unlike many rural counties, Retail Trade is experiencing income growth between 2001 and 2017 rising by over 46%. Esri, for the community of Le Sueur (Figure 3) estimates that retail demand alone in your county is $458 million in 2018. Estimated supply from within your community is $366 million resulting in a retail trade gap alone of $92 million. If services and other spending activities were included, this value would be much larger. If just 5 percent of the retail gap in 2018 was captured by in-county businesses, an additional $4.6 million in spending could be captured, potentially creating 60 to 70 net new jobs. We encourage you to focus on helping your businesses become more competitive in capturing local spending through changes in offerings, competitive pricing, and most importantly services and hours that are convenient for your consumers. Also consider how you can help your area businesses become more competitive for spending associated with production agriculture, manufacturing, and larger employers like schools and health care. See our Wal-Mart Strategy Paper for more insight and ideas. Diversification through Entrepreneurs. Given likely trends with historic industries like agriculture and manufacturing, we suggest a primary development focus on fostering entrepreneurial ventures by supporting the entrepreneurs within them. Your community continues to be home to multiple locally-owned ventures. We suggest you consider four interrelated entrepreneurship development strategies: 1. Retirees. Retiring Boomers are looking to age at home for as long as they can. More affluent retiring Boomers are willing to pay for services that allow them to be active and engaged, while being safe in their homes and communities. One of the fastest growing segments of the American economy today is meeting the needs of retiring Boomers through the right housing, health care, recreation, travel, transportation, and home services. 2. Local Business Competitiveness. We have already touched on this point, but for your community, a strong focus on helping willing local businesses become more competitive in this increasingly competitive world is paramount. Local businesses can compete with larger box stores, franchises, and e-commerce in many ways. Your community development work can be pathway to knowledge and strategies that enable your locally-owned businesses to become more competitive and successful in this environment. 3. Transitions. For most rural communities, local businesses are largely owned by an older demographic. Too often, the decision to quit business results in a plan to liquidate inventory, close the business, and sell their building. This is the primary reason why we have so many vacant buildings in rural America. Transition assistance is hard and complex, but this is an area where your community may want to obtain assistance to help willing owners explore options that would result in successful business transition for the owners and your community. 4. Growth-Oriented Entrepreneurs. The numbers are low, but growth-oriented entrepreneurs (pg 16) are typically the sweet spot of economic development for most rural communities today. In every community, there are some entrepreneurs who have growth aspirations such as adding new products or services, reaching new markets, or adding new locations. When successful, these growth entrepreneurs not only create better ventures and more jobs, but they also create a wider range of jobs and careers through growing small, corporate headquarters. These entrepreneurial ventures also contribute to a stronger tax base and often attract critical community leaders and volunteers, as well as charitable support within your community. As you work with entrepreneurs in your community, also look for those with growth aspirations and plans. You may want to focus additional attention and support on these kinds of ventures. Quality of Life Placemaking The cornerstone of successful communities in 21 st Century America is human talent. Talented people drive economic prosperity. Communities that develop, retain, and attract talented people will be in the strongest position for success in the new economy and society. Talented people have choices and typically are more mobile than people with less education, skills, and experiences. Human talent is looking for unique communities that can meet their needs. While most talented people are attracted to denser urban places like the Twin Cities, Des Moines, or Omaha, not all talented people want big city lifestyles. For younger adults and younger families, there is a segment of these talented workers that is seeking smaller, rural communities. Out of necessity, they are choosing communities that offer jobs and careers, affordable housing, quality and affordable early childhood education and child care, and progressive communities. Many retiring Boomers are also seeking to move to communities with lower costs, the right amenities (like 55 plus housing and indoor recreational facilities), and less congestion. Focusing on smart and genuine quality of life placemaking is an essential part of overall rural community development today. A Note on Venture and Employment Data: In our Development Opportunity Profiles, we use three public and two private sources of venture and employment research and data. A detailed review of our profiles shows that values change and sometimes change dramatically based on the sources we are using. The following summarizes these sources and their unique attributes: Public Sources U.S. Bureau of Economic Analysis. BEA has very reliable data on private sector business establishments and associated employment. We use this source to profile both farm and nonfarm proprietorships. Proprietorships are typically locally owned and "main street" type smaller businesses. However, this kind of business organization can include small manufacturing, industrial, construction and other concerns. U.S. Bureau of Labor Statistics. BLS captures very accurate information on all establishments that have wage and salary workers based on workman's compensation filings. However, this source does not necessarily capture smaller self-employment ventures or proprietorships. U.S. Census Bureau. Census establishment and employment data is based on surveys. It is comprehensive but for smaller geographies, the sampling can result in potentially unreliable estimates. This source does include information on commuters, home-based and self-employed persons by economic sector. Private Sources Esri. We purchase data from Esri (www.esri.com), a national market research company. Esri data is very current and can be procured for almost any geographic unit. It estimates ventures and employment at considerable detail including profiles of potential market demand by detailed economic sector. However, the Esri data is not as comprehensive as compared to Your Economy data. Your Economy. The Your Economy (www.youreconomy.org) data is very comprehensive. The Your Economy data for ventures and jobs can be 20, 30 and even 40 percent higher as compared to the Esri data series. The Your Economy data set was created by the Edward Lowe Foundation and is now managed by the University of Wisconsin at Madison. We use all these sources as they provide unique insights into the economy of a particular geography. Understanding what each source is measuring and how the source is estimating data are important. Hopefully this information helps users understand differences in data shared in this profile. Other Sources All other data contained in this Development Opportunity Profile was obtained from the following: Esri ArcGIS Maps (bao.arcgis.com), 2019 Headwaters Economics (www.headwaterseconomics.org), 2019 U.S. Department of Agriculture, Census of Agriculture 2012 (quickstats.nass.usda.gov), 2019 Ben Winchester Brain Gain Databook, University of Minnesota Extension (obtained privately), 2016 About e2 Entrepreneurial Ecosystems The mission of e2 – Entrepreneurial Ecosystems is to help communities and regions connect, learn, and share best practices for building sustainable entrepreneurial ecosystems across North America. With more than 25 years of field experience, particularly in rural America, e2 is the preferred resource for communities of all sizes wanting to pursue prosperity. E2, formerly the national Center for Rural Entrepreneurship, is hosted by NetWork Kansas. To learn more about e2, go to www.energizingentrepreneurs.org. Don Macke – Regional Economist – e2-Entrepreneurial Ecosystems 770 North Cotner Blvd., Suite 400 – Lincoln, NE 68505 (402) 323-7336 How e2 Can Help e2 Entrepreneurial Ecosystems can help communities increase prosperity through entrepreneur-focused economic development and ecosystem building through: e2 Institutes. Explore our new generation of e2 Institutes where teams come together, learn from each other and explore the expanded world of strategies, tactics and resources needed in entrepreneurial ecosystem development work. Analytics Support. E2 helps communities and regions understand their entrepreneurial potential through research. A sampling of our research tools can be found here. National e2 Resource Network. e2 offers a resource network capable of connecting those seeking help with those who can help across North America. Mentoring. We mentor and coach new practitioners seeking to pursue entrepreneur-led development. Fostering the eMovement. We support the national entrepreneurship movement along with our partners including the Federal Reserve Bank of Kansas City, SourceLink, Edward Lowe Foundation, Kauffman Foundation, and NetWork Kansas. Together, we continue to advance the foundational ideas of building entrepreneurial ecosystems and entrepreneurship-led economic development. e2 Entrepreneurial Ecosystems (formerly the Center for Rural Entrepreneurship) is led by Don Macke, who has more than 40 years of community economic development and policy experience. We have a national team of practitioners, both inside and outside e2, who bring research, coaching, incubation, market intelligence and other expertise to this work. © Copyright 2019 e2 Entrepreneurial Ecosystems. The information contained in this document is the intellectual property of e2 Entrepreneurial Ecosystems and its parent organization, NetWork Kansas, or has been provided by a strategic partner for e2's use. Use of these materials is restricted to community or personal use unless otherwise approved in writing by e2. The resale or distribution of this material is prohibited without written permission of e2. Inclusion of this information in other documents prepared by the user requires written permission by e2 and must include appropriate attribution. For guidance and permission, contact Don Macke at 402-323-7336 or email@example.com.
IN THE Supreme Court of the United States ———— HALLIBURTON CO. AND DAVID LESAR, Petitioners, v. ERICA P. JOHN FUND, INC., FKA ARCHDIOCESE OF MILWAUKEE SUPPORTING FUND, INC., Respondent. ———— On Petition for a Writ of Certiorari to the United States Court of Appeals for the Fifth Circuit ———— REPLY FOR PETITIONERS ———— EVAN A. YOUNG BAKER BOTTS L.L.P. 98 San Jacinto Blvd. Austin, Texas 78701 (512) 322-2506 WM. BRADFORD REYNOLDS BAKER BOTTS L.L.P. 1299 Pennsylvania Ave., N.W. Washington, D.C. 20004-2400 (202) 639-7700 DAVID D. STERLING AARON M. STREETT Counsel of Record BENJAMIN A. GESLISON BAKER BOTTS L.L.P. 910 Louisiana St. Houston, Texas 77002 (713) 229-1234 firstname.lastname@example.org Counsel for Petitioners TABLE OF CONTENTS TABLE OF AUTHORITIES Page TABLE OF AUTHORITIES—Continued I N T HE Supreme Court of the United States ———— HALLIBURTON CO. AND DAVID LESAR, Petitioners, v. ERICA P. JOHN FUND, INC., FKA ARCHDIOCESE OF MILWAUKEE SUPPORTING FUND, INC., Respondent. ———— On Petition for a Writ of Certiorari to the United States Court of Appeals for the Fifth Circuit ———— REPLY FOR PETITIONERS ———— Nothing in the Fund's response prevents this Court from reconsidering Basic and conforming its holding to congressional intent, modern economics, and this Court's recent Rule 23 case law. Nor does the Fund justify ignoring the circuit split over price-impact rebuttal that the Court declined to reach the first time these parties were before it, and which Amgen left unresolved. I. BASIC SHOULD BE OVERRULED OR MODIFIED A. No "preservation" problem impedes reconsideration of Basic 1. Halliburton did not need to raise the validity of Basic with any lower court or in its response to the Fund's earlier petition to this Court. Br. in Opp. 25-30. The Fund cannot contradict this Court's repeated articulation of the "traditional rule * * * that '[o]nce a federal claim is properly presented, a party can make any argument in support of that claim; parties are not limited to the precise arguments they made below.'" Lebron v. Nat'l R.R. Passenger Corp., 513 U.S. 374, 379 (1995) (quoting Yee v. Escondido, 503 U.S. 519, 534 (1992)). Indeed, new arguments can even contradict old arguments, as in Lebron itself, where "Lebron did not raise this [new] point below; indeed, he expressly disavowed it in both the District Court and the Court of Appeals." Id. at 378. The Court readily permitted this "alternative argument," because it was "not a new claim * * * , but a new argument to support what has been his consistent claim," id. at 379. With Lebron foreclosing its most direct path to urging denial, the Fund contends that Halliburton somehow has been litigating for years without making "any claim" whatsoever. Br. in Opp. 29 (double emphasis in original). The Fund apparently believes that only plaintiffs have "claims" that can be supported by new arguments: "Here, the only claims in this case were brought by Plaintiff for violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934." Ibid. Unsurprisingly, no case supports the Fund's oddly constricted view of federal litigation. To the contrary, the Lebron-Yee line of cases makes clear that, for purposes of evaluating when new arguments are proper, both plaintiffs and defendants play by the same rules. Yee, for example, cites Bankers Life & Casualty Co. v. Crenshaw, 486 U.S. 71, 78 n.2 (1988). The Court there addressed a defendant's ability to raise new arguments, describing Bankers Life's challenge to a punitivedamages award as a "federal claim it now urges us to resolve." Id. at 77. It suggested no distinction between plaintiffs and defendants; whether any party could pursue additional arguments depended on preservation of that party's "federal question." Id. at 78 n.2. Accord PGA Tour, Inc. v. Martin, 532 U.S. 661, 678 n.27 (2001) (allowing defendant to raise a new argument in support of an "issue" that "was raised in the lower courts"). The "federal question" Halliburton has consistently pressed is that class certification is improper because individual issues predominate. That Basic should be overruled or modified is one of several arguments Halliburton has made to support that overarching federal claim. See Citizens United v. FEC, 558 U.S. 310, 329-331 (2010) (entertaining challenge to governing precedent, despite petitioner accepting precedent's validity below, because it was "a new argument to support what has been a consistent [First Amendment] claim"). 1 2. It follows that Halliburton was not required to ask the lower courts to overrule Basic. No lower court has any discretion to do so. See Rodriguez de Quijas v. Shearson/Am. Express, 490 U.S. 477, 484 (1989). Unsurprisingly, none of the Fund's waiver cases faulted a party for failing to ask a lower court (or this Court in a previous 1 The Fund cites two 111-year-old cases holding that parties cannot relitigate "the same questions" in consecutive cases in this Court. Br. in Opp. 25-26 (quoting United States v. Camou, 184 U.S. 572, 574 (1902)) (emphasis added). But the "question" in EPJ Fund was whether plaintiffs must prove loss causation at class certification—a question Halliburton does not seek to relitigate. When the Fund brought its petition in EPJ Fund, the class had never been certified, and the "question" presented did not encompass all potential challenges to a hypothetical future certification. Thus, nothing prevents Halliburton from raising those challenges now. Likewise, this Court's reference in EPJ Fund to "arguments" Halliburton had "preserved" referred only to the "remand" to the "Court of Appeals," 131 S. Ct. at 2187. See Br. in Opp. 27. EPJ Fund did not constrain Halliburton from making new arguments against certification on remand to the district court, given the new legal landscape, much less to the Fifth Circuit or this Court in future appeals, as specifically allowed by Lebron. appeal) to overrule Supreme Court precedent. After all, adding one sentence to a lower-court opinion summarily refusing to overrule Basic would hardly produce a better vehicle for this Court to resolve the question presented. Halliburton did raise Basic's validity in its en banc petition below, following the serious misgivings recently expressed in Amgen, Inc. v. Connecticut Retirement Plans and Trust Funds, 133 S. Ct. 1184 (2013). But it did not need to, and it properly presented that question in its petition here. 3. Nor does Halliburton's concession that its "stock trades in an efficient market," Br. in Opp. 23, bar this Court from reconsidering Basic. As with any large, NYSE-traded company, it would have been futile for Halliburton to contest that its stock meets Basic's binary, yes-or-no market-efficiency test. Halliburton does not seek to relitigate that question. Instead, Halliburton challenges the validity of retaining a classwide-reliance presumption triggered by a universally condemned binary market-efficiency test. Modern economics teaches that some markets are somewhat efficient some of the time with respect to some information. With no confidence that a given misrepresentation was reflected in the market price, it makes scant sense to presume that investors relied upon that misrepresentation just because the purchased stock trades in a well-developed market. See Pet. 16-17. This speculative presumption of common reliance issues cannot satisfy this Court's Rule 23 cases. Nor should it be allowed to substitute for the traditional eyeball-reliance requirement imposed by the common law and analogous federal securities statutes. Thus, Halliburton proposes that the Basic presumption be overruled altogether or replaced with a presumption triggered by a showing that the alleged misrepresentations actually distorted the market price. Halliburton's concession that its stock meets the flawed binary test for market efficiency cannot prevent Halliburton from challenging whether that very test is an adequate foundation for the legal edifice built upon it, much less from raising other arguments for why the Basic presumption should be overruled. 4. Amgen does not support the Fund's vehicle argument. In Amgen, no party asked the Court to revisit Basic. 133 S. Ct. at 1193 n.2. The Court declined to entertain concerns about the non-binary nature of market efficiency because Amgen "never clearly explain[ed] how this research on market efficiency bolsters its argument that courts should require precertification proof of materiality." Id. at 1197 n.6. Thus, after reviewing Amgen's concession of market efficiency, the Court "f[ou]nd nothing in the cited research that would support requiring precertification proof of materiality in this case." Ibid. Halliburton, by contrast, has squarely questioned Basic's continuing vitality on multiple grounds, including that the presumption should no longer be based upon an outdated binary conception of market efficiency. B. None of the Fund's other arguments presents any meaningful challenge to certiorari 1. Although the Fund feels obliged to defend Basic, it dodges the economic consensus by counterfactually claiming that Basic "based its adoption of the fraud-onthe-market presumption * * * primarily on congressional policy." Br. in Opp. 36-37. But Basic's (and the Fund's) gauzy invocations of congressional "policy" cannot hide its marked departure from statutory text and legislative history, or its inconsistency with this Court's otherwisecustomary reluctance to expand the judicially inferred 10b-5 cause of action. As Justice White's dissent, the petition, and the Former SEC Commissioners' amicus brief all demonstrate, the four-Justice Basic majority improperly substituted nascent economic theory for traditional legal analysis. While that theory was "characterized [before Basic] as having 'more solid empirical evidence supporting it . . . [than any] other proposition in economics,'" Bernard et al., Challenges to the Efficient Market Hypothesis: Limits to the Applicability of Fraudon-the-Market Theory, 73 Neb. L. Rev. 781, 782 (1994) (citation omitted), it now faces widespread criticism. Because neither congressional intent nor economic consensus supports Basic's core holding—and because Basic's presumption of classwide reliance conflicts with this Court's recent class-action decisions—Basic is ripe for reconsideration. The Fund ultimately does not contest the economic analysis described by Halliburton. See Pet. 13-18. Instead, the Fund simply asserts that "the semi-efficient market hypothesis continues to enjoy widespread support among economists." Br. in Opp. 37. Halliburton need not dispute that limited statement to observe, as many scholars have, that there is no economic basis to treat markets in particular securities in a binary fashion, as either "efficient" or "inefficient." See Pet. 16-17. Nor is there any legal basis to derive a classwide presumption of reliance from such a flimsy premise, without at least inquiring into whether the market price was actually distorted. Yet this is how Basic is applied, and the Fund neither denies nor defends it. The Fund notes that two scholars, while critical of Basic's economic analysis, personally support continuing to apply Basic's presumption for public-policy reasons. See Br. in Opp. 24 n.5. But it favors Halliburton, not the Fund, that scholars supporting expansive liability regimes nonetheless candidly attack Basic's economic foundations; it is akin to an admission against interest. See Pet. 16. This Court may use scholarship to inform itself, but need not adopt the political views of the scholar. 2. The Fund spends less than two pages disputing Halliburton's alternative view that Basic should be amended to require plaintiffs to prove price impact before invoking the presumption of classwide reliance. Such a modification would not impermissibly require plaintiffs to prove that they "would prevail on the merits in establishing reliance" at the class-certification stage. Br. in Opp. 40. Halliburton's proposal would simply ensure that there is a distorted market price which could plausibly serve as a stand-in for common reliance on the misrepresentation. Without that showing, individual plaintiffs could still prevail on the merits by proving that they were aware of, and actually relied on, the misrepresentation. Halliburton's approach accords with Amgen's insistence that plaintiffs prove publicity and market efficiency before class certification. See Pet. 27-30. The fact that a plaintiff might choose to prove price impact by pointing to price declines following corrective disclosures, Br. in Opp. 40-41, hardly means that requiring proof of price impact is barred by EPJ Fund's holding that a plaintiff cannot be required before certification to prove the distinct element of "loss causation." Erica P. John Fund, Inc. v. Halliburton Co., 131 S. Ct. 2179, 2187 (2011) ("[L]oss causation is a familiar and distinct concept in securities law; it is not price impact."). Nor is Halliburton's acceptance that Basic, as currently written, treats price-impact as a rebuttal issue inconsistent with asking that the Court modify Basic to bring it into line with recent case law that places the initial Rule 23(b)(3) burden squarely on the plaintiff. See Br. in Opp. 40. 3. The Fund relies heavily on stare decisis. See Br. in Opp. 34-36. It simply declares that a decision creating a judicially mandated presumption (that is in practice virtually irrebuttable), layered on top of a judicially implied cause of action, is just as entitled to stare decisis as any decision construing a statute's text. Br. in Opp. 33, 35. Halliburton has emphasized that, because Basic's presumption is wholly a creature of the judiciary and partially procedural in nature, the judiciary has a responsibility to correct its own work and not just leave it to Congress to act. Pet. 25. That argument draws strong support from this Court's decisions interpreting the Sherman Act. Because that statute delegates broad, common-law power to the judiciary, the Court more readily revisits its Sherman Act precedents. See State Oil Co. v. Khan, 522 U.S. 3, 20 (1997) ("[T]he general presumption that legislative changes should be left to Congress has less force with respect to the Sherman Act."); id. at 20-22 (overruling 29year-old precedent and citing several overrulings of Sherman Act decisions); Leegin Creative Leather Prods., Inc. v. PSKS, Inc., 551 U.S. 877, 899-900 (2007) (overruling century-old precedent in part because "respected authorities in the economics literature suggest the per se rule is inappropriate"). The Court's common-law exegesis of the 10b-5 cause of action justifies a similarly relaxed mode of stare decisis. See Musick, Peeler & Garrett v. Emps. Ins. of Wausau, 508 U.S. 286, 292 (1993) (noting that "[t]he federal courts have accepted and exercised the principal responsibility for the continuing elaboration of the scope of the 10b-5 right and the definition of the duties it imposes"). The Fund mistakenly asserts that Halliburton's petition relied solely on "constitutional" cases, where stare decisis concerns are lessened. Br. in Opp. 35. In fact, in Pearson v. Callahan, 555 U.S. 223 (2009), the Court overruled the judicially-created "order of battle" for addressing qualified-immunity claims not because it was tangentially related to the Constitution, but because it had been "questioned by Members of the Court in later decisions," "departure would not upset expectations," and "experience has pointed up the precedent's shortcomings." Id. at 233, 235. The Court explained that "judge made rule[s]" do not "implicate the general presumption that legislative changes should be left to Congress" because "any change should come from this Court, not Congress." Id. at 233-234. That guidance applies with full force here. 4. The Fund goes too far in proclaiming that this Court and Congress have "endorsed" Basic's presumption of reliance. This Court has never before considered a challenge to the continuing validity of Basic's presumption. Nor has the Court confronted the growing tension between Basic's presumption of common reliance with the Rule 23 requirement that common-issue predominance be proven, not presumed—a tension the Fund barely mentions. Compare Pet. 21-23 with Br. in Opp. 28. It similarly "'does not follow . . . that Congress' failure to overturn a statutory precedent is reason for this Court to adhere to it,'" because it is "'"impossible to assert with any degree of assurance that congressional failure to act represents affirmative congressional approval of the [courts'] statutory interpretation."'" Central Bank of Denver, N.A. v. First Interstate Bank of Denver, N.A., 511 U.S. 164, 186 (1994) (citations omitted). Congressional inaction cannot justify judicial refusal to reexamine judge-made causes of action or judicially-created presumptions. II. A POST-AMGEN CIRCUIT SPLIT PERSISTS OVER PRICE-IMPACT REBUTTAL Apart from reconsidering Basic, an important circuit split independently merits this Court's review. The Fund cannot dispute that the Second and Third Circuit cases cited by Halliburton allow defendants to rebut the presumption before certification by showing the absence of price impact, while the Seventh and (now) Fifth Circuits do not. The Fund claims instead that Amgen "resolved" the split. Br. in Opp. 21. 1. Amgen simply does not address the "price impact" issue this Court specifically reserved in EPJ Fund, 131 S. Ct. at 2186-2187, or the pre-existing circuit split on that issue. Rather, the Court strictly limited its analysis and holding to the distinct concept of materiality— whether the misrepresentation significantly altered the total mix of information about the stock. Amgen did not present evidence pertaining to market price, and the Court did not resolve the price-impact issue sub silentio. Indeed, Amgen's rationale supports allowing priceimpact rebuttal. The Fund defends the court of appeals' reasoning that price impact, like materiality, is a classwide showing, the absence of which supposedly causes all claims to fail on the merits. But, like the court of appeals, the Fund has no response to Halliburton's demonstration that price impact is identical for Rule 23 purposes to publicity and market efficiency—factors that must be considered at the class-certification stage under Amgen. See Pet. 28-29. One need not conjure up "fantastic scenarios," Br. in Opp. 18, to imagine an individual shareholder who cannot show price impact or publicity yet can prevail on the merits of a 10b-5 claim; courts have already identified them. See Amici Br. of Chamber of Commerce et al. 22-23 (citing cases). That is why this Court allowed precertification consideration of publicity. Amgen, 133 S. Ct. at 1199. The same reasoning compels considering price impact. 2. The Fund incorrectly contends that "there is no meaningful difference" between Halliburton's price-impact evidence and evidence pertaining to loss causation. Br. in Opp. 20, 40-41. But this Court easily distinguished between Halliburton's "price impact" argument, which it declined to reach, and the Fifth Circuit's "loss causation" requirement, which the Court rejected. EPJ Fund, 131 S. Ct. at 2186-2187. Moreover, the court of appeals did not refuse to allow Halliburton's rebuttal evidence on the ground that it was loss-causation evidence barred by EPJ Fund; it held as a matter of law that "price impact" rebuttal is not permitted at class certification because it is a classwide showing which allegedly causes all claims to fail on the merits. Pet. App. 17a-19a. That holding is wrong, and squarely conflicts with Second and Third Circuit precedents, and with the rationale of Amgen. The Second and Third Circuits' allowance of priceimpact rebuttal remains good law in those important jurisdictions. 2 The split is therefore enduring and, as amici explain, consequential. If defendants are deprived of the ability to rebut Basic's "fundamental premise" of price distortion (EPJ Fund, 131 S. Ct. at 2186) at class certification, the once-rebuttable presumption of reliance will be impregnable. Class certification will be virtually automatic in any case brought against an NYSE-listed company that survives a motion to dismiss. And the promise of rebuttal at summary judgment or trial will be illusory for defendants who will be forced to settle. That result cannot be reconciled with Rule 23, the Securities Exchange Act, or Basic itself. 2 The Fund misleadingly states that "district courts in the Second Circuit have recognized that In re Salomon is no longer controlling precedent." Br. in Opp. 22. But the cited cases merely recognize that Amgen overruled Salomon's requirement that plaintiffs prove materiality to obtain class certification; they say nothing about Salomon's distinct holding that defendants may defeat class certification by showing the absence of price impact. See GAMCO Investors, Inc. v. Vivendi, S.A., 927 F. Supp. 2d 88, 99 n.76 (S.D.N.Y. 2013) ("Until recently, plaintiffs in this Circuit also had to show materiality in order to proceed with a class action on a fraud on the market theory. * * * [Amgen] holds that proof of materiality is not a precondition to class certification."); In re Citigroup Inc. Sec. Litig., __ F. Supp. 2d __, 2013 WL 3942951, at *28 n.1 (S.D.N.Y. Aug. 1, 2013) ("The U.S. Supreme Court has since held that securities fraud plaintiffs need not prove that the misrepresentations are material at the class certification stage."). EVAN A. YOUNG BAKER BOTTS L.L.P. 98 San Jacinto Blvd. Austin, Texas 78701 (512) 322-2506 WM. BRADFORD REYNOLDS BAKER BOTTS L.L.P. 1299 Pennsylvania Ave., N.W. Washington, D.C. 20004-2400 (202) 639-7700 Respectfully submitted. DAVID D. STERLING AARON M. STREETT Counsel of Record BENJAMIN A. GESLISON BAKER BOTTS L.L.P. 910 Louisiana St. Houston, Texas 77002 (713) 229-1234 email@example.com Counsel for Petitioners October 2013
Package 'MetaLandSim' February 16, 2021 TypePackage Title Landscape and Range Expansion Simulation Version1.0.8 Date2021-02-15 DependsR (>= 2.10), tcltk, igraph Imports e1071, fgui, grDevices, graphics, googleVis, maptools, rgeos, rgrass7, raster, spatstat.geom, spatstat.core, stats, sp, minpack.lm, zipfR, coda, knitr Suggests rasterVis AuthorFrederico Mestre, Fernando Canovas, Benjamin Risk, Ricardo Pita, Antonio Mira, Pedro Beja. MaintainerFrederico Mestre<firstname.lastname@example.org> Description Tools to generate random landscape graphs, evaluate species occurrence in dynamic landscapes, simulate future landscape occupation and evaluate range expansion when new empty patches are available (e.g. as a result of climate change). References: Mestre, F., Canovas, F., Pita, R., Mira, A., Beja, P. (2016) <doi:10.1016/j.envsoft.2016.03.007>; Mestre, F., Risk, B., Mira, A., Beja, P., Pita, R. (2017) <doi:10.1016/j.ecolmodel.2017.06.013>; Mestre, F., Pita, R., Mira, A., Beja, P. (2020) <doi:10.1186/s12898-019-0273-5>. LicenseGPL (>= 2) NeedsCompilationno RepositoryCRAN Date/Publication2021-02-16 17:00:02 UTC R topics documented: MetaLandSim-package 3 Index 88 Landscape And Range Expansion Simulation Description The package MetaLandSim is a simulation environment, allowing the generation of random landscapes, represented as graphs, the simulation of landscape dynamics, metapopulation dynamics and range expansion. The package was developed as part of the Ph.D. thesis of Frederico Mestre (SFRH/BD/73768/2010), funded by European Social Funds and the Portuguese Foundation for Science and Technology, and included in the project NETPERSIST (PTDC/AAG-MAA/3227/2012), funded by European Regional Development Fund (ERDF) through COMPETE programme and Portuguese national funds through the Portuguese Foundation for Science and Technology. MetaLandSim is intended to provide a virtual environment, enabling the experimentation and simulation of processes at two scales: landscape and range. The simulation approach, taken by MetaLandSim, presents several advantages, like allowing the test of several alternatives and the knowledge of the full system (Peck, 2004; Zurell et al. 2009). The role of simulation in landscape ecology is fundamental due to the spatial and temporal scale of the studied phenomena, which frequently hinders experimentation (Ims, 2005). Here, graph and metapopulation theories are combined, which is a broadly accepted strategy to provide a modelling framework for metapopulation dynamics (Cantwell & Forman, 1993; Bunn et al. 2000; Ricotta et al. 2000; Minor & Urban, 2008; Galpern et al. 2011). Also, several graph-based connectivity metrics can be computed from the landscape graphs. This set of metrics have been proven useful elsewhere (Urban & Keitt, 2001; Calabrese & Fagan, 2004). The graph representation of landscape has one major advantage: it effectively summarizes spatial relationships between elements and facilitates a multi-scale analysis integrating patch and landscape level analysis (Calabrese & Fagan, 2004). MLS operates at two scales, providing researchers with the possibility of: * Landscape scale - Simulation of metapopulation occupation on a dynamic landscape, computation of connectivity metrics. * Range scale - Computes dispersal model and range expansion scenario simulation. . The landscape unit, an object of class landscape, is the basic simulation unit at both these scales. At the landscape scale, the persistence of the metapopulation in a dynamic landscape is evaluated through the simulation of landscape dynamics using the function iterate.graph or manage_landscape_sim At the range scale the metapopulation is allowed to expand to other, empty, landscape units using range_expansion, producing an object of class expansion. The function range_raster allows the conversion of the dispersal model obtained with the previous function into a raster. Finally, also at the range scale, the user can analyse the outcome of several alternative landscapes in range expansion speed and maximum dispersal distance, using the function manage_expansion_sim. Since version 1.0 new IFM parameter estimation capabilities are available, which based upon Bayesian statistics, using the functions ﬁrst developed for the paper Risk et al.(2011). We thank Dr. Santiago Saura (Universidad Politecnica de Madrid) for the very useful inputs and for the R script which greatly improved the connectivity metrics capabilities of MetaLandSim. Details Package: MetaLandSim Type: Package Version: 1.0.5 Date: 2018-11-04 License: GPL (>=2) Author(s) Frederico Mestre, Fernando Canovas, Benjamin Risk, Ricardo Pita, Antonio Mira and Pedro Beja. Maintainer: Frederico Mestre <email@example.com> References Bunn, A. G., Urban, D. L. and Keitt, T. H. (2000). Landscape connectivity: a conservation application of graph theory. Journal of Environmental Management, 59(4), 265-278. Calabrese, J. M. and Fagan, W. F. (2004). A comparison-shopper's guide to connectivity metrics. Frontiers in Ecology and the Environment, 2(10), 529-536. Cantwell, M. D. and Forman, R. T. (1993). Landscape graphs: ecological modelling with graph theory to detect conﬁgurations common to diverse landscapes. Landscape Ecology, 8(4), 239-255. Galpern, P., Manseau, M. and Fall, A. (2011). Patch-based graphs of landscape connectivity: a guide to construction, analysis and application for conservation. Biological Conservation, 144(1), 44-55. Ims, R.A. (2005). The role of experiments in landscape ecology. In: Wiens, J.A., and Moss, M.R. (eds.). Issues and Perspectives in Landscape Ecology. Cambridge University Press. pp. 70-78. Mestre, F., Pita, R., Pauperio, J., Martins, F. M., Alves, P. C., Mira, A., & Beja, P. (2015). Combining distribution modelling and non-invasive genetics to improve range shift forecasting. Ecological Modelling, 297, 171-179. Mestre, F., Risk, B. B., Mira, A., Beja, P., & Pita, R. (2017). A metapopulation approach to predict species range shifts under different climate change and landscape connectivity scenarios. Ecological Modelling, 359, 406-414. Mestre, F., Pita, R., Mira, A., Beja, P. (2020). Species traits, patch turnover and successional dynamics: When does intermediate disturbance favour metapopulation occupancy?. BMC Ecology. Minor, E. S. and Urban, D. L. (2008). A Graph Theory Framework for Evaluating Landscape Connectivity and Conservation Planning. Conservation Biology, 22(2), 297-307. Peck, S. L. (2004). Simulation as experiment: a philosophical reassessment for biological modelling. Trends in Ecology & Evolution, 19(10), 530-534. Ricotta, C., Stanisci, A., Avena, G. C., and Blasi, C. (2000). Quantifying the network connectivity of landscape mosaics: a graph-theoretical approach. Community Ecology, 1(1), 89-94. Risk, B. B., De Valpine, P., Beissinger, S. R. (2011). A robust design formulation of the incidence function model of metapopulation dynamics applied to two species of rails. Ecology, 92(2), 462474. Urban, D. and Keitt, T. (2001). Landscape connectivity: a graph-theoretic perspective. Ecology, 82(5), 1205-1218. Zurell, D., Berger, U., Cabral, J.S., Jeltsch, F., Meynard, C.N., Munkemuller, T., Nehrbass, N., Pagel, J., Reineking, B., Schroder, B. and Grimm, V. (2009). The virtual ecologist approach: simulating data and observers. Oikos, 119(4), 622-635. Calculate acceptance rates in MCMC chains Description Calculate acceptance rates of parameters in the IFM. Usage Arguments A named list with the MCMC chains estimated by ifm.naive.MCMC, ifm.missing.MCMC, or ifm.robust.MCMC. Either "naive", "missing", or "robust" Value Named list containing MCMC chain acceptance rates. Names are built from the input list, e.g., for model="naive": ``` Acceptance rates of parameter b Acceptance rates of parameter e Acceptance rates of parameter y Acceptance rates of parameter alpha Acceptance rates of parameter x ``` Author(s) Benjamin Risk Examples Add a given number of patches to a landscape Description Adds a given number of patches to the landscape. Usage Arguments Object of class 'landscape'. Number of patches to be added (see 'note'). Value Returns an object of class 'landscape'. Note The number of patches to be added might be impaired by the minimum distance between points. Author(s) Frederico Mestre and Fernando Canovas See Also rland.graph, removepoints Examples Modiﬁed patch occupancy data of Cabrera vole Description One season patch occupancy dataset for Microtus cabrerae in SW Portugal. This dataset is in the format produced by species.graph, convert.graph or import.shape (class 'metapopulation'), and it was created by converting a data frame using the function convert.graph. The data frame had the information of one snapshot of patch occupancy data of Cabrera vole (Microtus cabrera) in southwestern Portugal. Usage Format A list with the following elements: * mapsize - 8200 (landscape mosaic side length, in meters). * minimum.distance - 10.04 (minimum distance between patches centroids). * mean.area - 0.46 (mean area, in hectares). * SD.area - 1.05 (SD of the area). * number.patches - 793 (number of patches). * dispersal - 800 (mean dispersal ability of the species). * distance.to.neighbours - data frame with pairwise distance between patches. * nodes.characteristics - data frame with the characteristics of each patch. Details To create this sample dataset the occupancy status of patches was scrambled, however the proportion of occupied patches was kept. Source Original ﬁeld data was obtained during project PERSIST (PTDC/BIA-BEC/105110/2008). Examples Function for mode estimation of a continuous variable Description Derives the mode, estimating the value of a continuous variable. Usage Arguments vector used to estimate the mode. increase this value to make the density estimate smoother. Value Returns the numeric value of the mode. Author(s) Adapted from https://stat.ethz.ch/pipermail/r-help/2008-August/172323.html Examples. Delivers the number of patches per cluster Description Returns a data frame with the number of nodes (habitat patches) in each component of the landscape graph (in this case a component is a group of patches connected by the species dispersal distance). Usage Arguments Object of class 'landscape'. Details The components are deﬁned based on the species mean dispersal ability. This implies that the connectivity model between patches is binary (connected/not connected) as opposed to probabilistic. Value This function returns a data frame with the number of patches of each component (group of patches). The returned data frame has two ﬁelds: cluster (Id of the component) and number of nodes (the number of nodes of the respective component). Author(s) Frederico Mestre and Fernando Canovas See Also Examples Classify patches in clusters Description reclassify clusters of a landscape according to a given mean dispersal distance. Usage Arguments Object of class 'landscape'. Details After changing the landscape some components (groups of connected patches) might suffer changes (e.g. the removal of patches might split components). This function re-attributes a code to each patch, identifying the groups of connected patches (components), after this type of disturbance to the habitat network.Mainly to be used internally. Value Returns the same landscape object, with the clusters reclassiﬁed. Author(s) Frederico Mestre and Fernando Canovas See Also Examples Create ﬁles for use with R-package coda. Description Creates two text ﬁles, <ﬁlename.txt> and ﬁlename_Index.txt>, in the format used by OpenBUGS, which can then be read using read.coda() to create an mcmc object for subsequent use of coda diagnostic and plotting functions. Usage Arguments Details Writes text ﬁles to the current working directory or to the path speciﬁed with "ﬁle.name". Author(s) Benjamin Risk Examples Combines two chains into a single chain. Description Combines two lists of chains from ifm.naive.MCMC, ifm.missing.MCMC, or ifm.robust.MCMC into one list where each element is the concatenated chains. Usage Arguments Value Named list with the same names as the inputs x1 and x2 Author(s) Benjamin Risk Examples Number of components of a landscape Description Returns the number of components in the landscape graph (in this case a component is a group of patches connected by the species dispersal distance). Usage Arguments ``` Object of class 'landscape'. ``` Value Returns the number of components (groups of connected patches) of a landscape. Author(s) Frederico Mestre and Fernando Canovas See Also Examples Convert data frame to landscape Description Converts a given data frame in a list which can be used in the following functions, an object of class 'metapopulation'. Usage Arguments data frame with the original data and the following columns, in this order: * ID - patch Id. * X - Coordinate. * Y - Coordinate. * Area - Patch area, in hectares. * Occupation - Species presence status (0/1). Landscape mosaic side length, in meters. Species mean dispersal ability, in meters. Value ``` Delivers an object of class 'metapopulation'. Author(s) Frederico Mestre and Fernando Canovas See Also Examples Create parameter data frame ``` Description This function creates a parameter data frame, using parameter values computed with the application available in the papers of Moilanen (1999) and ter Braak and Etienne (2003). Usage Arguments Details It is highly recommended that the user reads both papers, as well as the help ﬁles. Value Returns a data frame, with the same format as the one returned by parameter.estimate for the methods 'Rsnap_1' and 'Rsnap_x'. Author(s) Frederico Mestre and Fernando Canovas References Moilanen, A. (1999). Patch occupancy models of metapopulation dynamics: efﬁcient parameter estimation using implicit statistical inference. Ecology, 80(3): 1031-1043. ter Braak, C. J., & Etienne, R. S. (2003). Improved Bayesian analysis of metapopulation data with an application to a tree frog metapopulation. Ecology, 84(1): 231-241. See Also Examples Produce an edge (links) data frame Description Returns a data frame with the information on the connections between patches (assuming binary connections). Usage Arguments Object of class 'landscape'. Value Produces a data frame with the information on the edges (links): the IDs of both patches, the area, the coordinates and the Euclidean distance. Author(s) Frederico Mestre and Fernando Canovas See Also Examples Class 'expansion' Description Class representing an expansion object, as produced by range_expansion. Slots A list of four data frames with the proportion of occupation at several distances from the closest occupied landscape mosaic. These four data frames correspond to the proportion of occupation to the north, south, east and west. Each data frame has the following columns: * DISTANCE - Distance (mapsize x number of landscapes). * OCCUPATION - How many times did the landscape at this distance got occupied by the species (from a total of 'iter' repetitions). * PROPORTION - Proportion of occupation for the landscape at this distance (OCCUPATION/iter). Author(s) Frederico Mestre and Fernando Canovas Extract landscape from span.graph generated list Description Extracts a landscape from an object delivered by span.graph. The output is an object of class 'landscape'. Usage Arguments Object of class 'landscape' used to generate the list, with span.graph. Object delivered by span.graph. Position of the landscape in the list (rlist). Value Delivers an object of class 'landscape'. Author(s) Frederico Mestre and Fernando Canovas See Also ``` span.graph, rland.graph ``` Examples Estimate the 'missing' design incidence function model Description Estimates the IFM with no false absences but incorporating missing data. Usage Arguments Number of iterations in the MCMC chain. Named list with values to initialize the chain. E.g.: init1=list(z.missing=runif(nmissing),mupsi1=runif(1),alpha=runif(1,1,30), b=runif(1,0,5),y=runif(1,0,20), e=runif(1,0,1),x=runif(1,0,5)). z.missing: a vector of initial occupancy states for the missing data with length equal to the number of NAs in z.data (i.e., vectorized across years). Can use runif(nmissing). mupsi1: probability of initial occupancy in year 1; runif(1) sufﬁces alpha: initial value for alpha in dispersal model; described as 1 / average dis- persal distance b: initial value for parameter b in colonization model y: initial value for parameter y in colonization model e: initial value for e in extinction model x: initial value for x in extinction model nsite x nyears matrix containing NA for missing data. Occupancy at sites with missing data will be estimated. nsite x nsite matrix of distances between sites. The tuning parameters in the example are set for distances less than one, with max distance approximately 0.5. Input data should have a similar scaling. Vector of length nsite with areas. The tuning parameters in the example are set for average area approximately equal to 1. Input data should have a similar scaling. sd.prop.mupsi1Standard deviation of the proposal distribution for occupancy in year 1. Standard deviation of the proposal distribution for parameter e. Standard deviation of the proposal distribution for parameter x. Standard deviation of the proposal distribution for parameter y. Standard deviation of the proposal distribution for parameter b. Standard deviation of the proposal distribution for parameter alpha. If speciﬁed, keeps only every nthin^th sample from the MCMC chain. Use to save memory or when the chain is moving slowly. The number of sites to include in the block sampling, where nsite.subset is equal to the number of sites updated in the same step. Larger values decrease the probability of acceptance. Speciﬁes how often to print the number of the current iteration. Value nsite x nyear x niter array sampled from the posterior distribution of occupancy in each year (if detection occurred at a given year and site, then the value is identically equal to one for all iterations). nyear x niter matrix posterior sample of the proportion of sites occupied in each year. nyear x niter matrix posterior sample of the proportion of sites occupied for sites with missing data. Extinction rate for all sites. Colonization rate. Author(s) Benjamin Risk References Risk, B. B., De Valpine, P., Beissinger, S. R. (2011). A robust design formulation of the incidence function model of metapopulation dynamics applied to two species of rails. Ecology, 92(2), 462474. Examples ``` posterior sample of parameter for occupancy in year 1. posterior sample of e posterior sampmle of x posterior sample of y posterior sample of b posterior sample of alpha ``` 22 22 Description Estimates the IFM assuming no false absences and omitting sites for particular years in which data were missing. Usage Arguments Value ``` posterior sample of e posterior sampmle of x posterior sample of y posterior sample of b posterior sample of alpha deviance.chain posterior sample of -2loglik ``` Author(s) Benjamin Risk References Risk, B. B., De Valpine, P., Beissinger, S. R. (2011). A robust design formulation of the incidence function model of metapopulation dynamics applied to two species of rails. Ecology, 92(2), 462474. Examples Description Estimates the IFM with imperfect detection and missing data. Usage Arguments Number of iterations in the MCMC chain. Named list with values to initialize the chain. E.g.: init1=list(z.data=initocc,z.missing=runif(nmissing),p=runif(nyear, 0.1,1),mupsi1=runif(1),alpha=runif(1,1,30), b=runif(1,0,5),y=runif(1,0,20), e=runif(1,0,1),x=runif(1,0,5)). z.data: a matrix with nrows = number of sites and ncol = number of years. Contains NAs for missing values. Contains naive estimates of occupancy elsewhere. z.missing: z.missing: a vector of initial occupancy states for the missing data with length equal to the number of NAs in z.data (i.e., vectorized across years). Can use runif(nmissing). p: vector of length nyears with inital probability of detection in each year mupsi1: probability of initial occupancy in year 1; runif(1) sufﬁces alpha: initial value for alpha in dispersal model; described as 1 / average dispersal distance b: initial value for parameter b in colonization model y: initial value for parameter y in colonization model e: initial value for e in extinction model x: initial value for x in extinction model Detection data in an array with dimensions nsites x nyears x nvisits. For removal design, set all values after a detection equal to NA. For missing data in a given year, set all visits to NA. nsite x nsite matrix of distances between sites. The tuning parameters in the example are set for distances less than one, with max distance approximately 0.5. Input data should have a similar scaling. Vector of length nsite with areas. The tuning parameters in the example are set for average area approximately equal to 1. Input data should have a similar scaling. Scalar equal to the standard deviation of the proposal distribution for probability of detection, which is a normal distribution centered at current value in the mcmc chain. The same standard deviation is used for all years. sd.prop.mupsi1Standard deviation of the proposal distribution for occupancy in year 1. Standard deviation of the proposal distribution for parameter e. Standard deviation of the proposal distribution for parameter x. Standard deviation of the proposal distribution for parameter y. Standard deviation of the proposal distribution for parameter b. Standard deviation of the proposal distribution for parameter alpha. If speciﬁed, keeps only every nthin^th sample from the MCMC chain. Use to save memory or when the chain is moving slowly. The number of sites to include in the block sampling, where nsite.subset is equal to the number of sites updated in the same step. Larger values decrease the probability of acceptance. Speciﬁes how often to print the number of the current iteration. Value nsite x nyear x niter array sampled from the posterior distribution of occupancy in each year (if detection occurred at a given year and site, then the value is identically equal to one for all iterations). nyear x niter matrix posterior sample of the proportion of sites occupied in each year. nyear x niter matrix posterior sample of the proportion of sites occupied for sites with missing data. Extinction rate for all sites. Colonization rate. nyear x niter sample of detection probabilities. posterior sample of parameter for occupancy in year 1. posterior sample of e posterior sampmle of x posterior sample of y posterior sample of b posterior sample of alpha posterior sample of -2loglik Author(s) Benjamin Risk References Risk, B. B., De Valpine, P., Beissinger, S. R. (2011). A robust design formulation of the incidence function model of metapopulation dynamics applied to two species of rails. Ecology, 92(2), 462474. Examples Import a shapeﬁle Description Imports a shapeﬁle, converting it to an object of class 'metapopulation' or 'landscape'. Usage Arguments Value Delivers an object of class 'metapopulation' or 'landscape'. Note The shapeﬁle must be in project coordinates (units=meters and hectares). Author(s) Frederico Mestre and Fernando Canovas See Also rland.graph, convert.graph Examples Simulate landscape series occupation Description Repeats the process of simulation by simulate_graph as many times as required (argument 'iter'). Usage Arguments One of the following (default 'none'): * 'hab' percentage of the number of patches to eliminate. * 'dincr' minimal distance (between centroids of patches) increase over the simulation (in meters). * 'darea' percentage of increase/decrease of the mean area of patches, without changing SD. * 'stoc' simultaneous creation and destruction of patches. * 'ncsd' simultaneous creation and destruction of patches to the north and south of the landscape. * 'aggr' correlated habitat destruction. * 'none' no change. To be internally passed to span.graph. Parameter specifying details for the options in par1: percentage of patches do delete (if par1 = 'hab'); distance, in meters (if par1 = 'dincr'); percentage of increase/decrease of the mean area of patches (if par1 = 'area'); percentage of new patches (if par1 = 'stoc'); 'northerndness' of created patches (if par1 = 'ncsd'); percentage of destroyed patches (if par1 = 'aggr'). To be internally passed to span.graph. Default NULL. Additional parameter specifying details for the options in par1: percentage of destroyed patches (if par1 = 'stoc'); 'southerndness' of destroyed patches (if par1 = 'ncsd'); aggregation of destruction (if par1 = 'aggr'). Minimum area for patch deletion, in hectares (if par1='darea'). To be internally passed to span.graph. Default NULL. Percentage of created patches (if par1 = 'ncsd'). To be internally passed to span.graph. Default NULL. Percentage of destroyed patches (if par1 = 'ncsd'). To be internally passed to span.graph. Default NULL. One of the following (default 'percentage'): click - individually select the patches with occurrence of the species by clicking on the map. Use only for individual landscape simulations. However, this option should not be used with iterate.graph. percentage - percentage of the patches to by occupied by the species. number - number of patches to be occupied by the species. To be internally passed to species.graph. parameter to specify the species occurrence - either percentage of occupied patches or number of occupied patches, depending on the method chosen. To be internally passed to species.graph. 'N', 'S', 'E', 'W' or none - point of entry of the species in the landscape. By default set to "none". To be internally passed to species.graph. Set the preference of the species for patch successional stage: 'none', 'early', 'mid' and 'late'. Parameter data frame delivered by parameter.estimate, including: * alpha - Parameter relating extinction with distance. * y - Parameter y in the colonization probability. * e - Parameter deﬁning the extinction probability in a patch of unit area. * x - Parameter scaling extinction risk with patch area. Value Returns a list of ﬁve data frames with information regarding the values of mean area, mean interpatch distance, number of patches occupancy and patch occupancy turnover in each of the iterations, as well as the mean values and SD. Author(s) Frederico Mestre and Fernando Canovas References References in the spom function. See Also rland.graph, span.graph, species.graph, simulate_graph, spom Examples Class 'landscape' Description Class representing a landscape graph, as produced by rland.graph, convert.graph and import.shape. Slots * mapsize - Side of the landscape in meters. * minimum.distance - Minimum distance between patches centroids, in meters. * mean.area - Mean patch area in hectares. * SD.area - Standard deviation of patches area. * number.patches - Total number of patches. * dispersal - Species mean dispersal ability, in meters. * nodes.characteristics - Data frame with patch (node) information (coordinates, area, radius, cluster, distance to nearest neighbor and ID). Author(s) Frederico Mestre and Fernando Canovas Landscape loosing 5% of patches per time step Description This dataset is a list of 100 landscapes with a loss of 5% of each patch's area at each time step. The ﬁrst landscape is the sample empty landscape. Format List of 100 data frames, that represent the evolution of the landscape during 100 time steps. Examples Returning information on a dynamic landscape list Description This function allows the computation of some statistics of the sequence of landscapes obtained from simulate.graph. Namely: mean area of the patches, standard deviation of the area, mean pairwise Euclidean distance, total number of patches, species occupation and turnover and mean distance to nearest habitat patch. It allows the graphical representation of the evolution of these statistics. Usage Arguments list from function simulate_graph. ’mean_area’, ’sd_area’, ’mean_distance’, ’n_patches’, ’occupation’, ’turnover’ and ’mean_nneigh’. TRUE/FALSE, plot output. Value Returns a vector with the evolution of the speciﬁed statistics throughout the list of landscapes representing the changes in a dynamic landscape and its occupation. A graphical output is also possible.It is possible to visualize the evolution of mean patch area, standard deviation of the patch area, mean distance between all pairs of patches, number of patches, species percentage of occupation, patch turnover (change in occupational state) and mean distance to nearest habitat patch. Author(s) Frederico Mestre and Fernando Canovas See Also Examples ``` Simulate range expansion simulation ``` Description This function produces dispersal scenarios, considering different habitat networks properties, evaluating the variation in dispersal speed and dispersal maximum distance (of range expansion). Usage Arguments Details For details regarding the arguments that are to be internally passed to other functions, see the respective functions. Any of the arguments dist_m, areaM, areaSD, Npatch would be unnecessary if the respective variable is the one to be evaluated (it depends on the parameter variable). Value Returns a list of eight data frames. For the ﬁrst four data frames (NORTH, SOUTH, EAST and WEST) each data frame's ﬁrst column is the name of the variable to be changed. The other two columns are: Expansion speed in each simulated scenario. Speed given in km/time step Maximum distance of the expanded range, from an occupied site. Given in km. The other four data frames have detailed information on the simulations for each of the values of parameter "variable". The ﬁrst column has the distance (in km), and each of the following columns has the time step at which each distance was colonized for each of the simulations. Warning This function might be time consuming, and the code is experimental and should be improved in future versions of MetaLandSim. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, range_expansion, expansion ``` Examples Batch landscape simulation Description Runs a series of simulations, using iterate.graph, allows changing the simulations parameters in several sequential simulations. Usage Arguments Arguments data frame to be used by iterate.graph (each row of this data frame is a set of Arguments). The data frame has to have the following columns in this order (the name of the column is not relevant): * MDST - Minimum inter-patch distance (in meters). * NPATCH - Number of patches in the landscape. * AREA_M - Mean area of the patches (in hectares). * AREA_SD - SD of the patches' area. * MAPSIZE - Landscape mosaic side length (in meters). * SPAN - Number of time steps in the simulation. * ITER - Number of iterations of the simulation. * PAR1_SPAN - parm1 for the span.graph function. * PAR2_SPAN - parm2 for the span.graph function. * PAR3_SPAN - parm3 for the span.graph function. * PAR4_SPAN - parm4 for the span.graph function. * PAR5_SPAN - parm5 for the span.graph function. * NSEW_SPECIES - Argument nsew for the species.graph function. * PARM_SPECIES - Argument parm for the species.graph function. * METHOD_SPECIES - Argument method for the species.graph function. * KERN - Argument kern for the spom function. * CONN - Argument conn for the spom function. * COLNZ - Argument colnz for the spom function. * EXT - Argument ext for the spom function. * BETA1 - Argument beta1 for the spom function. * B - Argument b for the spom function. * C1 - Argument c1 for the spom function. * C2 - Argument c2 for the spom function. * Z - Argument z for the spom function. * R2 - Argument R for the spom function. * DISPERSAL - Species mean dispersal ability (in meters). * SUCCESSION - Species successional preference (early, mid or late). Parameters data frame, as given by parameter.estimate. Creates a folder named 'output' to which it saves the full results of the simulations made with the parameters in each row of 'par_df'. It will generate as many objects as the number of rows in this data frame. Details For details regarding the arguments see the respective functions. Value Returns a data frame with the parameters used for the simulations and the results (mean occupation, mean number of patches, mean turnover, mean distance and mean area). Note Depending on computing capacity, this function can take from several hours to several days to run. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, span.graph, species.graph, spom ``` Examples Returning a matrix with information on connections between patches Description Based on a landscape graph, this function allows the creation of a matrix of Euclidean distances (straight-line pairwise distance between the margins of all the patches), matrix of topological distances (minimum number of connections between any two patches) and adjacency matrix (this a matrix of 0 and 1, showing the adjacency between any two patches, where 0 means that the patches are not connected and 1 means that the patches are connected). Usage Arguments ``` Object of class 'landscape'. mat - one of the following: ``` * 'euc_distance' - euclidian distance between patches (edge-to-edge). * 'centr_distance' - euclidian distance between patches (centroid-to-centroid). * 'adjacency' - adjacency matrix, with values d_ij, taking value 0 if patches i and j are not connected and value 1 if those patches are connected. * 'top_matrix' - topological distance, with values d_ij, where the value d is the minimum number of connections between the patches i and j. Topological distance is deﬁned as the minimum number of links between patches i and j. Value This function returns a matrix (each one of the speciﬁed matrices: Euclidean distance, topological distance and adjacency matrix). Author(s) Frederico Mestre and Fernando Canovas See Also Examples Modiﬁed patch occupancy data of Cabrera vole as a data frame Description One season patch occupancy dataset for Microtus cabrerae in SW Portugal (modiﬁed). This dataset is in a format directly used by convert.graph and converted to an object class 'metapopulation'. Usage Format A data frame with 685 observations on the following 5 variables. ``` ID Patch Id. x X coordinate. y Y coordinate. area Patch area, in hectares. mc Occupancy state (0/1). ``` Details To create this sample dataset the occupancy status of patches was scrambled, however the proportion of occupied patches was kept. Source Original ﬁeld data was obtained during project PERSIST (PTDC/BIA-BEC/105110/2008). Examples Internal functions for the MetaLandSim package. Description Internal functions for the MetaLandSim package Details These are not to be called by the user. Source Coded by Tal Galili. URL: http://www.r-statistics.com/2012/01/merging-two-data-frame-objectswhile-preserving-the-rows-order/ Graphic User Interface Description User-friendly graphic user interface that allows running the main functions of the package. Usage Value Displays the graphic user interface. Author(s) Frederico Mestre and Fernando Canovas See Also rland.graph, species.graph, simulate_graph, iterate.graph, range_expansion, Examples Class 'metapopulation' Description Class representing a landscape graph with species' patch occupancy data, as produced by species.graph, convert.graph and import.shape. Slots * mapsize - Landscape mosaic side length, in meters. * minimum.distance - Minimum distance between patches centroids, in meters. * mean.area - Mean patch area in hectares. * SD.area - Standard deviation of patches area. * number.patches - Total number of patches. * dispersal - Species mean dispersal ability, in meters. * distance.to.neighbours - Data frame with pairwise distance between patches, in meters. * nodes.characteristics - Data frame with patch (node) information (coordinates, area, radius, cluster, distance to nearest neighbor, ID and species). Author(s) Frederico Mestre and Fernando Canovas Computes landscape connectivity metrics Description Computes several landscape metrics, mostly derived from graph theory or assuming a graph representation of the landscape. Usage Arguments dispersal.dist Object of class 'landscape'. one of the following connectivity metrics: * 'NC' - Number of components. * 'LNK' - Number of links connecting the patches. * 'SLC' - Area (in hectares) of the largest group of patches. * 'MSC'- Mean area (in hectares) of the components. * 'HI' - Harary Index. * 'NH' - Normalized Harary Index. * 'ORD' - Landscape (graph) order. * 'GD' - Landscape (graph) diameter. * 'CCP' - Class coincidence probability. * 'LCP' - Landscape coincidence probability. * 'ECS' - Expected cluster size. * 'AWF' - Area-weighted ﬂux. * 'IIC' - Integral index of connectivity. * 'PC' - Probability of connectivity. * 'ECA' - Equivalent connected area. Maximum dispersal distance for the binary indexes (NC, LNK, SLC, MSC, HI, NH, ORD, GD, CCP, LCP, ECS, IIC) and mean dispersal distance for the probabilistic indexes (AWF, PC, ECA). When no value is provided the function will assume the dispersal value provided by the 'landscape' object. Details These metrics assume different types of links between nodes (patches). Some assume probabilistic connections between nodes (e.g. PC) while others assume binary connections (e.g. NC, SLC, LNK, IIC). Also, these metrics have several degrees of complexity, from the simpler ones (such as NC and LNK) to the more complex (such as IIC and PC). Some are purely structural; the same landscape has the same index whatever the species, while others are measures of functional, where the connectivity of a given landscape is dependent on the species (dispersal ability). Precaution must be taken when looking at the outputs produced by some of these metrics (particularly the simpler, structural ones). Regardless of being simpler to compute, the outputs might be misleading. This metrics can however be used as exploratory tools. This function was improved by the collaboration of Dr. Santiago Saura (Universidad Politecnica de Madrid). Detail about each of the metrics: * 'NC' - Number of components,groups of connected patches, in the landscape graph (Urban and Keitt, 2001). Patches in the same component are accessible, while patches in different components are not connected. More connected landscapes have less components. Threshold dependent (dispersal distance). * 'LNK' - Number of links connecting the patches (considering that the maximum distance is the species dispersal distance and that these graphs are are binary, which means that nodes are either connected or unconnected) (Pascual-Hortal and Saura, 2006). Higher LNK implies higher connectivity. Threshold dependent (dispersal distance). * 'SLC' - Area (in hectares) of the largest group of patches, or component (Pascual-Hortal and Saura, 2006). Threshold dependent (dispersal distance). * 'MSC'- Mean area (in hectares) of a group of patches, or component (Pascual-Hortal and Saura, 2006). Threshold dependent (dispersal distance). * 'HI' - Harary Index. Originally developed to characterize molecular graphs by Plavsic et al. (1993) it was later transposed to the landscape context by Ricotta et al. (2000). This index was considered by Ricotta et al. (2000) to be more effective from a statistical and ecological perspective. Higher HI implies higher connectivity. Threshold dependent (dispersal distance). * 'NH' - Normalization of the Harary Index, facilitates analysis because this normalization will set the values between 0 and 1 and allow direct comparison of different habitat networks(Ricotta et al. 2000). Threshold dependent (dispersal distance). * 'ORD' - Order. Index originated in the graph theory and later translated into the landscape context by Urban and Keitt (2001) provides a simple structural evaluation of the graph: it is the number of patches of the component (group of patches) with more patches. Threshold dependent (dispersal distance). * 'GD' - Graph diameter. Another index directly derived from graph theory, providing a simple quantiﬁcation of the graph structure. The graph diameter is the maximum of all the shortest paths between the patches of an habitat network. It is computed in meters (euclidean distance), instead of number of links (such as HI, NH and IIC)(Bunn et al. 2000, Urban and Keith, 2001). Shorter diameter implies faster movement in the habitat network (Minor and Urban, 2008). Threshold dependent (dispersal distance). * 'CCP' - Class coincidence probability. It is deﬁned as the probability that two randomly chosen points within the habitat belong to the same component. Ranges between 0 and 1 (Pascual-Hortal and Saura 2006). Higher CCP implies higher connectivity. Threshold dependent (dispersal distance). * 'LCP' - Landscape coincidence probability. It is deﬁned as the probability that two randomly chosen points in the landscape (whether in an habitat patch or not) belong to the same habitat component. Ranges between 0 and 1 (Pascual-Hortal and Saura 2006). Threshold dependent (dispersal distance). * 'CPL' - Characteristic path length. Mean of all the shortest paths between the network nodes (patches) (Minor and Urban, 2008). The shorter the CPL value the more connected the patches are. Threshold dependent (dispersal distance). * 'ECS' - Expected cluster size. Mean cluster size of the clusters weighed by area. (O' Brien et al.,2006 and Fall et al, 2007). This represents the size of the component in which a randomly located point in an habitat patch would reside. Although it is informative regarding the area of the component, it does not provide any ecologically meaningful information regarding the total area of habitat, as an example: ECS increases with less isolated small components or patches, although the total habitat decreases(Laita et al. 2011). Threshold dependent (dispersal distance). * 'AWF' - Area-weighted Flux. Evaluates the ﬂow, weighted by area, between all pairs of patches (Bunn et al. 2000 and Urban and Keitt 2001). The probability of dispersal between two patches (pij), required by the AWF formula, was computed using pij=exp(-kdij), where k is a constant making pij=0.5 at half the dispersal distance deﬁned by the user. Does not depend on any distance threshold (probabilistic). 'IIC' - Integral index of connectivity. Index developed speciﬁcally for landscapes by PascualHortal and Saura (2006). It is based on habitat availability and on a binary connection model (as opposed to a probabilistic). It ranges from 0 to 1 (higher values indicating more connectivity). Threshold dependent (dispersal distance). * 'PC' - Probability of connectivity. Probability that two points randomly placed in the landscape are in habitat patches that are connected, given the number of habitat patches and the connection probabilities (pij). Similar to IIC, although assuming probabilistic connections between patches (Saura and Pascual-Hortal 2007). Probability of inter-patch dispersal is computed in the same way as for AWF. Does not depend on any distance threshold (probabilistic). * 'ECA' - The Equivalent Connected Area is the square root of the numerator in PC, not accounting for the total landscape area (AL) (Saura 2011a, 2011b). It is deﬁned as '...the size of a single habitat patch (maximally connected) that would provide the same value of the probability of connectivity than the actual habitat pattern in the landscape' (Saura 2011a). Value Returns the numeric value(s), corresponding to the chosen connectivity metric(s) for a given landscape. Author(s) Frederico Mestre and Fernando Canovas References Bunn, A. G., Urban, D. L., and Keitt, T. H. (2000). Landscape connectivity: a conservation application of graph theory. Journal of Environmental Management, 59(4): 265-278. Fall, A., Fortin, M. J., Manseau, M., and O' Brien, D. (2007). Spatial graphs: principles and applications for habitat connectivity. Ecosystems, 10(3): 448-461. Ivanciuc, O., Balaban, T. S., and Balaban, A. T. (1993). Design of topological indices. Part 4. Reciprocal distance matrix, related local vertex invariants and topological indices. Journal of Mathematical Chemistry, 12(1): 309-318. Laita, A., Kotiaho, J.S., Monkkonen, M. (2011). Graph-theoretic connectivity measures: what do they tell us about connectivity? Landscape Ecology, 26: 951-967. Minor, E. S., and Urban, D. L. (2007). Graph theory as a proxy for spatially explicit population models in conservation planning. Ecological Applications, 17(6): 1771-1782. Minor, E. S., and Urban, D. L. (2008). A Graph-Theory Framework for Evaluating Landscape Connectivity and Conservation Planning. Conservation Biology, 22(2): 297-307. O'Brien, D., Manseau, M., Fall, A., and Fortin, M. J. (2006). Testing the importance of spatial conﬁguration of winter habitat for woodland caribou: an application of graph theory. Biological Conservation, 130(1): 70-83. Pascual-Hortal, L., and Saura, S. (2006). Comparison and development of new graph-based landscape connectivity indices: towards the priorization of habitat patches and corridors for conservation. Landscape Ecology, 21(7): 959-967. Plavsic, D., Nikolic, S., Trinajstic, N., and Mihalic, Z. (1993). On the Harary index for the characterization of chemical graphs. Journal of Mathematical Chemistry, 12(1): 235-250. Ricotta, C., Stanisci, A., Avena, G. C., and Blasi, C. (2000). Quantifying the network connectivity of landscape mosaics: a graph-theoretical approach. Community Ecology, 1(1): 89-94. Saura, S., and Pascual-Hortal, L. (2007). A new habitat availability index to integrate connectivity in landscape conservation planning: comparison with existing indices and application to a case study. Landscape and Urban Planning, 83(2): 91-103. Saura, S., Estreguil, C., Mouton, C. & Rodriguez-Freire, M. (2011a). Network analysis to assess landscape connectivity trends: application to European forests (1990-2000). Ecological Indicators 11: 407-416. Saura, S., Gonzalez-Avila, S. & Elena-Rossello, R. (2011b). Evaluacion de los cambios en la conectividad de los bosques: el indice del area conexa equivalente y su aplicacion a los bosques de Castilla y Leon. Montes, Revista de Ambito Forestal 106: 15-21 Urban, D., and Keitt, T. (2001). Landscape connectivity: a graph-theoretic perspective. Ecology, 82(5): 1205-1218. See Also Examples Computes topological distance Description Function to compute topological distance between patches. Topological distance is deﬁned as the minimum number of links between any two patches. Usage Arguments Object of class 'landscape'. Value Returns a matrix with the topological distance between the nodes. Author(s) Frederico Mestre and Fernando Canovas. See Also Examples Sample landscape with one simulated occupancy snapshot Description Sample random landscape graph, with species occupancy data (occupancy rate - 50%). Simulated data. Usage Format A list with the following elements: * mapsize - landscape mosaic side length, in meters. * minimum.distance - minimum distance between patches centroids. * mean.area - mean area, in hectares. * SD.area - standard deviation of the area. * number.patches - number of patches. * dispersal - mean dispersal ability of the species. * distance.to.neighbours - data frame with pairwise distance between patches. * nodes.characteristics - data frame with the characteristics of each patch. Examples Sample landscape with 10 simulated occupancy snapshots Description Sample species occupancy in a network during 10 time steps. Simulated data. Usage Format A list with the following elements: * mapsize - landscape mosaic side length, in meters. * minimum.distance - minimum distance between patches centroids. * mean.area - mean area, in hectares. * SD.area - standard deviation of the area. * number.patches - number of patches. * dispersal - mean dispersal ability of the species. * distance.to.neighbours - data frame with pairwise distance between patches. * nodes.characteristics - data frame with the characteristics of each patch, (species 1 to 10 occupancy snapshots). Examples Sample parameter data frame number 1 Description Sample data frame, as produced by parameter.estimate. These parameters are to be passed to spom. These are made up parameters, not related to any species. Usage Format A data frame with 4 rows displaying the four parameters (alpha, x, y, e) to be passed to spom: * alpha - Parameter relating extinction with distance. * y - Parameter y in the colonization probability. * e - Parameter deﬁning the extinction probability in a patch of unit area. * x - Parameter scaling extinction risk with patch area. Details The four parameters are to be passed to spom. Examples Sample parameter data frame number 2 Description Sample data frame, as produced by parameter.estimate. These parameters are to be passed to spom. These are made up parameters, not related to any species. Usage Format A data frame with 4 rows displaying the four parameters (alpha, x, y, e) to be passed to spom: * alpha - Parameter relating extinction with distance. * y - Parameter y in the colonization probability. * e - Parameter deﬁning the extinction probability in a patch of unit area. * x - Parameter scaling extinction risk with patch area. Details The four parameters are to be passed to spom. Examples Estimate parameters Description Estimates the parameters of the Stochastic Patch Occupancy Model with the following approaches: regression of snapshot data (Hanski, 1994); Monte Carlo simulation (Moilanen, 1999) and Bayesian MCMC on the full dataset (ter Braak and Etienne, 2003). Usage Arguments Object of class 'metapopulation' with real patch occupancy data of the focal species. Method to be used in parameter estimation. Available methods: * Rsnap_1 - Regression of snapshot data, using one snapshot (code based on Oksanen, 2004). * Rsnap_x - Regression of snapshot data, using more than one snapshot (code based on Oksanen, 2004). * MCsim - Monte Carlo simulation. * norescue - Bayesian MCMC, not considering Rescue effect. * rescue - Bayesian MCMC, considering Rescue effect. Bolean (TRUE/FALSE). Estimate the alpha parameter. Number of snapshots considered. Details Parameter alpha describes the effect of distance to dispersal (inverse of the average dispersal distance). Parameter x describes de dependence of the extinction risk on patch size, and consequently on population dimension. Parameter y scales colonization with connectivity. Parameter e is the intrinsic extinction rate of local populations, which is the extinction rate not considering immigration. In the current version the methods 'MCsim', 'rescue' and 'norescue' only create the ﬁles to be used in the applications already available. Future versions should allow the direct estimation of parameters without the need for the applications of Moilanen (1999) and Ter Braak and Etienne (2003). Future versions should include the estimation of other parameters, using the virtual migration model (Hanski et al. 2000). Regarding the method 'MCsim' the settings ﬁle produced (.set) by default has the method Nlr (nonlinear regression) chosen. The user should read the ﬁle readme.txt, available with the application, where a three step estimation process is described. The objective is to produce the priors for the Monte Carlo simulation to run. It is highly recommended that the user reads both papers that provide the applications to compute the methods 'MCsim', 'rescue' and 'norescue'. Several editions to the settings and parameters ﬁles of both applications might be needed in order to customize the estimation process. This function only generates the input ﬁles with the basic needed structure. Parameter estimation is not the main purpose of this package. As such, the user can estimate the parameters using other available software tools and then apply the estimated parameters in the simulations. The function create.parameter.df can be used to create the data frame of the basic spom parameters. Other required parameters can be directly given as arguments to the iterate.graph, spom or range_expansion functions. The application of the Moilanen paper considers the kernel 'op1', connectivity 'op1', colonization 'op1' and extinction 'op1'. This SPOM (Stochastic Patch Occupancy Model) is known as Incidence Function Model (Hanski,1994 and 1999). In the original version of the mode b=1.However this might be an useful parameter as it scales emigration with patch area. This parameter can be estimated with ﬁeld data. Moilanen (1998) obtained the value for this parameter by regressing the patch area with known population size. Value With the methods 'Rsnap_1' and 'Rsnap_x' eturns a data frame with 4 rows displaying the four parameters (alpha, x, y, e) to be passed to spom: * alpha - Parameter relating extinction with distance. * y - Parameter y in the colonization probability. * e - Parameter deﬁning the extinction probability in a patch of unit area. * x - Parameter scaling extinction risk with patch area. Regarding the methods 'MCsim', 'rescue' and 'norescue' it returns the ﬁles to be used as input in the applications. The ﬁles will be saved in the working directory. After running the applications, a data frame can be created in R using the function create.parameter.df. This will return a data frame with the same structure as the ﬁrst two methods. Note A vignette is available with detailed information about the computation of the parameters using each method. The method 'MCsim' creates the ﬁles (data and settings ﬁles) to be used with the application available with the paper by Moilanen (1999). The methods 'rescue' and 'norescue' create the ﬁles (data, parameters and distance ﬁles)to be used with the application available with the paper by ter Braak and Etienne (2003). The application by Moilanen is available in http://www.esapubs.org/archive/ecol/E080/003/. The application by ter Braak and Etienne is available in http://www.esapubs.org/archive/ ecol/E084/005/suppl-1.htm. Author(s) Frederico Mestre and Fernando Canovas References Hanski, I. (1994). A practical model of metapopulation dynamics. Journal of Animal Ecology, 63: 151-162. Hanski, I. (1999). Metapopulation Ecology. Oxford University Press. 313 pp. Hanski, I., Alho, J. and Moilanen, A. (2000) Estimating the parameters of survival and migration of individuals in metapopulations. Ecology, 81, 239-251. Moilanen, A. (1998). Long-term dynamics in a metapopulation of the American Pika. The American Naturalist, 152(4), 530-542. Moilanen, A. (1999). Patch occupancy models of metapopulation dynamics: efﬁcient parameter estimation using implicit statistical inference. Ecology, 80(3): 1031-1043. Oksanen, J. (2004). Incidence Function Model in R. url.:. http://cc.oulu.ﬁ/~jarioksa/opetus/openmeta/metaﬁt.pdf. ter Braak, C. J., & Etienne, R. S. (2003). Improved Bayesian analysis of metapopulation data with an application to a tree frog metapopulation. Ecology, 84(1): 231-241. See Also ``` create.parameter.df, iterate.graph, range_expansion and spom ``` Examples Plot one landscape of the list created by span.graph Description Plots a given landscape of a landscape sequence from span.graph. Usage Arguments Value Graphical display of the landscape. Author(s) Frederico Mestre and Fernando Canovas See Also ``` plot_graph, span.graph, rland.graph ``` Examples Graphical display of the expansion Description Plots the expansion object. Usage Arguments Object of class 'expansion'. Value Graphical display of the 'expansion' class. Author(s) Frederico Mestre and Fernando Canovas See Also Examples Graphical display of the landscape Description Plots the landscape graph, with or without the species occupation (respectively lists returned by species.graph or rland.graph) and with or without the links between patches. Usage Arguments Value Graphical display of the landscape. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, species.graph ``` Examples Produce a range expansion model Description This function returns the expansion probability, from a landscape with a given set of parameters, into the four cardinal directions. This can subsequently be converted in a dispersal model by the function range_raster. The dispersal model can be combined with an ecological niche model. Usage Arguments Details The expansion algorithm has been improved, since the paper Mestre et al. (2016) describing the package was published. Now, instead of the transition between adjacent landscape units being dictated by the occupation of a spurious node (representing the margin through which the expansion takes place) a somewhat more realistic approach is followed. If, during the metapopulational dynamics simulation, any patch located between the landscape unit (LU) margin and a parallel line placed at a distance equivalent to half of the mean dispersal ability of the species is occupied, than the algorithm assumes that the species will have the ability to go across to the next LU. In this new empty LU initial occupation is deﬁned as follows: a new line is placed, with a spacing equivalent to half the dispersal ability of the species. In the area deﬁned by the margins of the LU and this line the species will occupy in the same proportion as in the preceding LU. An example, with the expansion eastward (the process is repeated 4 times, one in each cardinal direction): One LU with 200 patches, occupation of 50%, mapsize (length of the LU side) 1000 species mean dispersal ability of 200. Metapopulational dynamics are simulated until one patch is occupied in a area deﬁned by the north, south, east margins of the LU and a vertical line placed at x=800 (1000-200). Then, if any of this patches is occupied, a new LU (a random realization of the same parameter set) is created and initial occupation is deﬁned at an area deﬁned between the west, north and south margins and a line placed at x=200. This occupation level has the same percentage as the previous landscape. Value This function returns a list, of class 'expansion', of four data frames with the proportion of occupations at several distances from the closest occupied landscape mosaic. These four data frames correspond to the proportion of occupation to the north, south, east and west. Each data frame has the following columns: * DISTANCE - Distance (mapsize x number of landscapes). * OCCUPATION - How many times did the landscape at this distance got occupied by the species (from a total of 'iter' repetitions). * PROPORTION - Proportion of occupation for the landscape at this distance (OCCUPATION/iter). * TIME STEP - The average time steps at which a given distance is occupied. Note Depending on computing power and number of iterations (parameter 'iter') this function can take from a few hours to several days to run. Author(s) Frederico Mestre and Fernando Canovas References Mestre, F., Risk, B., Mira, A., Beja, P., Pita, R. (2016) <doi:10.1016/j.ecolmodel.2017.06.013> See Also Examples Probability of occupancy, dispersal model Description This function creates the raster map with the expansion simulation, estimating probability of occupancy, at a given time step, based on species dispersal and landscape conﬁguration. range_raster uses the output from range_expansion and a raster map with the species current occupancy. Usage Arguments Details The function automatically reads the raster input ﬁles (presences.map and mask.map, if present). Usually, 0 for absence and 1 for presence in every square cell over a given resolution. Supported ﬁle types are those that can be read via rgdal (see gdal. Note that the projection for the raster layer should be one of those supporting metric units (i.e., linear scale is equal in all directions around any point such as Transverse Mercator; see https://spatialreference.org/). Then, it computes and ﬁts single sigmoidal functions for every direction on the expansion movements (building four sub-models, one to each main cardinal direction), as previously computed by range_expansion. Four different raster maps are generated (the sub-models), each estimating the probability of expansion for north, south, east and west directions. The four maps are ﬁnally summarized into a single range expansion map, which is returned to the user as an object of class RasterLayer and saved in the working directory. These four maps do not directly express the probabilities in the output of range_expansion. Rather, the outputs are weighted by directionality, so that e.g. the north model favours the dispersal towards the north while penalizing dispersal in every other direction. As such, the resulting dispersal model is not a direct spatial transcription of the four data frames provided by range_expansion but an interpretation weighted by the spatial context given by directionality. Additionally, a raster ﬁle is computed, showing the time steps at which each distance is reached. This output depicts the adjustment of a linear model to the output of the four sub-models together, considering the four equally. This output should not be used as guideline to mask the model if running to several time periods. For example if projections to 2050 and 2080 are to be made than the dispersal model should be run twice, adjusting the time steps to the desired date. This function internally uses a connection to GRASS GIS software through the package rgrass7-package, in order to increase the performance for geographical calculations. Finally, the user might have to manually adjust the starting values of the function fit.sigmoid, (deﬁned internally in this function) if it has difﬁculty adjusting to the output of range_expansion. Value Produces the spatial realization of the dispersal model, composed by a stack of two objects of the class RasterLayer (see Raster-class package for further description), with the probability of occupancy and the time step a given distance is occupied. This version of MetaLandSim uses GRASS, version 7 through the package rgrass7. Additionally these rasters are saved in the working directory (ﬁles 'PROB' and 'TSTEP') deﬁned by the user and can be directly imported to any GIS software. Note This function depends on rgrass7. Author(s) Frederico Mestre and Fernando Canovas References Mestre, F., Risk, B., Mira, A., Beja, P., Pita, R. (2016) <doi:10.1016/j.ecolmodel.2017.06.013> See Also ``` range_expansion, Raster-class, rgrass7, initGRASS ``` Examples Remove the species occupancy from the landscape Description This function converts an object of class 'metapopulation' (with the species occupancy) in a object of class 'landscape' (without the species occupancy). Usage Arguments Object of class 'metapopulation'. Value Delivers an object of class 'landscape'. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, species.graph ``` Examples Remove a given number of patches from the landscape Description Randomly removes a given number of patches from the landscape. Usage Arguments Object of class 'landscape'. Number of patches to remove. Value Returns an object of class 'landscape'. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, addpoints ``` Examples List with range.expansion output Description Output of range_expansion. Object of class 'expansion'. Usage Format List of four data frames ('NORTH', 'SOUTH', 'EAST' and 'WEST') with the probability of occupations at several distances from the closest occupied landscape mosaic. These four data frames correspond to the probability of occupation to the north, south, east and west. Each data frame has the following columns: * DISTANCE - Distance (mapsize x number of landscapes). * OCCUPATION - How many times did the landscape at this distance got occupied by the species (from a total of 'iter' repetitions). * PROPORTION - Proportion of occupation for the landscape at this distance (OCCUPATION/iter). * TIME STEP - The average time step during which a given distance is reached. Examples Random landscape Description Sample random landscape graph, object of class 'landscape'. It has 60 patches and the landscape mosaic has 1000 meters of side. Usage Format A list with the following elements: * mapsize - landscape mosaic side length, in meters. * minimum.distance - minimum distance between patches centroids). * mean.area - mean area, in hectares. * SD.area - standard deviation of the area. * number.patches - number of patches. * dispersal - mean dispersal ability of the species. * nodes.characteristics - data frame with the characteristics of each patch. Examples Creates random landscape graph Description One of the key functions of the package, which allows the creation of random landscapes (represented as graphs) with two categories: habitat patch and non-habitat matrix. The landscapes can be different depending on the parameters chosen. Usage Arguments Details The dispersal distance, as given by the parameter 'disp', is used for the computation of some of the connectivity metrics (function metrics.graph) and for the graphic representation of the landscapes (in both cases deﬁning the groups of patches, or components). For the simulation of the metapopulational dynamics, the dispersal distance is given through the 'alpha' parameter (the inverse of the mean dispersal ability) in the parameter data frame created by create.parameter.df. This has an important consequence: no thresholding (considering the dispersal ability) is assumed when simulating the metapopulational dynamics. Value Returns a list, with the following elements: * mapsizeSide of the landscape in meters. * minimum.distanceMinimum distance between patches centroids, in meters. * mean.areaMean patch area in hectares. * SD.areaStandard deviation of patches area. * number.patchesTotal number of patches. * dispersalSpecies mean dispersal ability, in meters. * nodes.characteristicsData frame with patch (node) information (coordinates, area, radius, cluster, distance to nearest neighbour and ID). An additional ﬁeld, colour, has only graphical purposes. Note If the mean distance between patches centroid and the number of patches are both too high then the number of patches is lower than the deﬁned by the user. Author(s) Frederico Mestre and Fernando Canovas See Also ``` span.graph, species.graph ``` Examples 68 Vector of the areas for each site; here, 100 sites Description By loading simulatedifm this object is loaded. Format sim.area Vector of the areas for each site; here, 100 sites. Details This dataset was created using the code included in Examples, in simulatedifm Array corresponding to nsites x nyears x nvisits Description By loading simulatedifm this object is loaded. Format sim.det.20 100 x 10 x 3 array corresponding to nsites x nyears x nvisits. Data simulated with year-speciﬁc detection probabilities equal to 0.4,0.6,0.2,0.9,0.3,0.4,0.6,0.2,0.9,0.3. Details This dataset was created using the code included in Examples, in simulatedifm Distance matrix between sampling sites (nsite x nsite). Description By loading simulatedifm this object is loaded. Format sim.distance nsite x nsite distance matrix. Details This dataset was created using the code included in Examples, in simulatedifm. . . Description ``` This dataset loads several objects: 'sim.area', 'sim.det.20', 'sim.distance', 'z.sim', 'z.sim.20' and 'z.sim.20.fa'. ``` Format sim.area Vector of the areas for each site; here, 100 sites. sim.det.20 100 x 10 x 3 array corresponding to nsites x nyears x nvisits. Data simulated with year-speciﬁc detection probabilities equal to 0.4,0.6,0.2,0.9,0.3,0.4,0.6,0.2,0.9,0.3. sim.distance nsite x nsite distance matrix. z.sim nyear x nsite occupancy data generated with perfect detection. z.sim.20 nyear x nsite occupancy data generated with perfect detection with approximately 20% of data missing at random. z.sim.20.fa nyear x nsite occupancy data containing false absences, which can be used to explore the bias of ifm.missing.MCMC and ifm.naive.MCMC when there is imperfect detection. Details These datasets were created using the code included in Examples. Examples Simulate species occupancy in one dynamic landscape Description Simulates the species' occupation on a landscape sequence, resorting to the spom function. Usage Arguments simulate.start Object of class 'landscape' or 'metapopulation'. List delivered by span.graph. TRUE (rl is of class 'landscape') or FALSE (rl is of class 'metapopulation') One of the following: click - individually select the patches with occurrence of the species by clicking on the map. Use only for individual landscape simulations. However, this option should not be used with iterate.graph. percentage - percentage of the patches to by occupied by the species. number - number of patches to be occupied by the species. To be internally passed to species.graph. Parameter to specify the species occurrence - either percentage of occupied patches or number of occupied patches, depending on the method chosen. To be internally passed to species.graph. 'N', 'S', 'E', 'W' or none - point of entry of the species in the landscape. By default set to "none". To be internally passed to species.graph. Set the preference of the species for patch successional stage: 'none', 'early', 'mid' and 'late'. Parameter data frame delivered by parameter.estimate, including: * alpha - Parameter relating extinction with distance. * y - Parameter y in the colonization probability. * e - Parameter deﬁning the extinction probability in a patch of unit area. * x - Parameter scaling extinction risk with patch area. Value Returns a list of occupied landscapes, representing the same occupied landscape at different time steps. Author(s) Frederico Mestre and Fernando Canovas See Also ``` spom, span.graph, rland.graph, ``` Examples ``` iterate.graph ``` Simulate landscape dynamics over a number of time steps Description This function gets an initial landscape graph and gradually applies changes. For a good review and classiﬁcation of such changes see Bogaert et al. (2004) (not all described changes have been applied here). Future versions of the package should include other methods to change the landscape. Usage Arguments Object of class 'landscape'. Number of time steps (e.g. years) to simulate. Parameter determining the dynamism type. One of the following (default 'none'): * 'hab' percentage of the number of patches to eliminate. * 'dincr' minimal distance (between centroids of patches) increase over the simulation (in meters). * 'darea' percentage of increase/decrease of the mean area of patches, without changing SD. Patches with area <1 square meter are deleted. * 'stoc' simultaneous creation and destruction of patches with variation in the number of created and destroyed patches. * 'stoc2' simultaneous creation and destruction of patches with the same percentage of created and destroyed patches derived from the number of patches of the landscape in the preceding time step. * 'ncsd' simultaneous creation and destruction of patches to the north and south of the landscape. * 'aggr' correlated habitat destruction. * 'none' no change. The percentage of patches to be generated or destroyed at each time step is not ﬁxed (except for 'stoc2' in which case the percentage of created and destroyed patches is the same and directly computed from the number of patches in the preceeding time step, allowing to have landscape dynamism without change in the number of patches). For example if the landscape at the time step t-1 has 200 patches and the user wishes to set up a destruction rate of 5%, than the number of destroyed patches is given by a random number obtained from a Poisson distribution with mean 10 (5% of 200). Parameter specifying details for the options in par1: percentage of patches do delete (if par1='hab'); distance, in meters (if par1='dincr'); percentage of increase/decrease (increase with negative sign) of the mean area of patches (if par1='darea'); percentage of created/destroyed patches (if par1='stoc'); percentage of created patches (if par1='stoc2'); 'northerndness' of created patches (if par1='ncsd'); percentage of destroyed patches (if par1='aggr'). Additional parameter specifying details for the options in par1: percentage of destroyed patches (if par1='stoc2'); 'southerndness' of destroyed patches (if par1='ncsd'); aggregation of destruction (if par1='aggr'). Minimum area for patch deletion, in hectares (if par1='darea'). Percentage of created patches (if par1='ncsd'). Percentage of destroyed patches (if par1='ncsd'). Value Returns a list of data frames with the nodes characteristics of a given number of landscapes that suffer a speciﬁed change. The ﬁelds of these data frames are the same as those from the nodes characteristics resulting from rland.graph. Author(s) Frederico Mestre and Fernando Canovas References Bogaert, J., Ceulemans, R., & Salvador-Van Eysenrode, D. (2004). Decision tree algorithm for detection of spatial processes in landscape transformation. Environmental Management, 33(1): 6273. See Also rland.graph, simulate_graph, iterate.graph Examples Simulate landscape occupation Description Given a set of parameters, this function allows to simulate the occupation of an empty landscape, class "metapopulation". Usage Arguments Value Returns a list, with the following elements: * mapsize - Landscape mosaic side length, in meters. * minimum.distance - Minimum distance between patches centroids, in meters. * mean.area - Mean patch area in hectares. * SD.area - Standard deviation of patches area. * number.patches - Total number of patches. * dispersal - Species mean dispersal ability, in meters. * distance.to.neighbours - Data frame with pairwise distance between patches, in meters. * nodes.characteristics - Data frame with patch (node) information (coordinates, area, radius, cluster, distance to nearest neighbour, ID and species). An additional ﬁeld, colour, has only graphical purposes. Author(s) Frederico Mestre and Fernando Canovas See Also ``` rland.graph, simulate_graph, remove.species ``` Examples Stochastic Patch Occupancy Model Description This function predicts the occupancy status of each patch in a landscape in the time step t+1, based on the occupancy information on time step t. Usage Arguments Landscape with species occupancy, object of class 'metapopulation'. ``` 'op1' or 'op2'. Dispersal kernel. See details. 'op1' or 'op2'. Connectivity function. See details. 'op1', 'op2' or 'op3'. Colonization function. See details. 'op1', 'op2' or 'op3'. Extinction function. See details. Parameter data frame delivered by parameter.estimate, including: • alpha - Parameter relating extinction with distance. • y - Parameter y in the colonization probability. • e - Parameter deﬁning the extinction probability in a patch of unit area. ``` Details In order to visualize which parameter combination is valid for each option, please refer to the following table (alpha, x, y and e are delivered by parameter.estimate, as a data frame): R x A Stochastic Patch Occupancy Model (SPOM) is a type of model which models the occupancy status of the species on habitat patches as a Markov chain (Moilanen, 2004). These models are a good compromise between capturing sufﬁcient biological detail and being easy to parametrize with occupancy data. With SPOMs it is possible to predict the probability of extinction or colonization of every patch in a landscape, given the current occupancy state of all the patches (Etienne et al. 2004). Dispersal Kernel Option 1 (Hanski, 1994 and 1999) Option 2 (Shaw, 1995) where dij is the distance between patches i and j. * Option 1 - Negative exponential. Earlier studies (until the end of the 1990) frequently used this type of thin-tailed kernels (Nathan et al. 2012). * Option 2 - Fat-tailed kernel. The shape of the dispersal kernel is highly signiﬁcant only when the metapopulation consists of several moderately small patch clusters, which are relatively far from each other. In this kind of a system, a patch cluster may go extinct, and long-distance dispersal will be important in determining the recolonization probability of the empty cluster (Shaw, 1995 and Moilanen, 2004). This type of fat-tailed kernels has become more frequent in recent works (Nathan et al. 2012). For this is the Cauchy distribution. Connectivity Option 1 (Moilanen, 2004) Option 2 (Moilanen and Nieminen, 2002) where Ai and Aj are the areas of patches i(focal patch) and j(other patches), respectively; dij is the distance between patches i and j and pj is the occupation status (0/1) of patch j * Option 1 - In the version of Hanski (1994), de kernel is the negative exponential (option 1) and b is set to 1. In this more ﬂexible version, the parameter b scales emigration with patch area (Moilanen, 2004). * Option 2 - In Moilanen & Nieminen (2002) the kernel is the negative exponential (option 1). This metric considers the value of the focal patch's area, which was found to provide better results by Moilanen & Nieminen (2002), being less sensitive to errors in the estimation of a. Parameters b and c scale, respectively emigration and immigration, as a function of patch area (focal patch in the case of c). See 'note'. Colonization function Option 1 (Hanski, 1994, 1999) Option 2 (Moilanen, 2004) Option 3 (Ovaskainen, 2002) where Si is connectivity. * Option 1 - It's the ﬁrst version of the colonization probability, it includes Allee effect (however the strength of this effect cannot be modiﬁed) Hanski (1994). Colonization probability is deﬁned as a sigmoid function of the connectivity of patch i. * Option 2 - This option assumes that immigrating individuals originate colonization events independently, therefore, with no Allee effect. Adequate for species (plants) with passive dispersal (Moilanen, 2004). * Option 3 - Here, as in option 1, the colonization probability is deﬁned as a sigmoid function of the connectivity of patch i, and the user can change the strength of the Allee effect, by changing the parameter z, with values >1 reﬂecting the presence of this effect (Ovaskainen, 2002). In the original version of the IFM (option 1) Hanski (1994) assumed a relatively strong Allee effect (z=2). Parameter c describes the species ability to colonize (Ovaskainen & Hanski, 2001 and Ovaskainen ,2002). Extinction function Option 1 (Hanski, 1994, 1999) Option 2 (Hanski and Ovaskainen, 2000 and Ovaskainen and Hanski, 2002) Option 3 (Ovaskainen, 2002) where Ai is the area of the focal patch and Ci is the colonization probability of the focal patch. * Option 1 - Original version developed by Hanski (1994). * Option 2 - Used e.g. in the spatially realistic Levins model (Hanski & Ovaskainen, 2000 and Ovaskainen & Hanski, 2002). Parameter x scales extinction probability with patch area. * Option 3 - Same as option 1, but considering the Rescue effect (with the strength of this effect being given by R). If R=0 there is no Rescue effect, however, if R>0, the Rescue effect grows exponentially with the probability of not being colonized. In the original version of this function Hanski (1994) assumed R=1. Here, parameter x deﬁnes de degree to which the extinction rate is sensitive to the patch area. If x>1, with the increase of Ai the extinction rate rapidly approximates zero. The populations in the larger patches becomes almost impossible to extinguish. However, if x is small the extinction rate decreases slower with increasing Ai. Value Delivers a list similar to the class 'metapopulation' but with two additional columns in the data frame nodes.characteristics: 'species2'(which is the occupation in the next time step) and turn (turnover between occupancies). Note Future versions of the package should include the virtual migration model (Hanski et al. 2000), which allows the estimation of migration related parameters (relevant to the option 2 of connectivity). Author(s) Frederico Mestre and Fernando Canovas References Etienne, R. S., ter Braak, C. J., and Vos, C. C. (2004). Application of stochastic patch occupancy models to real metapopulations. In Hanski, I. and Gaggiotti, O.E. (Eds.) Ecology, Genetics, and Evolution of Metapopulations. Elsevier Academic Press. 696 pp. Hanski, I. (1994). A practical model of metapopulation dynamics. Journal of Animal Ecology, 63: 151-162. Hanski, I. (1999). Metapopulation Ecology. Oxford University Press. 313 pp. Hanski, I., Alho, J., and Moilanen, A. (2000). Estimating the parameters of survival and migration of individuals in metapopulations. Ecology, 81(1), 239-251. Hanski, I., and Ovaskainen, O. (2000). The metapopulation capacity of a fragmented landscape. Nature, 404: 755-758. Moilanen, A. (2004). SPOMSIM: software for stochastic patch occupancy models of metapopulation dynamics. Ecological Modelling, 179(4), 533-550. Moilanen, A., and Nieminen, M. (2002). Simple connectivity measures in spatial ecology. Ecology, 83(4): 1131-1145. Nathan, R., Klein, E., Robledo-Arnuncio, J.J. and Revilla, E. (2012). Dispersal kernels: review. in Clobert, J., Baguette, M., Benton, T. and Bullock, J.M. (Eds.) Dispersal Ecology and Evolution. Oxford University Press. Oxford, UK. 462 pp. Ovaskainen, O. (2002). The effective size of a metapopulation living in a heterogeneous patch network. The American Naturalist: 160(5), 612-628. Ovaskainen, O. and Hanski, I. (2001). Spatially structured metapopulation models: global and local assessment of metapopulation capacity. Theoretical Population Biology, 60(4), 281-302. Ovaskainen, O., and Hanski, I. (2002). Transient dynamics in metapopulation response to perturbation. Theoretical Population Biology, 61(3): 285-295. Ovaskainen, O. and Hanski, I. (2004). Metapopulation dynamics in highly fragmented landscapes. In Hanski, I. & Gaggiotti, O.E. (Eds.) Ecology, Genetics, and Evolution of Metapopulations. Elsevier Academic Press. 696 pp. Shaw, M.W., (1995). Simulation of population expansion and spatial pattern when individual dispersal distributions do not decline exponentially with distance. Proc. R. Soc. London B: 259, 243-248. See Also species.graph, simulate_graph, iterate.graph Examples Summarize 'landscape' class objects Description This function summarizes a landscape class object. Usage Arguments ``` Object of class landscape ``` Details This function can be used to retrieve basic information on the objects of class 'landscape'. Value Returns a data frame with the following information on a landscape class object: ``` Landscape mosaic area, in hectares Number of patches in the landscape Mean patch area, in hectares SD of the patch area Mean inter-patch distance, in meters Minimum inter-patch distance, in meters ``` Note The minimum distance between patches is different from that given in the object of class 'landscape', in the slot 'minimum.distance'. This is because this output is computed from the landscape structure and the one in the 'landscape' object was the parameter used to built the landscape. The minimum inter-patch distance given as a parameter in the function rland.graph will consider distance between patch centroids. The minimum inter-patch distance returned here considers the edgeto-edge distance, so this might be smaller that the parameter of rland.graph. In order to see the difference between centroid-to-centroid and edge-to-edge inter-patch distance compute both using the matrix.graph function (methods are 'centr_distance' and 'euc_distance', respectively). Author(s) Frederico Mestre and Fernando Canovas See Also rland.graph, landscape, matrix.graph Examples ``` Summarize 'metapopulation' class objects ``` Description This function summarizes a metapopulation class object. Usage Arguments ``` Object of class metapopulation ``` Details This function can be used to retrieve basic information on the objects of class 'metapopulation'. Value Returns a data frame with the following information on a metapopulation class object: ``` Landscape mosaic area, in hectares Number of patches in the landscape Mean patch area, in hectares SD of the patch area ``` ``` Mean inter-patch distance, in meters ``` ``` Minimum inter-patch distance, in meters ``` Occupation data of the focal species, numbered from 1 to the number of snapshots Note The minimum distance between patches is different from that given in the object of class 'landscape', in the slot 'minimum.distance'. This is because this output is computed from the landscape structure and the one in the 'landscape' object was the parameter used to built the landscape. The minimum inter-patch distance given as a parameter in the function rland.graph will consider distance between patch centroids. The minimum inter-patch distance returned here considers the edgeto-edge distance, so this might be smaller that the parameter of rland.graph. In order to see the difference between centroid-to-centroid and edge-to-edge inter-patch distance compute both using the matrix.graph function (methods are 'centr_distance' and 'euc_distance', respectively). Author(s) Frederico Mestre and Fernando Canovas See Also species.graph Examples ,metapopulation,matrix.graph Occupancy data generated with perfect detection. Description By loading simulatedifm this object is loaded. Format z.sim nyear x nsite occupancy data generated with perfect detection. Details This dataset was created using the code included in Examples, in simulatedifm. Occupancy data generated with perfect detection with approximately 20% of data missing at random. Description By loading simulatedifm this object is loaded. Format z.sim.20 nyear x nsite occupancy data generated with perfect detection with approximately 20% of data missing at random. Details This dataset was created using the code included in Examples, in simulatedifm. Occupancy data containing false absences Description By loading simulatedifm this object is loaded. Format z.sim.20.fa nyear x nsite occupancy data containing false absences, which can be used to explore the bias of ifm.missing.MCMC and ifm.naive.MCMC when there is imperfect detection. Details This dataset was created using the code included in Examples, in simulatedifm. Index ``` ∗ datasets cabrera, 7 landscape_change, 35 mc_df, 42 occ.landscape, 50 occ.landscape2, 51 param1, 51 param2, 52 rg_exp, 65 rland, 65 sim.area, 68 sim.det.20, 68 sim.distance, 68 simulatedifm, 69 z.sim, 86 z.sim.20, 86 z.sim.20.fa, 87 ∗ ifm ifm.missing.MCMC, 19 ifm.naive.MCMC, 23 ifm.robust.MCMC, 25 sim.area, 68 sim.det.20, 68 sim.distance, 68 simulatedifm, 69 z.sim, 86 z.sim.20, 86 z.sim.20.fa, 87 ∗ metapopulation ifm.missing.MCMC, 19 ifm.naive.MCMC, 23 ifm.robust.MCMC, 25 ∗ missing ifm.robust.MCMC, 25 ∗ occupancy ifm.missing.MCMC, 19 ifm.robust.MCMC, 25 ∗ robust ifm.robust.MCMC, 25 ``` ``` accept.calculate, 5 addpoints, 6, 64 cabrera, 7 calcmode, 8 cluster.graph, 9 cluster.id, 10 coda.create, 11 combine.chains, 12 components.graph, 13 convert.graph, 7, 14, 30, 34, 42, 45 create.parameter.df, 15, 54, 55, 67 edge.graph, 17 expansion, 4, 18, 38, 57 extract.graph, 18 ifm.missing.MCMC, 19 ifm.naive.MCMC, 22 ifm.robust.MCMC, 25 import.shape, 7, 30, 34, 45 initGRASS, 62 iterate.graph, 3, 31, 39, 44, 54, 55, 73, 75, 81 landscape, 3, 34, 82, 83 landscape_change, 35 list.stats, 35 manage_expansion_sim, 4, 36 manage_landscape_sim, 3, 39 matrix.graph, 41, 83, 85 mc_df, 42 merge_order (MetaLandSim-internal), 43 MetaLandSim (MetaLandSim-package), 3 MetaLandSim-internal, 43 MetaLandSim-package, 3 MetaLandSim.GUI, 44 metapopulation, 45, 84, 85 metrics.graph, 45, 67 min_distance, 49 ``` ``` occ.landscape, 50 occ.landscape2, 51 param1, 51 param2, 52 parameter.estimate, 16, 32, 37, 40, 51, 52, 53, 59, 72, 77, 78 plot_expansion, 57 plot_graph, 56, 57 plotL.graph, 56 range_expansion, 4, 18, 37, 38, 44, 54, 55, 58, 60–62, 65 range_raster, 4, 44, 58, 60, 60 remove.species, 63, 77 removepoints, 6, 64 rg_exp, 65 rland, 65 rland.graph, 6, 9, 10, 14, 17, 19, 30, 31, 33, 34, 37, 38, 40, 42, 44, 49, 50, 56–58, 63, 64, 66, 73, 75, 77, 83, 85 sim.area, 68 sim.det.20, 68 sim.distance, 68 simulate_graph, 31, 33, 35, 44, 72, 73, 75, 77, 81 simulatedifm, 69 span.graph, 18, 19, 31–33, 36, 40, 56, 67, 72, 73, 74 species.graph, 7, 15, 32, 33, 40, 44, 45, 57, 58, 63, 67, 72, 76, 81, 85 spom, 33, 37, 40, 51–55, 59, 72, 73, 77 summary_landscape, 82 summary_metapopulation, 84 z.sim, 86 z.sim.20, 86 z.sim.20.fa, 87 ```
Competitive Enterprise Institute th 1899 L Street, NW • 12 Floor • Washington, DC 20036 202.331.1010 • www.cei .o rg Advancing Liberty – From the Economy to Ecology May 19, 2010 No. 167 Overturning EPA's Endangerment Finding Is a Constitutional Imperative By George Allen and Marlo Lewis * The U.S. Environmental Protection Agency (EPA) is carrying out one of the biggest power grabs in American history. The agency has positioned itself to regulate fuel economy, set climate and energy policy for the nation, and amend the Clean Air Act—powers never delegated to it by Congress. It has done this by: - Pulling its punches in the Massachusetts v. EPA Supreme Court case; - Granting California a waiver to regulate greenhouse gas (GHG) emissions from motor vehicles; and - Declaring greenhouse gas emissions a danger to public health and welfare, thus triggering a regulatory cascade through multiple provisions of the Clean Air Act, in a decision known as the ―endangerment finding.‖ To restore the constitutional separation of powers and democratic accountability, Congress must overturn EPA's endangerment finding. S. J. Res. 26, a resolution of disapproval, introduced by Sen. Lisa Murkowski (R-Alaska), under the Congressional Review Act (CRA), provides an appropriate vehicle to accomplish that. (Enacted in 1996, the CRA provides an expedited procedure for Congress to veto a final agency action before it takes effect.) The resolution, which would nullify the endangerment finding's legal force and effect, is a referendum not on climate science, but on who shall make climate and energy policy—the people's elected representatives or politically unaccountable bureaucrats, trial lawyers, and activist judges. Overturning the endangerment finding is a constitutional imperative. As Senators prepare to debate the resolution, they should ponder four questions: 1. When did Congress authorize the Environmental Protection Agency to license California and other states to adopt their own fuel economy standards within their borders? * George Allen is a former U.S. Senator and Governor of Virginia and Chairman of the American Energy Freedom Center. Marlo Lewis is a Senior Fellow at the Competitive Enterprise Institute. 2. When did Congress authorize EPA to act as a co-equal—or even senior—partner with the National Highway Traffic Safety Administration (NHTSA) in setting fuel economy standards for the auto industry? 3. When did Congress authorize EPA to control greenhouse gas emissions from stationary sources and to establish climate and energy policy for the nation? 4. Finally, when did Congress authorize EPA to ―tailor‖—that is, amend—the Clean Air Act (CAA) to avoid an administrative debacle of the agency's own making? The answers are never, never, never, and never. EPA is flouting federal law and the Constitution, which vests all lawmaking power in Congress. Regulatory Avalanche in the Making. Congress may soon get its first real opportunity to roll back EPA's overreach. The Senate is expected to vote on Sen. Murkowski's resolution of disapproval, 1 which would nullify the legal force and effect of EPA's endangerment finding, 2 by June 7. If allowed to stand, the endangerment finding will trigger a regulatory cascade through multiple provisions of the Clean Air Act. America could be shackled to a regulatory regime far more costly and intrusive than any climate bill Congress has ever debated, but without the people's elected representatives ever getting a chance to vote on it. By EPA's own admission, the endangerment finding spawns ―absurd results‖—a red ink nightmare that undermines environmental protection, economic growth, and congressional intent. 3 Here's why. The endangerment finding compels EPA to establish greenhouse gas emission standards for new motor vehicles. Once those standards go into effect, carbon dioxide (CO2) becomes a ―regulated air pollutant‖ and, thus, automatically subject to additional regulation under the Clean Air Act's Prevention of Significant Deterioration (PSD) pre-construction permitting program and Title V operating permits program. Under the CAA, a firm must obtain a PSD permit before it can build or modify a facility classified as a ―major stationary source‖ of regulated air pollutants, and obtain a Title V permit before it can operate that facility. The problem is that an immense number and variety of previously non-regulated entities—big box stores, office buildings, apartment complexes, small manufacturers, heated agricultural facilities, commercial kitchens, hospitals, churches, and schools—emit enough CO2 to qualify as ―major‖ sources. EPA estimates that environmental agencies would have to process 41,000 PSD permit applications each year—a 140-fold increase over the current number—and 6.1 million Title V operating permits each year—a 404-fold increase. 4 The sheer volume of permit applications would overwhelm agencies' administrative resources. In effect, the permitting programs would crash under their own weight, causing construction activity to grind to a halt and forcing millions of firms to operate in legal limbo—in the midst of the worst economic downturn since the Great Depression. To avert an administrative disaster of its own making, EPA proposes to ―tailor‖ the PSD and Title V programs so that they exempt for six years all firms emitting less than 50,000 tons per year (TPY) of CO2-equivalent greenhouse gases. 5 But the Act plainly states that a source is subject to PSD if it has a potential to emit 250 TPY of a regulated air pollutant 6 and subject to Title V if it has a potential to emit 100 TPY. 7 In reality, EPA proposes to amend the Clean Air Act—something only Congress has the power to do. Even if courts uphold this blatant breach of the separation of powers, EPA still has the option to extend PSD and Title V requirements to smaller and smaller entities after 2016. Because these small business protections are temporary by design—and legally dubious—the Tailoring Rule leaves a cloud of regulatory uncertainty hanging over our economy. The Tailoring Rule also offers zero protection from what is arguably the endangerment finding's most absurd result—the obligation to establish National Ambient Air Quality Standards (NAAQS), set below current atmospheric concentrations, for CO2 and other greenhouse gases. 8 Section 108 of the Clean Air Act obligates EPA to initiate a NAAQS rulemaking for ―air pollution‖ from ―numerous or diverse mobile or stationary sources‖ that may ―reasonably be anticipated to endanger public health or welfare.‖ Carbon dioxide is emitted from numerous and diverse mobile and stationary sources, and EPA's endangerment finding declares that the associated ―air pollution‖ endangers public health and welfare. What is more, EPA attributes endangerment to the ―elevated concentration‖ of GHGs in the atmosphere. 9 By ―elevated,‖ EPA means elevated above pre-industrial levels. Substantively, EPA has already made the case for establishing NAAQS for CO2 set below current atmospheric levels. This is plainly absurd. Even a global depression lasting several decades would not be enough to lower CO2 concentrations from today's level—roughly 390 parts per million 10 —to 350 ppm, the new politically correct ―stabilization‖ target advocated by NASA scientist James Hansen, 11 former Vice President Al Gore, 12 Intergovernmental Panel on Climate Change Chairman Rajendra Pachauri, 13 the Center for Biological Diversity, 14 and other prominent climate alarmists. 15 Yet under the CAA, states are obligated to attain NAAQS within five years or at most 10 years. 16 Note that EPA may not take implementation costs into account when setting national air quality standards. 17 The endangerment finding thus sets the stage for environmental advocacy groups to transform the Act into a deindustrialization mandate—an economic suicide pact— through litigation. How will EPA defuse the NAAQS bomb? Will it propose another ―tailoring‖ rule to amend the NAAQS attainment deadline from 10 years to 100 years? The Murkowski resolution would nip all this mischief in the bud. What the Resolution Is and Isn't. A strong case can be made that EPA's endangerment finding is scientifically flawed. 18 However, the Murkowski resolution is a referendum not on climate science, but on who shall make climate policy—lawmakers who must answer to the people at the ballot box or politically unaccountable bureaucrats, trial lawyers, and activist judges. The resolution would veto the ―legal force and effect‖ of the endangerment finding, not its scientific reasoning or conclusions. It is worth noting that Sen. Murkowski is neither a global warming skeptic nor opposed in principle to GHG regulation. 19 Her position is simply that climate policy is too important to be made by nonelected bureaucrats. If the endangerment finding were purely an assessment of the scientific literature, Congress would have no business voting on it. However, it is first and foremost a policy document. Moreover, it is the legal trigger and precedent for sweeping policy changes which Congress never approved. The Strange Case of the Disappearing, Reappearing Patchwork. In a February 22, 2010, letter to Sen. Jay Rockefeller (D-W.V.), 20 EPA Administrator Lisa Jackson observes that overturning the endangerment finding would scuttle the joint EPA/NHTSA rulemaking setting both greenhouse gas limits and fuel economy standards. 21 That, in turn, would undo the ―historic agreement‖ whereby California and other states agreed to deem compliance with federal greenhouse gas and fuel economy standards as compliance with their own. That, Administrator Jackson warns, would leave California and other states free to enforce their own standards, creating a regulatory patchwork inimical to a healthy auto industry. Jackson neglects to mention that the patchwork threat exists only because she, reversing Bush EPA Administrator Stephen Johnson's decision to deny California that authority, 22 granted California a waiver to implement its own GHG/fuel economy program in the first place. 23 Had Jackson reaffirmed Johnson's denial, there would be no danger of a regulatory patchwork, hence no ostensible need for a pact between California and the federal government to ―protect‖ the auto industry. The peril of a regulatory patchwork was one of former EPA Administrator Johnson's reasons for rejecting California's request for the waiver. 24 In response, California Governor Arnold Schwarzenegger (R) and 12 other governors denied that waiving federal preemption would create a regulatory patchwork in a January 23, 2008, joint letter to Johnson. 25 David Doniger of the Natural Resources Defense Council, Connecticut Gov. M. Jodi Rell (R), Maryland Gov. Martin O'Malley (D), and Pennsylvania Gov. Edward G. Rendell (D) denied it when they testified before the Senate Environment and Public Works Committee. 26 Now, the Murkowski resolution's opponents warn of a regulatory patchwork if the ―historic agreement‖ were to unravel. Predictably, they do not confess to having changed their tune, nor acknowledge that Johnson was correct. Unlawful, Incompatible Standards. Johnson correctly argued that the Clean Air Act's waiver provision addresses the effects of California's unique topography and meteorology on local air pollution, and hence has no valid application to emissions associated with global climate change. However, there is a more fundamental reason why his successor, Lisa Jackson, should have reaffirmed his decision. States cannot enact their own greenhouse gas emission and fuel economy standards without violating the 1975 Energy Policy and Conservation Act (EPCA), which states: When an average fuel economy standard prescribed under this chapter is in effect, a State or a political subdivision of a State may not adopt or enforce a law or regulation related to fuel economy standards or average fuel economy standards for automobiles covered by an average fuel economy standard under this chapter. 27 Note the broad language. States are prohibited from adopting or enforcing any law or regulation ―related to‖ fuel economy standards. This means a state may not adopt a fuel economy standard by relabeling it as something else—such as ―climate protection‖—nor by commingling it with other measures—for example, controls on air-conditioner refrigerants based on their globalwarming potentials. Carbon dioxide makes up at least 94 percent of all greenhouse gas emissions from motor vehicles, 28 and there is no commercially proven technology to filter or capture CO2 emissions from tailpipes. Consequently, the only way to achieve significant decreases in GHG emissions per mile is to decrease fuel consumption per mile. As EPA and NHTSA's joint rule states, ―there is a single pool of technologies‖ for reducing fuel consumption and, thereby, CO2 emissions from motor vehicles. 29 The California Air Resource Board's (CARB) motor vehicle GHG standards program is basically fuel economy by another name, and therefore is preempted by EPCA. Jackson had no authority to approve it. Indeed, the standards for which California initially sought a waiver were not only different from, but also incompatible with federal standards, because they conflicted with fuel economy reforms Congress enacted in the 2007 Energy Independence and Security Act (EISA). 30 In EISA, Congress replaced the ―flat-rate‖ standards of the original Corporate Average Fuel Economy (CAFE) program, which applies to an automaker's entire fleet, with ―attribute-based‖ standards that vary according to a vehicle's ―footprint‖—the area formed by the wheel base multiplied by vehicle track width. The original CAFE program had serious drawbacks, including an adverse impact on vehicle safety. The easiest way to comply with flat-rate standards is to make the average car lighter and smaller. Lighter vehicles have less mass to absorb collision forces. Smaller vehicles provide less space between the occupant and the point of collision. The National Academy of Sciences has estimated that CAFE contributed to an additional 1,300 to 2,600 fatalities and 13,000 to 26,000 serious injuries in 1993 (a typical year). 31 Although California's GHG standards are calibrated in grams CO2-equivalent per mile rather than miles per gallon, they are ―flat-rate‖ rather than ―attribute-based.‖ Since the California standards substantially regulate fuel economy, they conflict in basic approach with the EISA reforms. The ―flat-rate‖ character of the initial CARB program is also what created the threat of an unworkable regulatory patchwork. 32 Consumer preferences differ from state to state, so the same automaker typically sells a different mix of vehicles in each state. Only by sheer improbable accident would the average fuel economy (or grams CO2/mile) of an automaker's vehicles delivered for sale in one state be identical to that in other state. But under the initial CARB program, each automaker would have to achieve the same average fuel economy (grams CO2 per mile) in every state that adopted California's standards. If all 50 states adopt the California program, then each automaker would have to manage 50 separate fleets, reshuffling the mix in each state regardless of consumer preference. A more chaotic scheme would be hard to imagine. As part of the ―historic agreement,‖ CARB agreed to amend its rules to allow manufacturers to demonstrate compliance with its fleet average GHG emission standard by ―pooling‖ vehicles delivered for sale in all ―California‖ states rather than having to demonstrate compliance on a state-by-state basis. 33 Although less disruptive than the initial CARB program, the modified CARB program is still inefficient, because it compels automakers to meet a different fuel economy standard in the ―California‖ states and subjects them to a baker's dozen state-level compliance programs. In hindsight, it is not hard to see why Jackson initiated a rulemaking to reconsider Johnson's denial of the California waiver. The patchwork threat enabled EPA to gain the auto industry's support for the joint GHG/fuel economy rule, which reduces 34 the patchwork by coordinating California's fuel economy program with the federal program. The joint rule, in turn, not only triggers a regulatory cascade that expands EPA's control over stationary sources, it also empowers EPA to determine federal fuel economy standards. Because of the tight correlation between miles per gallon and CO2 emissions per mile, EPA can always increase the stringency of CAFE standards by increasing the stringency of its GHG emission standards. The ―historic agreement‖ thus makes EPA the senior partner to NHTSA in setting CAFE standards, even though the CAA provides no authority to regulate fuel economy. Congress should not allow EPA to hijack fuel economy regulation and determine climate and energy policy for the nation. Rather, Congress should uphold the Energy Policy and Conservation Act and reassert its authority under the Supremacy Clause of the Constitution. Other parties should consider litigation to overturn the waiver. U.S. automakers are too financially dependent on the Obama administration to consider mounting such a challenge, but the National Association of Auto Dealers and the U.S. Chamber of Commerce have already filed suit. 35 Dirty Deal. Rep. Darrell Issa (R-Calif.), ranking member of the House Oversight and Government Affairs Committee, spotlights another reason to nix the ―historic agreement‖—the White House negotiated it in violation of the Presidential Records Act (PRA). 36 Section 2203(a) of the PRA states: Through the implementation of records management controls and other necessary actions, the President shall take all such steps as may be necessary to assure that the activities, deliberations, decisions, and policies that reflect the performance of his constitutional, statutory, or other official or ceremonial duties are adequately documented and that such records are maintained as Presidential records pursuant to the requirements of this section and other provisions of law. 37 [Emphasis added] Far from documenting the negotiations culminating in the ―historic agreement,‖ White House climate and energy Czar Carol Browner required participants to observe a ―vow of silence‖ and forbade them to take notes, according to The New York Times. ―We put nothing in writing, ever,‖ CARB Chairman Mary Nichols told the Times. 38 Issa is investigating whether the administration used unlawful secrecy and ―the possibility of a taxpayer bailout of GM and Chrysler to secure their cooperation and support with new fuel economy standards.‖ 39 At a minimum, the Brownerled back-room negotiations make a mockery of EPA Administrator Jackson's 40 and President Obama's 41 high-profile commitments to transparency and openness in environmental policymaking. Overturning the Endangerment Finding Would Help America's Auto Industry. The Alliance of Automobile Manufacturers—which represents 11 carmakers, including the Detroit Big Three—under pressure from Speaker Pelosi's office, 42 wrote to congressional leaders in March warning that if Congress overturns the endangerment finding and nixes the joint GHG/fuel economy rule, NHTSA will not be able to ―de-couple‖ its portion quickly enough to meet the April 1, 2010, deadline for finalizing federal fuel economy regulations for the 2012 model year. 43 Although NHTSA met its deadline, overturning the endangerment finding would void the joint rule after the fact. How would that affect automakers' design and innovation plans? One possibility is that model year 2011 fuel economy standards would remain in place for an additional year. That would save the industry $5.9 billion in incremental technology costs. 44 It would also reduce the CAFE death toll, because even ―attribute-based‖ fuel-economy regulation induces some downsizing. EPA and NHTSA struggle to diminish the size-safety tradeoff in their joint rule. However, they include a ―worst-case‖ scenario in which the new standards cause an additional 493 deaths in model year 2016. 45 Slowing the pace of fuel economy regulation would save lives. Note also that retaining the model year 2011 standard for an additional year would have no adverse impact on public health and welfare, even if EPA's endangerment finding were scientifically unassailable. Delay would make no perceptible difference in atmospheric CO2 concentrations, average global temperature, weather patterns, or U.S. energy security. 46 Another possibility is that courts strike down the EPA/GHG parts of the joint rule, leaving the model year 2012 fuel economy standard in place. After all, only the GHG components of the rule depend on the endangerment finding. NHTSA has separate authority under EPCA/EISA to establish fuel economy standards for model years 2012-2016. Either outcome would relieve the regulatory burden on America's struggling auto industry. The industry could more easily comply with a single federal fuel economy standard than with the mixed federal-state-GHG-fuel economy regime it faces under the joint rule. EPA's Pattern of Self-Dealing. EPA issued its endangerment finding in response to the Supreme Court's decision in Massachusetts v. EPA. Petitioners in the case—a dozen state attorneys general and numerous environmental groups—sought to compel EPA to determine whether greenhouse gas emissions from new motor vehicles endanger public health and welfare. Petitioners argued that the case dealt solely with EPA's authority to regulate new motor vehicles under CAA section 202, which, they claimed, is ―entirely separate‖ from EPA's authority to establish NAAQS under Title I. 47 They also emphasized that EPA must take compliance costs into account when setting motor vehicle emission standards, precluding ―dire economic or political consequences.‖ 48 Beguiled by such assurances, the 5-4 majority concluded that an endangerment finding would not lead to ―extreme measures‖—that is, it would not lead to actions Congress could not have authorized. 49 Neither EPA nor counsel representing the agency ever challenged these assertions. But how could EPA, the acknowledged expert in the CAA, not understand the regulatory chain reaction that an endangerment finding would ignite? In June 1998, technology analyst Mark P. Mills published a report warning that applying the CAA to CO2 would compel EPA to regulate over one million small- to mid-sized businesses. 50 The Mills study was a response to then-EPA General Counsel Jonathan Z. Cannon's April 1998 memorandum asserting EPA's authority to regulate GHG emissions under the CAA. 51 Petitioners cited the Cannon memorandum in support of their reading of the CAA. 52 The Mills study was published by the Greening Earth Society, one of EPA's ―stakeholders.‖ EPA could not have been unaware of it. EPA's July 2008 Advanced Notice of Proposed Rulemaking 53 and October 2009 Tailoring Rule proposal amply confirm the basic thrust, if not the particular details, of the June 1998 Mills study. They leave no doubt that regulating GHGs under CAA section 202 would lead automatically to regulation under other provisions, produce absurd results, and expand EPA's power far beyond any plausible congressional mandate. So why didn't EPA say so when it really mattered? The Greenhouse Briar Patch Here, in simplest form, is the strong argument which EPA's counsel neglected to make in Massachusetts v. EPA: - EPA cannot regulate GHGs under CAA section 202 without regulating CO2 under the Act as a whole, including PSD, Title V, and NAAQS. - Applying the Act as a whole to CO2 leads to absurd results—―extreme measures‖ that conflict with, and undermine, congressional intent. - Therefore, Congress cannot reasonably be construed as having authorized EPA to regulate GHGs under CAA section 202. Had the counsel for EPA presented this argument to the Court, the case might have had a very different outcome. But then EPA would not be in a position to dictate terms to the auto industry on fuel economy, and to the nation on climate and energy policy. To suggest that EPA only figured out after losing Massachusetts v. EPA what it stood to gain from defeat strains credulity. Similarly, EPA could have used the strong argument to abstain from making an endangerment finding. As the Court said, ―We need not and do not reach the question whether on remand EPA must make an endangerment finding....We hold only that EPA must ground its reasons for action or inaction in the statute.‖ 54 The statutory reasons are that EPA cannot make an endangerment finding without undertaking ―extreme measures‖ such as the extension of permitting requirements to tens of thousands or even millions of previously unregulated sources, and that EPA can mitigate (although not avoid) such ―absurd results‖ only by breaching the separation of powers and amending the statute. Why didn't EPA avail itself of the strong argument during the Massachusetts v. EPA case and during its deliberations on the endangerment finding? The only plausible explanation is that the agency wanted to be thrown in the greenhouse briar patch all along. Conclusion. Let us review the steps by which EPA is amassing powers not delegated by Congress. 1. EPA pulls its punches in Massachusetts v. EPA, contributing to a 5-4 decision that authorizes the agency to find endangerment and regulate GHGs under CAA section 202. 2. EPA declines on remand to offer statutory reasons (―absurd results‖) for not making an endangerment finding. 3. EPA's reconsideration of former EPA Administrator Stephen Johnson's denial of the waiver creates the threat of a patchwork of conflicting fuel-economy requirements across the country. 4. The patchwork threat enables the White House to broker a deal whereby EPA gets to take the lead from NHTSA in regulating fuel economy—a power not granted to EPA by the CAA. 5. The joint GHG/fuel economy regulation compels EPA to regulate CO2 from stationary sources—another power Congress never delegated to EPA. 6. The stage is set for EPA to regulate fossil-energy production and use in all sectors— manufacturing, power generation, commercial, and residential—and, thus, to determine climate policy for the nation, even though Congress is still debating whether and how to regulate greenhouse gas emissions. 7. Because applying the CAA to CO2 leads to ―absurd results,‖ EPA gets to play lawmaker and amend the Act—yet another power never delegated by Congress. The Murkowski resolution raises a simple but fundamental question: Who shall make the big decisions about the content and direction of public policy—the people's elected representatives or politically unaccountable bureaucrats, trial lawyers, and activist judges? Sen. Barbara Boxer (D-Calif.) criticized the resolution, stating that if the public has to wait for Congress to pass legislation to control GHG emissions, ―that might not happen, in a year or two, or five or six or eight or 10.‖ 55 Yes, but that is representative democracy. And the democratic process is more valuable than any result that EPA might obtain by doing an end run around it. It is not too much to ask of U.S. senators that they understand and honor this fundamental precept of our constitutional system. Notes 1 S. J. Res. 26, available at http://www.openmarket.org/wp-content/uploads/2010/01/murkowski-resolution-text.pdf. 2 Environmental Protection Agency, Endangerment and Cause or Contribute Findings for Greenhouse Gases Under Section 202(a) of the Clean Air Act, 74 FR 66496-66546, December 15, 2009 (hereafter cited as Endangerment Finding), http://www.masterresource.org/wp-content/uploads/2010/01/Final-endangerment-finding-as-published-inFR2.pdf. 3 Environmental Protection Agency, Prevention of Significant Deterioration Greenhouse Gas Tailoring Rule; Proposed Rule, 74 FR 55292-55365, October 27, 2009 (hereafter cited as Tailoring Rule), http://www.masterresource.org/wp-content/uploads/2010/01/Tailoring-Rule-as-published-in-FR8.pdf. 5 EPA, Prevention of Significant Deterioration and Title V Greenhouse Gas Tailoring Rule; Final Rule, prepublication version, May 13, 2010. 4 EPA, Tailoring Rule, pp. 55301, 55304. 6 Clean Air Act §169. 8 For a detailed discussion of the issues, see Nathan Richardson, Greenhouse Gas Regulation under the Clean Air Act: Does Chevron v. NRDC Set the EPA Free? Discussion Paper, Resources for the Future, December 2009, http://papers.ssrn.com/sol3/papers.cfm?abstract_id=1552138. 7 Clean Air Act §501. 9 EPA, Endangerment Finding, p. 66516. 11 Hansen et al. Target Atmospheric CO2: Where Should Humanity Aim? 10 Earth System Research Laboratory, Trends in Atmospheric Carbon Dioxide, Mauna Loa, Hawaii, http://www.esrl.noaa.gov/gmd/ccgg/trends/. http://www.columbia.edu/~jeh1/2008/TargetCO2_20080407.pdf. Bill McKibben, ―Gore embraces 350 target at Poznan,‖ Climate Progress, December 12, 2008, 12 http://climateprogress.org/2008/12/12/al-gore-350-ppm-co2-target-at-poznan/. 14 The Center for Biological Diversity, 350.Org, Petitioners, Petition to Establish National Pollution Limits for Greenhouse Gases Pursuant to the Clean Air Act, December 2, 2009, http://www.openmarket.org/wpcontent/uploads/2009/12/cbd-350org-petition.pdf. 13 ―Rajendra Pachauri embraces 350 ppm, not as IPCC chair but as human being,‖ Climate Progress, August 25, 2009, http://climateprogress.org/2009/08/25/ipcc-chair-rajendra-pachauri-350-ppm-bill-mckibben/. 15 350.Org is building an ―international campaign‖ in more than 100 countries to reduce CO2 levels to 350 ppm, according to the group's website, http://www,350.org. 17 Whitman v. American Trucking Associations, Inc. 531 U.S. 457, 465 (2001). 16 Clean Air Act §172. 18 Peabody Energy Company, Petition for Reconsideration, Endangerment and Cause or Contribute Findings for Greenhouse Gases under Section 202(a) of the Clean Air Act, February 11, 2010, http://www.epa.gov/climatechange/endangerment/downloads/Petition_for_Reconsideration_Peabody_Energy_Com pany.pdf. 20 Available at http://www.openmarket.org/wp-content/uploads/2010/03/lisa-jackson-letter-to-jay-rockefeller-feb22-2010.pdf. 19 Sen. Lisa Murkowski, Floor Statement: Introduction of Disapproval Resolution, January 21, 2010, http://murkowski.senate.gov/public/?a=Files.Serve&File_id=46342a62-3e24-4f69-98fa-437d6f6f29db. 21 Environmental Protection Agency, National Highway Traffic Safety Administration, Light Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards; Final Rule, April 1, 2010 (hereafter GHG/Fuel Economy Standards Rule), http://www.epa.gov/otaq/climate/regulations/ldv-ghg-final-rule.pdf. 23 Environmental Protection Agency, California State Motor Vehicle Pollution Control Standards, Notice of Decision Granting a Waiver of Preemption for California's 2009 and Subsequent Model Year Greenhouse Gas Emission Standards for New Motor Vehicles; Notice, 74 FR 32744-32784, July 8, 2009, 22 Environmental Protection Agency, California State Motor Vehicle Pollution Control Standards, Notice of Decision Denying a Waiver of Clean Air Act Preemption of California's 2009 and Subsequent Model Year Greenhouse Gas Standards for New Motor Vehicles, 73 FR 12156-12169, March 6, 2008, http://edocket.access.gpo.gov/2008/pdf/E8-4350.pdf. http://edocket.access.gpo.gov/2008/pdf/E8-4350.pdf. 24 Stephen Johnson, Letter to California Governor Arnold Schwarzenegger, December 19, 2007, http://edocket.access.gpo.gov/2008/pdf/E8-4350.pdf. 26 Senate Committee on Environment and Public Works, hearing entitled ―Oversight of EPA's Decision to Deny the California Waiver,‖ January 28, 2008. 25 The joint letter is available at http://edocket.access.gpo.gov/2008/pdf/E8-4350.pdf. 27 28 Environmental Protection Agency, Emission Facts: Greenhouse Gas Emissions from a Typical Passenger Vehicle, http://www.epa.gov/OMS/climate/420f05004.htm. 49 USC 32919. 29 EPA, NHTSA, GHG/Fuel Economy Standards Rule, p. 10. 31 National Research Council, Effectiveness and Impact for Corporate Average Fuel Economy (CAFE) Standards, National Academies Press, 2002, p. 27, http://books.nap.edu/openbook.php?record_id=10172&page=27. 30 For a description of the EISA fuel economy reforms, see Brent D. Yacobucci and Robert Bamberger, Automobile and Light Truck Fuel Economy: The CAFE Standards, CRS Report for Congress, Updated May 7, 2008, http://ncseonline.org/NLE/CRSreports/08Jun/RL33413.pdf. 32 National Automobile Dealers Association, Patchwork Proven: Why A Single National Fuel Economy Standard Is Better For America Than A Patchwork Of State Regulations, January 2009, http://www.nada.org/NR/rdonlyres/DBCC625E-2E8E-4291-8B23-B94C92AFF7C4/0/patchworkproven.pdf. 34 The ―historic agreement‖ reduces rather than eliminates the patchwork. As noted above, automakers will have to meet a separate fuel economy standard within the ―California‖ states and must answer to state-level GHG/fuel economy regulators. In addition, automakers will have to meet two federal standards—one for fuel economy, another for GHG emissions. 33 California Air Resources Board, Resolution 10-15, February 10, 2010, http://www.arb.ca.gov/regact/2010/ghgpv10/res1015.pdf. 35 Chamber of Commerce of the United States of America and National Automobile Dealers Association v. U.S. Environmental Protection Agency and Lisa Jackson, October 13, 2009, http://www.masterresource.org/wpcontent/uploads/2010/03/NADA-Chamber-of-Commerce-Oct-13-2009.pdf. Rep. Darrel Issa, Letter to White House Counsel Robert Bauer, March 24, 2010, 36 http://www.masterresource.org/wp-content/uploads/2010/03/Issa-letters-requesting-info-historic-agreement-due-4- 8.pdf. 38 Colin Sullivan, ―Vow of silence key to White House-Calif. fuel economy talks,‖ New York Times, May 20, 2009, 37 Presidential Records Act, 44. U.S.C. Chapter 22, § 2203. http://www.nytimes.com/gwire/2009/05/20/20greenwire-vow-of-silence-key-to-white-house-calif-fuel-e12208.html. 39 Rep. Darrel Issa, Letters to auto executives about vow of silence and other improprieties connected with ‗historic agreement,' April 22, 2010, http://republicans.oversight.house.gov/images/stories/Letters/2010-04- 22_DEI__Smith_to_Whitacre-GM_-_request_info_secret_negotiations_historic_agreement_due_4-301.pdf. 40 Lisa Jackson, Transparency in EPA's Operations, April 23, 2009, http://www.peer.org/docs/epa/09_10_08_EPA_All-Employees_Transparency_e-mail.pdf. 41 President Barack Obama, Speech to the National Academy of Sciences, April 27, 2009, http://www.realclearpolitics.com/articles/2009/04/27/obama_speech_academy_of_sciences_transcript_96221.html. Ian Talley and Joshua Mitchell, ―How Dem Leadership Presses Auto Industry on CO2 Proposal,‖ The Wall Street 42 Journal, March 3, 2010, http://www.nasdaq.com/aspx/company-news- story.aspx?storyid=201003041833dowjonesdjonline000748&title=house-dem-leadership-presses-auto-industry-onco2-proposal. 44 EPA, NHTSA, GHG/Fuel Economy Standards Rule, Table 4A.5-6. 43 Available at http://www.masterresource.org/wp-content/uploads/2010/03/Auto-Alliance-letter-to-House-andSenate-leaders-March-17-2010.pdf. 45 EPA, NHTSA, GHG/Fuel Economy Standards Rule, p. 144. 46 Even if Congress were to enact a 43 mpg fuel economy standard – substantially more stringent than the 34.1 mpg standard for model year 2016 specified in the EPA/NHTSA joint rule – the net reduction in global temperature would be a hypothetical and undetectable 0.01°C in 2100. See John Christy, Letter to Lisa Jackson, March 10, 2009, http://www.openmarket.org/wp-content/uploads/2010/04/christyjr_epa_090311.pdf. 47 Petitioners' Initial Brief, Massachusetts v. EPA, U.S. Supreme Court, August 31, 2006, p. 28, http://www.abanet.org/publiced/preview/briefs/pdfs/06-07/05-1120petitioners.pdf. 50 Mark P. Mills, A Stunning Regulatory Burden: The EPA Designating CO2 as an Air Pollutant, Greening Earth Society, June 1998, http://www.openmarket.org/wp-content/uploads/2010/05/ges_report_mills_stunning-regulatoryburden1.pdf. 48 Ibid, pp. 19-20; Petitioners' Final Reply Brief, Massachusetts v. EPA, U.S. Court of Appeals for the District of Columbia, December 17, 2004, p. 7, http://icta.org/doc/Petitioners%20Final%20Reply%20Brief%201.25.05.pdf. 49 Massachusetts v. EPA, 549 U.S. 497, 531, April 2, 2007. 51 Jonathan Z. Cannon, EPA's Authority to Regulate Pollutants Emitted by Electric Power Generation Sources, April 10, 1998, http://www.law.umaryland.edu/faculty/bpercival/casebook/documents/epaco2memo1.pdf. 52 International Center for Technology Assessment, Petition for Rulemaking and Collateral Relief Seeking Regulation of Greenhouse Gas Emissions from New Motor Vehicles under §202 of the Clean Air Act, October 20, 1999, http://www.icta.org/doc/ghgpet2.pdf; Petitioners' Final Brief, Massachusetts v. EPA, October 12, 2004, pp. 11, 16, http://www.icta.org/doc/Petitioners'%20Final%20Brief%201.25.05.pdf; Petitioners' Brief, Massachusetts v. EPA, August 31, 2006, pp. 3, 19, http://www.icta.org/doc/Petitioners'%20Final%20Brief%201.25.05.pdf. 54 Massachusetts v. EPA at 535. 53 Environmental Protection Agency, Advanced Notice of Proposed Rulemaking: Regulating Greenhouse Gas Emissions Under the Clean Air Act; Proposed Rule, 73 FR, July 30, 2008, http://edocket.access.gpo.gov/2008/pdf/E8-16432.pdf. 55 Juliet Eilperin, ―Senators try to thwart EPA efforts to cut emissions,‖ The Washington Post, January 22, 2010, http://www.washingtonpost.com/wp-dyn/content/article/2010/01/21/AR2010012104512.html?nav=emailpage.
NATIONAL HEALTH LABOUR FORCE SERIES Number 30 Medical labour force 2002 Australian Institute of Health and Welfare Canberra AIHW cat. no. HWL 30 This work is copyright. Apart from any use as permitted under the Copyright Act 1968, no part may be reproduced without prior written permission from the Australian Institute of Health and Welfare. Requests and enquiries concerning reproduction and rights should be directed to the Head, Media and Publishing, Australian Institute of Health and Welfare, GPO Box 570, Canberra ACT 2601. This publication is part of the Australian Institute of Health and Welfare's National Health Labour Force Series. A complete list of the Institute's publications is available from the Publications Unit, Australian Institute of Health and Welfare, GPO Box 570, Canberra ACT 2601, or via the Institute's web site <http://www.aihw.gov.au>. More comprehensive statistics from the 2002 medical labour force survey and earlier surveys are also available from the Institute's web site. ISSN 1327 – 4309 ISBN 1 74024 418 4 Suggested citation Australian Institute of Health and Welfare 2004. Medical labour force 2002. AIHW cat. no. HWL 30. Canberra: AIHW (National Health Labour Force Series No. 30). Australian Institute of Health and Welfare Board Chair Hon. Peter Collins, AM, QC Director Dr Richard Madden Any enquiries about or comments on this publication should be directed to: Labour Force and Rural Health Unit Australian Institute of Health and Welfare GPO Box 570 Canberra ACT 2601 Phone: (02) 6244 1153 E-mail: email@example.com Published by Australian Institute of Health and Welfare Printed by Elect Printing Contents References............................................................................................................................................26 List of tables Table B1: Estimated survey response rate, states and territories, 2002 ...................................22 List of figures Acknowledgments This publication was compiled by Pam Lee and Odette Vogt, with assistance from Glenice Taylor and Serge Chrisopoulos of the Labour Force and Rural Health Unit and Kathy Southgate of the Data and Information Technology Unit of the Australian Institute of Health and Welfare. We thank each state and territory medical board and health authority that provided data used in this publication, as well as the Australian Bureau of Statistics for population data. Most importantly, we also thank the medical practitioners who took the time to complete the survey. Without their cooperation, it would not be possible to maintain this collection, which is used to underpin planning and policy decisions. Symbols and other usages Throughout this publication, data may not add to the totals shown due to the estimation process for non-response. Percentages may not add to 100.0 due to rounding. Italics within a table denote a subtotal. — Nil or rounded to zero . . Not applicable n.a. Not available n.p. Not publishable vi 1 Main findings * There were an estimated 59,023 registered medical practitioners in Australia in 2002, of whom 92.8% were in the medical labour force. * Most of the practitioners working in medicine in 2002 were clinicians (92.4%), of whom the largest proportion (43.7%) were primary care practitioners (mainly general practitioners), approximately one-third (35.6%) were specialists, and the remainder were either specialists-in-training or hospital non-specialists (11.0% and 9.7% respectively). * Employed medical practitioners were, on average, older in 2002 than in 1997 (46.6 years and 44.7 years, respectively). * Following longer-term trends, the proportion of female practitioners continued to rise, with 31.6% in 2002 compared with 28.0% in 1997. * Medical practitioners worked an average week of 44.4 hours in 2002, a decline from 47.6 hours in 1997. In 2002 medical practitioners across all occupations averaged 42.0 hours per week in clinical work. * In 2002, 44.3% of practitioners worked 50 hours or more per week, a decline over 5 years from 51.1% in 1997. Of clinicians, specialists-in-training (54.4%) and specialists (52.6%) were more likely to work long working weeks in 2002. * The practitioner rate rose from 260 to 275 practitioners per 100,000 population between 1997 and 2002. However, taking into account the drop in hours worked, the outcome was a decrease in supply of full-time equivalent (FTE) practitioners per 100,000 over the period, from 275 FTE practitioners per 100,000 population in 1997 to 271 in 2002 (based on a 45-hour week). * Changes in the supply of all practitioners based in each region varied. Slight decreases in the FTE rate (per 100,000 population) occurred in 'Major cities' (down from 315 to 312) and 'Outer regional' areas (down from 147 to 146). Conversely, increases in supply occurred for those based in the remaining regions, with the largest in 'Very remote' areas (up from 112 to 141), followed by 'Remote' areas (up from 129 to 140). There was a slight increase in 'Inner regional' areas (up from 174 to 176). * Between 1997 and 2002 there was an increase in the number of practitioners in all states and territories. In the Northern Territory (up 48.1%), the Australian Capital Territory (25.1%) and Victoria (23.7%), there were higher percentage increases than experienced nationally (12.0%). When converted to full-time equivalent (FTE) practitioner rates based on a 45-hour week, there was an increase in supply in three jurisdictions: Victoria (from 276 to 301 FTE per 100,000 population), the Northern Territory (from 258 to 346) and the Australian Capital Territory (from 324 to 370). There were decreases in supply in the remaining states, ranging from 3 to 30 FTE per 100,000 population (in South Australia and Queensland, respectively). 2 Composition of the medical labour force Source: Medical Labour Force Survey, 2002. Figure 1: All registered medical practitioners, Australia, 2002 Size In 2002, there were 53,991 registered medical practitioners working in medicine in Australia (the medical workforce), a rise of 12.0% from 1997 (Table 1). Most of the employed practitioners in 2002 were clinicians (92.4%), of whom the largest proportion (43.7%) were primary care practitioners (mainly general practitioners), just over one-third (35.6%) were specialists, and the remainder were either specialists-in-training or hospital non-specialists (11.0% and 9.7%, respectively). Administrators and researchers made up a large proportion of the non-clinical workforce (33.0% and 27.2%, respectively), which also included teachers/educators, public health physicians and occupational health physicians (13.2%, 9.6% and 7.4%, respectively). With the survey changes in 2000, it has been possible to identify non-clinicians who spend part of their time in clinical work. In 2002, there were an estimated 2,046 'part-time' clinicians, of whom 59.3% (1,214) were specialists (Table A5). These 'part-time' clinicians represent 3.9% of the total number of practitioners who undertook some clinical work. Break in series A change to the reporting method for practitioner activity was introduced in 2000 (see 'Break in series' in Appendix B: Explanatory notes) and this has affected the estimates of practitioners across occupations. The new method is based on the occupation in which the practitioner spent the most hours. In order to provide some comparisons over time, data from earlier surveys have been re-calculated, resulting in figures that are different from previously published estimates. The re-calculation method is an approximation only and this should be kept in mind when comparing pre-2000 data with data collected in 2000, 2001 and 2002. Age and sex The medical workforce was, on average, older in 2002 (46.6 years) than in 1997 (44.7 years) (Table 1). Just over a quarter (26.7%) of male practitioners were aged 55 years or more in 1997; this rose to 32.0% in 2002 (Figure 2). The proportion of females aged 55 years or more grew from 9.5% to 12.3%. Conversely, the proportions of males and females aged less than 45 years decreased between 1997 and 2002 (from 46.9% to 41.1% for males and from 72.1% to 62.9% for females). The proportion of females in the medical workforce also continued to increase. In 1997, females formed 28.0% of the medical workforce; the proportion in 2002 was 31.6% (Table 1). Occupation Clinicians The number of clinicians grew by 12.9% from 44,194 in 1997 to 49,895 in 2002 (Table 1). Their average age and the proportion female also increased over this period (from 44.5 to 46.3 years and from 27.9% to 31.5% female). Table 1: Employed practitioners: selected characteristics, 1997 and 2002 (a) Includes 387 RACGP Fellows in 1997; this category was not available in the 2002 survey. Source: Medical Labour Force Surveys, 1997 and 2002. Primary care practitioners The number of primary care practitioners grew by 8.4% between 1997 and 2002 (from 20,134 to 21,815) (Table 1). This is equivalent to an increase of two primary care practitioners per 100,000 population (from 109 in 1997 to 111 in 2002) (Table 14). The average age of primary care practitioners increased by 2 years between 1997 and 2002 (from 46.3 years to 48.9 years). This was despite the increased proportion of female primary care practitioners (33.0% in 1997 and 36.3% in 2002) who were, on average, younger than their male colleagues (44.4 years for females and 51.5 years for males in 2002) (Table 12). Hospital non-specialists The hospital non-specialist workforce grew by 12.1% and aged by 3.8 years on average between 1997 and 2002 (Table 1). The growth can be attributed to the more than doubling of the number of Career and other medical officers over the period (from 965 to 2,030). Conversely, the number of RMOs/interns declined (from 3,356 and 2,815). In 2002, there were 25 hospital non-specialists per 100,000 population, a rise of two from 1997 (Tables A3 and A4). Specialists The number of specialists increased by 17.2% between 1997 and 2002 (from 15,155 to 17,762), an increase of eight specialists per 100,000 population (from 82 to 90) (Tables 1, A3, A4). Over the 5 years, all the broad specialty fields experienced growth: Internal medicine by 21.7%, Pathology by 22.7%, Surgery by 9.4% and Other specialties by 17.3%. Surgery remains the most male-dominated specialty, with fewer than one in ten being female (6.3%) in 2002, followed by Internal medicine in which one in five (19.8%) were female (Table 1). Unlike most other medical occupations, specialists aged only slightly, from 49.6 years in 1997 to 50.1 years in 2002, and this was similar for all the broad specialty areas, except Pathology specialists who aged by 1.3 years (Table 1). Specialists-in-training The number of specialists-in-training grew by 19.4% between 1997 and 2002 (from 4,584 to 5,474) (Table 1). Trainees in the fields of Pathology grew by 66.7% and in Surgery by 30.7%. Specialists-in-training were slightly older in 2002 (32.7 years) than in 1997 (31.8 years) and the proportion of females increased (from 33.1% to 41.0%). In the specialist field of Pathology, more than half the trainees were female in 2002 (55.5%). The proportion of female Surgical trainees increased by 4.5 percentage points between the two survey years (from 11.5% to 16.0%), the second lowest growth after Internal medicine (3.9 percentage points), while Surgery remained the specialty field with the lowest proportion of female specialists-intraining. Non-clinicians The non-clinical workforce increased slightly (2.3%) between 1997 and 2002 (from 4,004 to 4,096) (Table 1). Among the non-clinical occupations, administrators, researchers and teachers/educators increased in number between 1997 and 2002 (by 58.0%, 52.1% and 3.8%, respectively). Decreases occurred for public health physicians and occupational health physicians (down by 25.6%, and 5.0%, respectively). The average age of non-clinicians rose by 1.7 years (from 47.5 in 1997 to 49.2 in 2002) and the proportion of females increased from 29.5% to 31.9%. 3 Working hours Occupation The functions of a medical practitioner can vary, and many allocate their time across more than one medical occupation. The level of clinical work performed by non-clinicians is of particular interest because it contributes to the provision of direct patient care. It is also important to know how much time clinicians spend in non-clinical work. The average hours practitioners spent per week in the different medical occupations show the extent to which this occurred (Table 2). Medical practitioners across all occupations averaged 42.0 hours per week in clinical work (Table 2). Of clinicians, specialists-in-training tended to average relatively high hours in clinical work (48.8 hours), followed by hospital non-specialists (45.9 hours). Hospital non-specialists spent about 8.7 hours per week on average as administrators and, conversely, administrators spent around 9.4 hours in clinical work. Overall, non-clinicians averaged between 8.8 hours and 13.2 hours per week in clinical work, depending on their main occupation. Between 1997 and 2002, practitioners reduced their average weekly hours by just over 3 hours (from 47.6 hours to 44.4 hours) (Table 3). This was evident across all the occupations, except researchers whose average working week increased by 3.2 hours (from 40.7 hours to 43.9 hours). Of the rest of the occupations, larger reductions were experienced by teachers/educators (down by 5.6 hours) and hospital non-specialists (down by 4.8 hours). Administrators' weekly hours were relatively stable between 1997 and 2002 (46.7 and 46.2, respectively) although the proportion working 50 or more hours per week rose by 1.5 percentage points (from 52.8% to 54.3%). The proportion of researchers working 50 or more hours also rose over this period (from 40.6% to 44.8%). Table 2: Employed practitioners: average weekly hours in all medical occupations, 2002 Source: Medical Labour Force Survey, 2002. Although clinical hours worked have been calculated on slightly different bases in the two survey years (a result of the changed reporting method initiated in 2000), estimates show the average clinical hours worked per week fell by 6.0 hours (from 45.6 hours in 1997 to 39.6 hours in 2002), compared with a reduction of 3.2 hours in practitioners' average total hours (47.6 to 44.4 respectively) (Table 3). Table 3: Employed practitioners: average weekly hours worked, and proportion working 50 hours or more, 1997 and 2002 Note: Calculation of 'clinical hours' differed between 1997 and 2002, because of changes to the surveys. See 'Break in series' in Appendix B: Explanatory notes. Source: Medical Labour Force Surveys, 1997 and 2002. Overall, the proportion of practitioners working 50 hours or more per week declined by 6.8 percentage points (from 51.1% to 44.3%) (Table 3). Primary care practitioners were less likely to work 50 hours or more per week in 2002 (35.2%) than other clinicians, of whom around half worked 50 hours or more. This was similar to the picture in 1997, although proportions working 50 or more hours were higher then: hospital non-specialists working 50 or more hours per week decreased from 61.1% in 1997 to 45.0% in 2002, specialists from 56.8% to 52.6% and specialists-in-training from 66.3% to 54.4%. Sex Female practitioners have traditionally worked fewer hours than males, a pattern that remained stable over the period from 1997 to 2002. In 1997, males worked an average of 11.0 hours more per week than females (50.7 hours compared with 39.7) and in 2002 they worked an average of 10.4 hours more (47.7 hours compared with 37.3) (Figure 3), a slightly wider gap than in 2001 when males worked an average of 9.6 hours per week more than females (AIHW 2003). Despite a continued shift towards working fewer hours, the distribution of hours worked by male practitioners remained skewed towards long working weeks. In 2002, more than half (53.2%) of male practitioners worked 50 or more hours per week (albeit 5.8 percentage points lower than 1997) (Figure 3). However, this decline was most evident in the proportion of male practitioners who worked 65 or more hours per week, where there was a drop between 1997 and 2002 of 5.9 percentage points (from 16.4% to 10.5%). The distribution of hours worked was less skewed for females than for males. In 2002, a higher proportion of female practitioners worked less than 35 hours per week (38.8% compared with 14.0% for males) (Figure 3). The proportion of female practitioners who worked less than 20 hours per week changed little between 1997 and 2002 (12.9% and 13.1%, respectively), while the proportion working 35 to 49 hours per week increased (from 32.9% in 1997 to 36.4% in 2002). Overall supply of practitioners Data on the size and characteristics of the medical workforce present a valuable profile of doctors, but do not give a picture of the overall level of service they provide. Because medical practitioners tend to average long working weeks, the contribution of these hours to the level of service needs to be taken into account to effectively measure overall practitioner supply. Supply can be measured by converting the hours worked into a 'full-time equivalent' (FTE) number of practitioners (see box). Full-time equivalent This is a useful measure of supply because it takes into account hours worked. For medical practitioners, FTE numbers and rates are generally higher than practitioner numbers and rates, because they work relatively high hours per week. The number of practitioners per 100,000 population (or the practitioner rate) in 2002 was 275, an increase of 15 since 1997 (Figure 4). However, when this is converted into an FTE rate, it takes into account the fall in average hours worked between 1997 and 2002. The FTE rate shows that the supply of practitioners was 354 per 100,000 population in 1997 and 349 in 2002, based on a 35-hour week, and 275 and 271, respectively, based on a 45-hour week. The number of full-time equivalent practitioners equals the number of practitioners multiplied by the average weekly hours worked, divided by the number of hours in a 'standard' full-time working week. An example showing two alternatives are provided for a 'standard' working week: 35 hours (the general workforce 'standard') and 45 hours (close to the 'standard' or average worked by medical practitioners). While a 35-hour or 38-hour week is the standard in many industries, the 'typical' working week varies between occupations. The FTE number is converted to a rate per 100,000 population for comparison with the practitioner rate (also expressed per 100,000). The practitioner rate for clinicians also increased between 1997 and 2002 (from 239 to 254 per 100,000 population) (Figure 4). Again, there was a slight drop in the FTE rate of clinicians between 1997 and 2002 (328 and 324 per 100,000 population, respectively, based on a 35– hour week; and 255 and 252 per 100,000 population, respectively, based on a 45-hour week). Across the broad specialty groups, the specialist rate per 100,000 population increased over the 5 years from 1997 to 2002, albeit only slightly in Pathology and Surgery (each up by one practitioner per 100,000 population) (Figure 5). This pattern did not hold true for the specialist FTE rate (or supply of specialists) over the same period. While the FTE rate for Internal medicine specialists increased by three FTE (from 23 to 26 per 100,000 population), the supply of specialists in Pathology remained unchanged (at four FTE per 100,000 population in both 1997 and 2002) and the supply of specialists in Surgery decreased slightly, by one FTE (from 19 to 18 per 100,000 population) (Figure 5). Sources: Medical Labour Force Surveys, 1997 and 2002; ABS 1997, 2002. Figure 5: Employed specialists: specialist rate and FTE (a) rate, 1997 and 2002 4 Geographic comparisons Regions There were an estimated 19.6 million resident Australians in 2002 (ABS 2002) and around 53,991 medical practitioners providing services to this population. The geographic distributions of these medical practitioners and the services they provide are important for planning equitable access to health care. Major cities In 2002, about 13.03 million (66.3%) Australians lived in Major cities, where some 41,489 (79.5%) medical practitioners provided services. The average age of these practitioners was 46.5 years and they worked an average of 44.1 hours per week. This compares with an average age of 44.8 and an average working week of 47.2 in 1997. Females made up 28.5% in 1997, and 32.3% in 2002. Table 4: Employed practitioners in Major cities: FTE rate, 1997 and 2002 Inner regional In 2002, about 4.08 million (20.8%) Australians lived in Inner regional areas, where some 7,137 (13.7%) medical practitioners provided services. The average age of these practitioners was 47.1 years and they worked an average of 45.4 hours per week. This compares with an average age of 45.3 and an average working week of 48.6 in 1997. Females made up 24.9% in 1997, and 26.9% in 2002. Table 5: Employed practitioners in Inner regional areas: FTE rate, 1997 and 2002 Figure 6: Australian Standard Geographic Classification (ASGC) Remoteness Areas The Remoteness Area Structure of the ASGC has been used to geographically distribute medical practitioners into the following five regions which are classed by remoteness: Major cities, Inner regional, Outer regional, Remote and Very remote. These areas are mapped (Figure 6) and selected characteristics provide a picture of practitioners by their main working location, relative to the Australian population, across the different regions (Tables 4 to 8). (a) Rates are per 100,000 population. Note: The sum of the practitioners in each region (Tables 4 to 8) does not add to the total for Australia (53,991) because 1,816 practitioners did not report the region in which they worked. Outer regional In 2002, about 2.03 million (10.3%) Australians lived in Outer regional areas, where some 2,886 (5.5%) medical practitioners provided services. The average age of these practitioners was 46.0 years and they worked an average of 46.2 hours per week. This compares with an average age of 44.7 and an average working week of 50.0 in 1997. Females made up 26.9% in 1997, and 29.6% in 2002. Table 6: Employed practitioners in Outer regional areas: FTE rate, 1997 and 2002 Remote In 2002, about 0.32 million (1.7%) Australians lived in Remote areas, where 433 (0.8%) medical practitioners provided services. The average age of these practitioners was 44.7 years and they worked an average of 47.1 hours per week. This compares with an average age of 41.8 and an average working week of 50.4 in 1997. Females made up 30.4% in 1997, and 32.8% in 2002. Table 7: Employed practitioners in Remote areas: FTE rate, 1997 and 2002 Very remote In 2002, about 0.18 million (0.9%) Australians lived in Very remote areas, where some 231 (0.4%) medical practitioners provided services. The average age of these practitioners was 43.3 years and they worked an average of 49.1 hours per week. This compares with an average age of 40.5 and an average working week of 51.2 in 1997. Females made up 27.8% in 1997, and 38.5% in 2002. Table 8: Employed practitioners in Very remote areas: FTE rate, 1997 and 2002 Distribution Overall in 2002, practitioners based 1 in Remote and Very remote areas were more likely to be younger and to work more hours per week than practitioners in other regions. Compared with their colleagues based in Major cities, practitioners in Remote and Very remote areas were, on average, 2 to 3 years younger and worked longer by some 3 and 5 hours per week, respectively (Tables 4 to 8). In 1997 also, practitioners who reported being based in Remote and Very remote regions were on average 3 to 4 years younger than their colleagues based in Major cities and worked longer weeks by some 3 to 3.5 hours, respectively. Within each region, they also worked more hours per week in 1997 than in 2002, with average hours ranging from 47.2 to 51.2 across the regions, compared to 2002 when average hours ranged from 44.1 to 49.1. The higher average hours worked by practitioners based in less populated (more remote) areas reflect the comparatively fewer practitioners based in these regions. More than threequarters (79.5%) of practitioners were based in Major cities where two-thirds (66.3%) of the population lived, with the remaining practitioners distributed across the remaining third (33.7%) of the population living in the other regions. In keeping with the national trend, the proportion of female practitioners increased in all regions during the 5 years from 1997 to 2002. The largest increase (10.7 percentage points) occurred in Very remote areas (up from 27.8% to 38.5%). This compares with slight increases in Inner regional, Outer regional and Remote areas (up 2.0, 2.7, and 2.4 percentage points, respectively) which were below the national increase of 3.5 percentage points (Tables 4 to 8 and Table 1). Changes in the supply of all practitioners based in each region varied. Slight decreases in the FTE rate (per 100,000 population) occurred in Major cities (down from 315 to 312) and Outer regional areas (down from 147 to 146). Increases in supply occurred for those based in the remaining regions, with the largest in Very remote areas (up from 112 to 141), followed by Remote areas (up from 129 to 140). There was just a slight increase in Inner regional areas (up from 174 to 176). The pattern of supply of primary care practitioners was different from that for practitioners overall. Only Very remote areas experienced an increase in the FTE rate (from 67 to 93 per 100,000 population). This comparatively large increase was mainly a function of the increase in the primary care practitioner rate (i.e. the number per 100,000 population) in Very remote regions (from 63 in 1997 to 87 in 2002) and stable average hours worked by these practitioners over the same time (Tables 4 to 8 and Tables A2, A3 and A4). While primary care practitioners in Very remote regions slightly increased their average weekly hours over the period, (47.7 in 1997 to 48.4 in 2002), their colleagues in other regions reduced their hours by some 3.5 to 4.4 hours. As a result, although the primary care practitioner rate increased marginally in the other regions (or remained stable as in Outer regional areas), their respective FTE rates decreased. For example, primary care practitioner rates increased in Major cities (from 116 to 118 per 100,000 population) and average hours reduced from 43.5 to 40.0, resulting in lower supply than in 1997 (Tables A2, A3 and A4). Specialists and specialists-in-training are generally associated with hospitals and the services that hospitals provide, together with facilities for research, training and advanced equipment 1 A practitioner's 'base' was determined by their main working location. for treatment and are, therefore, more likely to be concentrated in more populated areas. For this reason, only minimal increases in the supply of specialists and specialists-in-training based in less populated areas would be expected. However, counter-intuitively, specialists and specialists-in-training in Remote areas rose by five and three FTE per 100,000 population, respectively, between 1997 and 2002, while their city-based colleagues increased by four and three FTE per 100,000 population and their Inner regional colleagues increased by two and three FTE per 100,000 population over the same period (Tables 4 and 8). One of the factors affecting supply, the specialist rate (i.e. the number per 100,000 population), increased in all regions between 1997 and 2002, ranging from an increase of ten per 100,000 population in Major cities to three in Outer regional areas (Tables A3 and A4). However, the other factor influencing supply, hours worked by specialists, decreased in all regions except Remote where there was little change (Table A2). Inter-regional service delivery in 2002 The above comparisons of changes in regional supply over the 5 years from 1997 to 2002 showed the interaction of working hours and the practitioner rate, and the consequent effect on supply. To enable comparisons between the years, these measures of supply were based on the total hours worked in all locations by practitioners and were presented by region of main working location. The following discussion on inter-regional service delivery aims to draw attention to practitioners' movements between regions and to the fact that this changed the distribution of supply in 2002 (NB: similar data are unavailable for 1997). When shown by main working location, the practitioner rate and FTE rate for Major cities were higher than in less populated regions. However, when secondary working locations were also considered, this showed the extent to which service provision outside Major cities had been augmented by practitioners delivering inter-regional services. Table 9: Number of practitioners (a) and average hours per week worked in second work location, by region of main work location, 2002 (a) Excludes 1,816 practitioners who did not report the regions in which they worked. Source: Medical Labour Force Survey, 2002. In 2002, some 943 practitioners who were based in Major cities also practised in a less populated region (Table 9). For example, 25 of these city-based practitioners averaged around a day per week (9.4 hours) in Remote areas and 10 averaged a day per week (6.8 hours) in Very remote areas. Similarly, practitioners based in Outer regional areas provided services to Remote areas (where 30 of them averaged 10.8 hours per week) and Very remote areas (where 37 of them averaged 7.7 hours per week). In total, Remote and Very remote areas were provided with services from 116 practitioners based outside these regions and when the hours they worked are factored in, they equated to approximately 22 practitioners working a 45-hour week (a supply increase of nine FTE practitioners per 100,000 population across these two regions). This example is an approximation rather than a precise measure, because not all practitioners reported the regions in which they worked and some practitioners provide services in more than two regions. However, it is indicative of the contribution inter-regional practices made to remote areas. Practitioner mobility across regions was not limited to the examples above and included some practising in a second region of higher population than their main work location and others working in a second region of the same type. However, of practitioners who practised in a second region of a different type (1,275), two-thirds (63.3%) did so in a less populated region. Regional supply in 2002 When practitioners' hours in all regions are presented by the region in which they provided services in 2002, the apparent regional disparity in supply is reduced. For example, in Major cities the FTE rate became lower when, first, the hours worked by city-based practitioners in another region were subtracted and, second, the hours of practitioners based outside Major cities who worked in Major cities were added (312 FTE per 100,000 reduced to 308) (Table 4 and Figure 7). In contrast, when actual delivery hours were calculated in the same way for Very remote areas, the supply of practitioners increased, from 141 FTE per 100,000 to 154 (Table 8 and Figure 7). States and territories Distribution In 2002, there were some variations in practitioners' characteristics across jurisdictions. Practitioners in New South Wales were more likely to be older (47.6 years compared with 46.6 years nationally), whereas those in the Northern Territory were more likely to be younger (39.8 years) than colleagues elsewhere in Australia (Table 10). In 1997, the variation in age across jurisdictions was less apparent than in 2002, with the average age ranging from 40.3 years in the Northern Territory to 45.7 years in the Australian Capital Territory. Higher proportions of female practitioners were evident in the two territories and South Australia, with the Northern Territory nearing half (45.2%) and the Australian Capital Territory and South Australia just over a third (34.9% and 34.7% respectively), compared with less than a third (31.6%) nationally. Between 1997 and 2002, there was an increase in practitioner numbers in all jurisdictions. In the Northern Territory (up 48.1%), the Australian Capital Territory (25.1%) and Victoria (23.7%), there were higher percentage increases than experienced nationally (up 12.0%). Table 10: Employed practitioners: selected characteristics, states and territories, 1997 and 2002 Source: Medical Labour Force Surveys, 1997 and 2002. Supply of practitioners The jurisdictions with highest practitioner rates in 2002 were the Australian Capital Territory and the Northern Territory (380 and 344 per 100,000 population, respectively), followed by South Australia and Victoria (310 and 303 per 100,000 population, respectively) (Table 11). The practitioner rate increased between 1997 and 2002 in all jurisdictions except Queensland (down from 236 to 220 per 100,000 population) and Western Australia (down from 244 to 242). When converted to an FTE rate, there was an increase in supply in three jurisdictions: Victoria (from 276 to 301 per 100,000 population), the Australian Capital Territory (from 324 to 370) and the Northern Territory (from 258 to 346). Table 11: Employed practitioners: practitioner and FTE rate, states and territories, 1997 and 2002 Sources: Medical Labour Force Surveys, 1997 and 2002; ABS 1997, 2002. Primary care practitioners As the main initial contacts for health care, the supply of primary care practitioners is a useful indicator of the accessibility of health services. Supply of primary care practitioners varied across geographic regions (see above section 'Distribution') and similarly, it is useful to view state and territory differences in access to health care by comparing their primary care practitioner numbers and supply. A comparison of the primary care practitioner rates with the rates for all medical practitioners shows some variation in supply across the jurisdictions and, by implication, some differences in access to the health care system. While these comparisons can be useful, they are limited in that they do not take into account the different levels of urbanisation across the states and territories, or the different population profiles. Distribution In 2002, primary care practitioners were, on average, 2.3 years older than practitioners overall (48.9 compared with 46.6 years) and included a higher proportion of females (36.3% compared with 31.6% for all practitioners) (Tables 12 and 10). This national pattern generally held true across jurisdictions. Between 1997 and 2002, primary care practitioner numbers increased in all jurisdictions except Tasmania, which remained essentially the same (570 and 569 practitioners, in 1997 and 2002, respectively). Table 12: Primary care practitioners: selected characteristics, states and territories, 1997 and 2002 (a) Figures for Tasmania are estimates are based on the age and sex distribution in 2003 (Appendix B: Explanatory notes). Source: Medical Labour Force Surveys, 1997 and 2002. In all jurisdictions in 2002, primary care practitioners worked lower average weekly hours than medical practitioners overall, ranging from 5.3 hours per week less in the Northern Territory to 2.4 hours per week less in New South Wales (Table 13). This is, in part, a reflection of higher proportions of female practitioners in primary care and the fact that female practitioners generally work fewer hours per week than males (Figure 3). Table 13: Employed practitioners: average weekly hours worked, states and territories, 1997 and 2002 Source: Medical Labour Force Surveys, 1997 and 2002. The rate for all practitioners in 2002 ranged from 220 per 100,000 population in Queensland to 380 in the Australian Capital Territory (see Table 11), but the range was narrower for primary care practitioner rates (from 90 to 146 per 100,000 again in Queensland and the Australian Capital Territory, respectively) (Table 14). A comparison of all practitioners with primary care practitioners over time within a jurisdiction can also provide a different picture. In Tasmania, for example, the rate for all practitioners increased between 1997 and 2002 (from 245 to 258 per 100,000 population), whereas the primary care practitioner rate was unchanged (120 per 100,000 population in both years) (Tables 11 and 14). In Victoria, the FTE rate shows that the supply of primary care practitioners declined slightly between 1997 and 2002 (from 110 to 106 FTE per 100,000 population). This was in contrast to Victoria's FTE rate for all practitioners, which increased (from 276 to 301 per 100,000 population) (Tables 11 and 14). Table 14: Primary care practitioners: practitioner and FTE rate, states and territories, 1997 and 2002 Sources: Medical Labour Force Surveys, 1997 and 2002; ABS 1997, 2002. Appendix A: Detailed tables Table A1: Employed practitioners: main occupation, 1997 to 2002 Note: Figures for all years before 2002 have been revised. Revisions are a result of changed clinician definition and changes in the survey estimation method (see 'Break in series' in Appendix B: Explanatory notes). Source: Medical Labour Force Surveys, 1997 to 2002. Table A2: Employed clinicians: region of main job, average weekly hours, 1997 and 2002 Note: Figures by region exclude practitioners who did not report the region in which they worked whereas the total includes these practitioners. Source: Medical Labour Force Surveys, 1997 and 2002. Table A3: Employed practitioners: region of main occupation, number and rate (a) , 1997 (a) Rates are per 100,000 population. Note: Figures by region exclude 2,171 practitioners who did not report the region in which they worked whereas the total includes these practitioners. Sources: Medical Labour Force Survey, 1997; ABS 1997. Table A4: Employed practitioners: region of main occupation, number and rate (a) , 2002 (a) Rates are per 100,000 population. Note: Figures by region exclude 1,816 practitioners who did not report the region in which they worked whereas the total includes these practitioners. Sources: Medical Labour Force Survey, 2002; ABS 2002. Table A5: Practitioners who spent some time in clinical work: type of clinical work, 1997 to 2002 Note: Figures for all years before 2002 have been revised. Revisions are a result of changed clinician definition and changes in the survey estimation method (see 'Break in series' in Appendix B: Explanatory notes). Source: Medical Labour Force Surveys, 1997 to 2002. Table A6: Specialists: main specialty of practice and sex, 2002 Note: The classification of specialists as clinicians or non-clinicians is based on the occupation in which they worked the most hours (see 'Break in series' in Appendix B: Explanatory notes). Source: Medical Labour Force Survey, 2002. Table A7: Specialists-in-training: selected characteristics, 2002 Source: Medical Labour Force Survey, 2002. Appendix B: Explanatory notes Method Each state and territory medical board conducts an annual renewal of practitioner registration. As part of the registration renewal process, the survey questionnaire was sent to all medical practitioners in all jurisdictions. The results of the 2002 survey relate to the periods when the renewal notices and the surveys were dispatched. Survey data on practice activity refer to the 4-week period before completion of the questionnaire by each medical practitioner. Scope and coverage The scope of the Medical Labour Force Survey is all practitioners registered with the medical board in each state/territory and eligible to practise. Coverage in some states excludes medical practitioners who registered for the first time during the current year and practitioners with a conditional registration. Response rate The responses to the AIHW Medical Labour Force Survey in 2002 represented 69.6% of the medical registrations in all jurisdictions (Table B1). Table B1: Estimated survey response rate, states and territories, 2002 Source: Medical Labour Force Survey, 2002. The overall response rate is an approximation because some medical practitioners were registered in more than one state or territory and may have completed a questionnaire in just one state or territory. It is not known how often this occurred because it is not possible to match survey records across jurisdictions. Break in series Changes to the questionnaire In 2000, significant changes to the survey questionnaire were introduced. They were designed to improve and expand the information collected about the hours worked by medical practitioners. The expanded information on the fields of practice has led to a change in the way clinicians and non-clinicians are defined. Since 2000, practitioners who spent part of their time in clinical work but the majority of their time working in a non-clinical medical occupation are assigned the occupation in which they worked the most hours. In previous surveys, these practitioners were all assigned the occupation of clinician. In this publication, clinician and non-clinician numbers have been revised for surveys prior to 2000 to enable general comparisons; however, the method used is a close approximation only, not the same measure, and this must be kept in mind when comparing pre-2000 data with data collected from 2000 onwards. As a result of the revision, pre-2000 figures presented in this publication are different from estimates of clinicians and non-clinicians published in the past. Changes to the estimation method A different method of survey estimation was introduced in 2000 to improve survey processing. This method was also used to produce estimates for the 2001 and 2002 surveys. For consistency across surveys, estimates for surveys prior to 2000 have been revised using the same method. As a result of the revisions, pre-2000 figures presented in this publication are different from estimates published in the past. Changes to the coding process In 2000, a more intensive approach was taken in the coding of written answers to questions on 'practitioner type', 'clinician type' and 'specialist field'. This increased the volume of responses which could be moved from the 'other' category and assigned a label. This method was also used to produce estimates for the 2001 survey and then was further refined for the 2002 survey. As a result of the refinements to the coding process in 2002, estimates for 'specialists' field of practice' show some small movements between categories when compared with the two previous years. These items have not been revised for surveys prior to 2000 and, therefore, estimates for those years tend to show a higher number of responses assigned to the 'other' categories. Notes on the AIHW labour force estimates The figures produced from the Medical Labour Force Survey are estimates. Not all medical practitioners who were sent a questionnaire responded to the survey, and estimates of the whole practitioner population are based on survey data which have been weighted to match the available registration information. In 2002, complete registration data were available for five jurisdictions (but not for Western Australia, Tasmania and the Australian Capital Territory). Where registration data were not available, estimation was made on the basis that survey non-respondents in each state/territory had the same characteristics as respondents. Due to changes in the registration renewal period in Tasmania, a dataset based on a comparable time period was not available for late 2002. Therefore, estimates in this report are based on 2003 survey data which have been weighted to 2002 registration figures. Additional estimation has been made for survey respondents who provided incomplete labour force information, again on the basis that survey non-respondents had the same characteristics as respondents. Rounding of estimates may result in numbers not adding up to totals in some tables. Glossary Full-time equivalent (FTE) supply of practitioners The number of full-time equivalent practitioners equals the number of practitioners multiplied by the average weekly hours worked, divided by the number of hours in a 'standard' full-time working week. Two alternatives are shown for a 'standard' working week: 35 hours (the workforce 'standard') and 45 hours (close to the 'standard' worked in 2002 by practitioners). While a 35-hour or 38-hour week is the standard in many industries, the 'typical' working week varies between occupations. The FTE number is converted to a rate per 100,000 population for comparison with the practitioner rate (number of practitioners per 100,000). Geographic classification There are several classifications used to differentiate between various regions in Australia. The two main ones used in health labour force planning are the Rural, Remote and Metropolitan Areas (RRMA) classification and the Australian Standard Geographical Classification (ASGC). The Remoteness Area Structure of the ASGC, produced by the Australian Bureau of Statistics, has been used in this publication to present regional data for medical practitioners. Prior to 2001, the RRMA classification was used. A brief explanation of the classifications is provided below. For a complete guide to the use of geographic classifications, see Rural, Regional and Remote Health: A Guide to Remoteness Classifications (AIHW 2004). The RRMA classification allocates each Statistical Local Area (SLA) in capital cities and metropolitan centres with a population equal to or greater than 100,000 to the Metropolitan zone and to the RRMA classes of Capital city and Other metropolitan centre respectively. All other SLAs are allocated to either the Rural or Remote zone based on the SLA's score on an index of remoteness. The Remoteness Area Structure of the ASGC is based on the Accessibility/Remoteness Index of Australia (ARIA+) where the remoteness index value of a point is based on the physical road distance to the nearest town or service in each of five population size classes based on the 2001 Census of Population and Housing. These classes are: Major cities of Australia Inner regional Australia Outer regional Australia Remote Australia Very remote Australia. Hospital non-specialist Medical practitioners mainly employed in a salaried position in a hospital who do not have a recognised specialist qualification and who are not undertaking a training program to gain a recognised specialist qualification. They include resident medical officers (RMOs) and interns, as well as career and other salaried hospital practitioners. Intern A resident medical practitioner working in a hospital, usually in the first year of service after graduation from medical school. Occupation A description of the job function within the field of medicine: * clinician: a medical practitioner mainly involved in the diagnosis, care and treatment of individuals including recommending preventative action. In this publication, a medical practitioner who spends most hours engaged in clinical practice is classified as a clinician; * administrator: a person mainly employed in medical administration; * teacher/educator: a person teaching or training persons in medicine; * researcher: a person primarily engaged in medical research; * public health physician: a medical practitioner primarily engaged in identifying disease and illness, along with their treatments and any preventive measures that affect the health of the general public; * occupational health physician: a medical practitioner primarily engaged in identifying disease and illness, along with their treatments and any preventive measures, arising from particular occupations or industries; and * other: a job function in medicine which is not one of the above—for example, industrial relations. Primary care practitioner A practitioner in general practice or in the primary care of patients. This category includes practitioners recognised by Medicare as VRGPs, RACGP Fellows, RACGP trainees (see definitions below) and other practitioners whose main practice is unreferred patient attendances. RACGP Royal Australian College of General Practitioners. RACGP trainee A medical practitioner under the supervision of an RACGP Fellow in a job recognised as leading to the RACGP Fellowship. Resident medical officer (RMO) A medical practitioner undergoing further training in a hospital after completing an internship, but who has not commenced a recognised general practice or specialist practice training program. Specialist A medical practitioner with a qualification awarded by, or which equates to that awarded by, the relevant specialist professional college in Australia to treat certain conditions. Specialist-in-training A medical practitioner who has been accepted by a specialist medical college into a training position supervised by a member of the college. Vocationally registered general practitioner (VRGP) A primary care practitioner who has been registered by the Health Insurance Commission as a recognised general practitioner. References ABS (Australian Bureau of Statistics) 1997. Australian demographic statistics. Cat. no. 3101.0. Canberra: ABS. ABS (Australian Bureau of Statistics) 2002. Australian demographic statistics. Cat. no. 3101.0. Canberra: ABS. AIHW (Australian Institute of Health and Welfare) 2003. Medical labour force 2001. AIHW cat. no. HWL 28. Canberra: AIHW (National Health Labour Force Series No. 28). AIHW (Australian Institute of Health and Welfare) 2004. Rural, regional and remote health: a guide to remoteness classifications. AIHW cat. no. PHE 53. Canberra: AIHW.

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