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Wet Loads presentation © Tim Galekop Abstract 2006
A couple of years ago I asked Jack van Asten to help me write a booklet concerning "Wet Loads" In February 2002 Jack suddenly passed away and our walking encyclopedia was gone. He worked for the Dutch National Institute of Public Health and Environment (RIVM) for 17 years and later he started his own company. I have known Jack Since 1980 and worked with him a lot.
Out of experience we know that these wet problems can be avoided or solved, therefore we called the booklet "Wet loads an avoidable problem"
Quite often the packaging material is blamed first as being the cause of wet packs. However we are convinced that wet packs are caused by a combination of factors. Only with this topic you could fill hours. However, in Europe we see considerable changes in the sterilization programs. Some countries have extended their sterilization times from 3 minutes at 134°C to 18 / 30 minutes and increasing at the same time their drying from an average of 10 minutes to 45 minutes. Can you imagine what this does concerning condensation and wet packs? The reason for this extensive increase in sterilisation exposure times are the Prions /protein CJD.
The booklet is dealing with:
The problem,
We are not telling you anything new, but medical packaging / devices coming out wet from the autoclave shall be considered non sterile.
The amount of times I have seen that the products were left in the autoclave with the door open or been placed on the heating system to dry not to mention the hair dryer or the tea towel.
Even water in or on top of the packaging or container, some people might say yes but the water is sterile so there is no problem.
At the end of the sterilization cycle most of the sterilizer load will be electrostatic charged and therefore will be attracting contaminated dust and dirt. Just imagine that the sterile barrier system is not dry at the moment the autoclave doors are opening, the load is rapidly taking in air at the end of the sterilization cycle. If the sterile barrier system is still
wet, it has lost its bacterial barrier properties and there is a big risk of contamination, this text should probable be on every sterilizer in the world.
The theory:
To generate steam water is heated up to the boiling point. As water reaches its boiling point at approx. 100°C the temperature will not any longer rise, any energy added to the water will lead to evaporation of water thus creating steam. If steam touches a material or gas with a lower temperature than the temperature of the steam itself, the steam will give of energy and will condense and water is formed.
In order to be able to evaporate the condense one needs energy and the only way to get this energy is from its environment.
The reason why we have wet loads is that the condense gets separated from the condensation energy and therefore cannot re-evaporate.
If you want to prevent wet loads you have to obey one rule:
Keep the condense in contact with the materials it condensed on, or make sure that all condense that gets separated from its energy finds its way to the drain.
Blame it on the Steam
The most likely place for steam to lose energy on its way from the steam generator is in the pipes.
Herewith a couple of examples:
* Steam pipes not properly insulated steam will condense in the pipe.
* If pipes run down to your sterilizer so will condense.
* Water separator should be as close to the autoclave.
* Steam generator to be as close to autoclave.
* Where there is water you will create more water.
* The use of a steam generator, which does not have sufficient capacity for the autoclave. Pressure drop will occur at the peak demand of steam and a "carry over" of water will happen.
* The steam quality generated from the general steam generator is not always constant.
* Are there any chemicals added during the steam production?
It must be the Sterilizer
The sterilizer except when the manufacturer has overlooked a problem when the sterilizer was designed hardly ever causes wet loads.
Some examples:
* If you have superheated steam than this could be created due to the fact that the reduction valve is to close to the autoclave. This should be minimal ± 10 meters. The steam pressure could be 5 bar and should be reduced to ± 3 bar. Water created during this period will remain water.
When the distance is to short the temperature will not be reduced. Temperature and pressure are related to each other. The higher the pressure the higher the temperature.
What when you have rain in the Sterilizer.
* Construction of a full jacket is of course preferable. There are rib constructions around the single wall and supply steam to these ribs, which have to heat up the entire chamber wall.
* The jacket has a different temperature than the chamber. It could rain in your autoclave.
* The autoclave doors have a different temperature than the chamber or walls.
* Has the steam pipe work the right diameter?
* Do products touch the wall of the autoclave?
* Is the drain valve closed? Drain water could be returned.
In a lot of cases we have seen that to solve the wet loads, one is increasing the drying time. Normally a drying time under normal conditions is 8-10 minutes. Extending the drying time to 20 minutes or even longer does not solve the problem.
What about the load
* Preheat the load is often done. The problems range from poor steam penetration, superheat, damaged sterile barrier systems and other problems.
Another possible problem could be the double tray.
* Load the instruments in a single tray preventing condense to run away to the lowest point of the Sterile Barrier System.
* Do not use support systems, which lift the instruments above the trays.
* Never stack two trays within the Sterile Barrier System ( Double wrapping / container). The lower tray has not enough energy to dry this condense. Stackable trays are according to us not a good idea.
* Use instrument trays which are flat and which are close to the Sterile Barrier System.
* Do not use warped trays.
* Advisable is not to have studs or supports. Some studs are so sharp that they even will damage your Sterile Barrier System
* Do not stack trays on top of each other use baskets.
* Do not overload your autoclave
* Use loading carts
* It is advised not to mix loads Textile and instruments. If you have mixed loads the instruments should be on the bottom shelf and textile above (leaking).
* Loan instruments are probable one of the biggest nightmares which
* Keep the weight of the trays within the limits of ± 8,5 kg.
we have at this moment of time. Trays are much to heavy, stacked trays, there should be much more communication between SBS manufacturers and the loan companies to find the right way of packaging.
* Has the autoclave and packaging been validated.
* Unloading autoclave room temperature.
* How old is the sterilizer.
It might be caused by your washer disinfector
* Take care that after your instruments have been washed they are dry before packing. Anything going wet into your autoclave will come out wet. The sterilizer will not dry your instruments.
* Some hospitals use a rinsing liquid, which is supposed to lubricate the instruments, make them shiny, and lower the surface tension of the rinsing water.
Select the right wrapping material
Packaging materials are probably one of the most important parts of sterilization after disinfection and cleaning.
In principle every Medical device, which needs to be sterilized, has to be packed. Select the right wrapping material
The choice of packaging material depends on several criteria like for instance:
* After sterilization a barrier is needed to protect the packed medical devices and to maintain sterility until the point at which they will be used.
* The medical device, which has to be packed.
* The sterilant medium has to pass through (porosity).
* The material has to pack easily so it has to be soft and memory free.
* Should not release any harmful substances nor considerable change (chemically or physical) during sterilization.
* Strong (packaging, sterilization, transport, storage)
* The packaging material must prevent contamination.
* It must show damages and not create false safety. (pinholes)
* The guarantee of an aseptic opening.
* Possibly being used as a sterile field. Meaning being repellent towards low-tension liquids. We counted in a University hospital 13 different kind of low-tension liquids used in the OR.
* Be compatible with the sterilization process.
* Has to be virtually lint free. Lint is a potential hazard for the patient.
It was Louis Pasteur who understood and proofed that bacteria can only think straight and not go around corners and he proved this with his swan hales.
I am a great supporter to use always two layers of wrap and to wrap the medical device subsequently.
WHY ?
* To create a tortuous path to prevent migration of organisms from reaching the sterile contents. By subsequently packing you always make different folds (lock)
* Double wrap = wrap - wrap
* To be able to use different packaging methods (Packaging, envelope, roll method).
* Two sheets used in a single action are in practice only one sheet. Even if they are stuck together. We probable all remember that when conventional textile was used to wrap our instrument trays we sew two sheets together. With other words what is new?
* To use different qualities, dimensions and interleaved colors to be able to differentiate between sterile and non-sterile (holes-in the theatre).
* With interleaved colors you detect faster damages like holes or tears.
* Using interleaved colored wrap you always know that you have subsequently wrapped. Due to the colors you do not forget a layer.
* If the outside of the Sterile Barrier System is expected to be sterile, wrap - wrap.
* To guarantee aseptic opening.
* One can distinguish sterile and non-sterile.
Tray-liners are widely used to solve the wet load problem. However, the tray-liner does not solve the problem but disguises it.
The right quality Tray-liners have a high absorption capacity and are placed in the instrument tray under the instruments. The condense is absorbed and dispersed. The instruments, which are on top of the trayliner, help to dry the tray-liner with their radiation/energy.
How to identify the causes:
* Evaluate your load.
* Check the walls of your autoclave. If you can chalk or waterlines running down, you might have "carry over".
* Look at your procedures. Leaving your autoclave door open too long, will make the sterilizer cool down too much.
* Do you see little circles on the ceiling of your autoclave like raindrops? Might be a cold chamber wall.
* Are there patterns in your wet loads? (Kitchen 11 o'clock, make a logbook).
* Regularly check you condense drains and clean them at least twice a year. If they are saturated they will not take the water out of the steam.
* Do you have the Monday morning effect? Condense build up in the pipe work?
First aid:
We, Ahlstrom, can provide you with a check list which might help you to identify the cause of your wet loads.
Please contact: firstname.lastname@example.org
DO NOT PANIC
Just do all the things we have mentioned.
Humidity problems remain a complex matter and are in the majority of cases created by a combination of different factors. We do understand that wet load problems can not be solved immediately, but at the same time we are convinced that these problems can be solved. In some cases this might mean that the hospital has to spend money to solve their problem and to invest into the future.
I am a great supporter if hospital, sterilizer, instrument, tray, and packaging material would to talk to each other and solve our combined problems.
It is too easy to raise the finger.
We will try to have the booklet WET LOADS reprinted within the next couple of months
A lot of things have changed over the last years. The Sterilisation department has increasingly become much more important. The Sterilisation department is the heart of the hospital, if that does not pump e.g. the O.R. can not operate. In the past CSSD staff members have been considered the dishwashers of the operating room, or the CSSD was treated, as the "social workshop" of the hospital were employees have been parked which were not fit for anything else.
Employees working in the sterlisation department should be proud for the high responsibilities they take every day.
Do not forget that we are talking about the safety of the patient and let us be honest fairies do not exist.
7
Tim Galekop is employed by Ahlstrom FiberComposites as " Director of Global Business Development Medical products, responsible for Global Technical support and Regulatory affairs and have been working in the medical field for more than 29 years.
He has been a member of the Dutch Norm group from the day of foundation in 1980 and have participated in the German DIN, and the French AFNOR,
Since 1988 he is the convenor of TC 102 WG 4 Packaging Materials and is also a participant in ISO TC 198 WG 7 Medical Packaging and CEN TC 205 WG 14 drapes and gowns.
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From Culturazing Nature to Naturalizing Culture: The Differing Function of Animal Imagery in Defining Bodies from Homer's Odysseus to Margaret Atwood's The Penelopiad
Begüm Tuğlu
English Language and Literature Department / Ege University tuglubegum@gmail. com
Abstract
Feminist authors have long been trying to alter the patriarchal structure of the Western society through different aspects. One of these aspects, if not the strongest, is the struggle to overcome centuries long dominance of male authors who have created a masculine history, culture and literature. As recent works of women authors reveal, the strongest possibility of actually achieving an equalitarian society lies beneath the chance of rewriting the history of Western literature. Since the history of Western literature relies on dichotomies that are reminiscences of modernity, the solution to overcome the inequality between the two sexes seems to be to rewrite the primary sources that have influenced the cultural heritage of literature itself. The most dominant dichotomies that shape this literary heritage are represented through the bonds between the concepts of women/man and nature/culture. As one of the most influential epics that depict these dichotomies, Homer's Odysseus reveals how poetry strengthens the authority of the male voice. In order to define the ideal "man", Homer uses a wide scope of animal imagery while forming the identities of male characters. Margaret Atwood, on the other hand, is not contended with Homer's poem in that it never narrates the story from the side of women. As a revisionist mythmaker, Atwood takes the famous story of Odysseus, yet this time presents it from the perspective of Penelope, simultaneously playing on the animal imagery. Within this frame, I intend to explore in this paper how the animal imagery in Homer's most renowned Odysseus functions as a reinforcing tool in the creation of masculine identities and how Margaret Atwood's The Penelopiad defies this formation of identities with the aim of narrating the story from the unheard side, that of the women who are eminently present yet never heard.
Keywords: Body Politics, Feminism, Culture, Nature, Animal Imagery
"In the beginning there was nature"
Camille Paglia
Women's facts today are bound to the fiction of the past. Since the beginning of the twentieth century, women authors have been trying to change fiction in the very ancient times in order to free women from their handcuffs and give them back their voices, which were silenced for so long. In their celebrated work No Man's Land Sandra M. Gilbert and Susan Gubar trace the place of women authors in the twentieth century and from the very beginning they detect that women, even though implicitly or explicitly oppressed, have the power to fight back this "destiny" that has been set upon them. "The plot of sexual battle is of course as old as literature itself" (Gilbert and Gubar, 1988, p. 55) they write to reveal their perspective of the long-accepted version of human history. Their history, unlike the Christian Western Patriarchal ideology, begins with "legendary Lilith, who resists Adam's (and God's wish) to control both her body and her language" (Gilbert and Gubar, 1988, p. 5); giving the high role to Lilith as the first women ever to resist the oppression against the male authority over her. In a quite interesting article entitled "Feminist Ecocriticism: A Posthumanist Direction in Ecocritical Trajectory", Serpil Opperman (2013) further explains the illusionary binary oppositions of body and mind, matter and discourse, anthropocentric-phallogocentric and gynocentric world views created by the patriarchy of the Western world and further discusses how feminist struggles could be linked to ecological struggles since both counter all social systems of domination (p. 32-3). Nevertheless, the image of women never really changed since Lilith, with all the wide variation of examples from myths, fairy tales to epics which have inspired a male dominated world to carry on with the similar points used in poems, plays and novels which aided the forces who needed the women to be kept under control, without the ability to talk back, resist or runaway to their own quests in their lives. Literature is the perfect device for women to find the power they need, by using "narrative as a discourse of authority and legitimation" (Brewer, 1984, p. 1145) women may establish their own place in the society, finally being able to have "a room of one's own" as Woolf had so insisted upon.
As one of the prime epics of the Western culture, Homer's Odysseus not only represents the defining myths of the Western patriarchy, but also reinforces the social order that attains the story-teller as the main male author(ity) who holds the power to construct the reality surrounding him. Providing solely the voice of Odysseus, a manner not surprising considering the patriarchal Greek society who only cherishes the male nobility, Odysseus leaves the story of a major character, Penelope, untold. As Robinson Crusoe, another Western "Cultural Hero" who also mentions the existence of a wife but never tells her story, Odysseus, too, only refers to Penelope when it suits his patriarchal desire of establishing an image that portrays a faithful wife, strictly respecting his authority and protecting his household even during his absence. As Toril Moi (1985) suggests with her underlying argument based upon Helene Cixous, "patriarchal binary thought" that creates a polar opposition between such concepts as "activity/passivity", "culture/nature", "father/mother" and "logos/pathos", "each opposition can be analyzed as a hierarchy where the feminine side is always seen as the negative, powerless instance" (p. 104). Within this frame, fused by the enlightening perspective provided by a postmodernist outlook, Margaret Atwood's The Penelopiad narrates the story of Penelope from her side, deconstructing the male authority over language and storytelling while giving insight to Odysseus' story from the female perspective. What is further interesting in both tales is the use of animal imagery while defining female and male bodies. The continuous matching of the male body with metaphors and images as connotations of nature –specifically predators– in both works suggest an interesting fact that reveals Atwood's revisionist narrative technique not only reconstructs the epic of Odysseus but also leads readers to become aware on the issue of how the perception of the female and male bodies have changed by shifting these definitions from Odysseus to The Penelopiad. Notwithstandingly, "[t]he identification of woman with nature is the most troubled and troubling term in this historical argument" writes Paglia (1991) and asks, "[w]as it ever true?" (p. 9). The changing outlook on nature, once upon a time demonized for the sake of humanism as it was cherished during the age of enlightenment that led to the "modernity project" in the west, yet purified through ecocritical approaches to culture and literature also has an effect on the perception of the female bodies which can be seen within The Penelopiad. Therefore, I intend to explore in this paper how this perception of the female and male bodies change from the narrative echole in Odysseus to Atwood's The Penelopiad by analyzing the animal imagery used in order to define male and female bodies within both works.
The ideology of the modernity project, accelerated by the thoughts that were revived with renaissance and later on had gained extreme importance with the age of enlightenment, took humanism at its core and argued that the humans were the centre of the universe. Susan Bassnett (1993), in her Comparative Literature: A Critical Introduction writes "[t]he notion of cultural history as the story of progress towards modernity derives in part from a belief in superiority of the present. From that position, critics have looked back and constructed a canon of great works what stand like beacons along the road to enlightenment" (p. 137). Even though it was labelled "humanism" the term itself merely suggested white western males, never giving place to any other group at the centre. This marginalization of the others was not only reserved for class or race, but more interestingly gender. Any member of the society outside the core remained underneath the social hierarchical level. Holding this patriarchal gaze at the centre, this anthropocentric ideology was bound to push binary oppositions to its extreme. Not only did it deepen the gap between the female and male bodies but also reinforced gender roles between women and men. Assigning the role of perfecting human nature to men, this perspective held culture, the road to perfect civilization above nature, the wilderness that had to be controlled and dominated. Forgetting the mother Gaia, the myths were reinterpreted to give power to the "father" Zeus. As Paglia states (1991), "[t]he evolution from earth-cult to sky-cult shifts woman into the nether realm. Her mysterious procreative powers and the resemblance of her rounded breasts, belly and hips to earth's contours put her at the centre of early symbolism. She was the model for the Great Mother figures" (p. 8). Nevertheless, since Greek culture was held as the core of civilization, the myths and epics that influenced the society to such advanced philosophy were inescapably effective upon the founding of the anthropocentric view of humanism. Within this frame, Odysseus is remarkably significant in explaining and reflecting the Greek culture that was thought as the model for cultural development for the Western civilization. Since it reinforces the cultural myths of a culture that led to present western civilization and state of mind, one can assert in a much structuralist manner that Odysseus captures the spirit of a society which holds male as the authority that can construct reality through his own language. While using images such as "stallion", and "lion" to define "heroic" Odysseus, one finds that Penelope is rather described through words that have submissive connotations such as "chaste" and "discrete" which cuts a role for her nothing but the "wife" in a hero's story. In
European Journal of Social Sciences Education and Research
his definition translated by William Cowper (1791), one reads only the definition and matching of Odysseus with nature, never giving place or importance towards Penelope herself. Indeed, Odysseus is defined as;
[. . . ] divine Ulysses from beneath
His thicket crept, and from the leafy wood
A spreading branch pluck'd forcibly, design'd
A decent skreen effectual, held before.
So forth he went, as goes the lion forth,
The mountain-lion, conscious of his strength,
Whom winds have vex'd and rains; fire fills his eyes,
He find, he rends them, and, adust for blood,
Abstains not even from the guarded fold [. . . ] (VI. 154-162)
As can be seen, Odysseus is decribed as the "king" of predators and nature itself which only suits a male hero. He has the power to control and "devour" any other living creature since he stands as the centre of power while other female characters in the epic are left undescribed in terms of imagery, usually depicted with abstract words that signal their chastity, purity, seductive or cunning qualities with an exception of certain female characters defined with plants that also reveals how the male perception of the female body expresses the need to "cultivate" women.
Indeed, when scrutinized Homer's narrative reveals how he uses nature's hunters such as the "lion" to depict the male hero while attaining plant names such as "Sage Euryclea" to give insight to the female "nurse". This depiction, however, drastically changes from Homer's narrative to Atwood's. The more the gap between humans and nature deepened, the more the definitions of the bodies changed. Defining female bodies with animal imagery may once be considered as inferiorating since the male body was the core of everything beautiful and noble; Nevertheless, in the present century as some ecocritical feminists as Serpil Opperman argue, nature itself should not be underestimated, yet be respected. What Margaret Atwood does in The Penelopiad is again using animalistic adjectives to shift the power of the hero to the heroine. Penelope and other women are now at the core of the story, therefore their story is to be told through the close relationship with nature. Interestingly, while the male bodies in Odysseus are defined by the hunters and wild animals that try to control others to be the "king" of nature, female bodies in The Penelopiad seem to be in perfect harmony with nature.
This hunter/prey dichotomy is also reflected in Atwood's narrative with the lines that depict a nightmare of Penelope's which "concerned [her] flock of lovely white geese, geese of which [she] was very fond [. . . ] pecking around the yard when a huge eagle with a crooked beak swooped down and killed them all, whereupon [she] wept and wept" (Atwood, 2006, p. 139). Furthermore, Atwood mocks the patriarchal power of the father by revealing the strength of the matriarchy by stating how politically and economically Penelope is the source of power. "[I]f I stayed in Ithaca" utters Penelope, "and married one of the noble puppies, that puppy would become the king, and his stepfather, and would have authority over him" (Atwood, 2006, p. 110), underlying her own power while taking away the "natural" power given to men to rule. Notwithstandingly, Atwood cherishes this bond with nature changing the connotations of these metafors and, further, deconstructs the hierarchies and illusionary detachments that declare humans and nature as two distinct beings. One reads in Atwood at the very beginning of the story how Penelope "know[s] everything" once she is "dead" (p. 1) and when she screams she "sound[s] like an owl" (p. 2) and at the very end how "[t]he maids sprout feathers, and fly away as owls" (p. 196). The maids are at this point crucial in understanding Atwood's perspective of the story: "Though the comic (and satiric) chorus immediately recalls those in Aristophanes, through their debunking, light-hearted burlesque Atwood makes a more serious point; the maids function as a tragic chorus, commenting on the actions of the hero, Odysseus (and in a later chorus, Penelope)" (Suzuki, 2007, p. 272). Thus, the "owl" as an animal with connotations of wisdom, and mourning, suggests that usually too much wisdom brings suffering, as Cassandra who can foresee the future but neither can alter nor persuade anyone to believe herself. "[t]oo wit too woo" cry the maidens in The Penelopiad, who have "no voice", "no name", "no choice" but "one face" (Atwood, 2006, p. 195), offering a pun that "too" much "wit", or in other words awareness and wisdom, is only to "woe". They see and perceive everything around them while serving the noble men, yet noone actually pays attention to their knowledge. As the owls of the society, they stand aloof, symbolizing wisdom and sadness simultaneously. It can be inferred in parallel with Hilda Staels' (2009) argument that by placing the maids as the chorus, "[t]he threshold with the real, contemporary world of the biographical author is even transgressed, when Atwood makes explicit in the paratextual 'Introduction' that she has 'always been haunted by the hanged maids' (XV) like Odysseus and Penelope in the main text" (p. 106).
In Writing Beyond the Ending, Rachel Blau Duplessis (1985) writes that "[w]hen a women writer chooses myth as her subject she is faced with material that is indifferent or, more often actively hostile to historical considerations of gender, claiming as it does universal, humanistic, natural or even archetypal status" (p. 106). Therefore, one can claim that Atwood's attempt to give Penelope's perspective of the story aims to demolish the fixed archetypes in the Western patriarchal society that cannot be shaken unless cannonical works, such as Odysseus, are rewritten, as she does in The Penelopiad. In "Is Female to Male as Nature Is to Culture?" Sherry B. Ortner (1982) suggests that "universality of female subordination, the fact that it exists within every type of social and economic arrangement" is "something very profound, very stubborn" (p. 67). This profound, "stubborn" subordination of women has been established since the very ancient times ever since culture was held above nature. Since the female body was regarded as being closer to nature, it was also regarded as being more vulnerable to oppression and needed to be controlled and manipulated. According to Camille Paglia (1991) feminism "has exceeded its proper misson of seeking political equality for women and has ended by rejecting contingency, that is, human limitation by nature or fate" and we are but "hierarchical animals" at core (p. 3). In Odysseus, one indeed has very little information towards female bodies, yet there are many references that empower the male body as the more "beautiful" and "strong" one when compared to the female body. The case of Calypso is here of importance since even though she is defined as a "divine nymph", she seems like a femme fatale with her mesmerizing effect upon Odysseus. Furthermore, "The awful Circe, Goddess amber-hair'd" whom Odysseus depicts as a bewitching character that forces him to stay on the island is also defined through a plant which can be raised and controlled (X, p. 166). In The Penelopiad, however, the relationship between Odysseus and Circe is juxtaposed by revealing the female side of the story in which Odysseus and his men forcefully disturb the peaceful island of Circe and use both her and her maids for the service of his crew. Atwood (2006) illustrates this scene by writing "[o]n the island of Circe we were turned into swine, /The he ate up her cakes and he drank up her wine, /For a year he became her blithe lodger!" (p. 95).
Even though Atwood does not give detailed reference to Circe in The Penelopiad, she creates a mud woman in her Circe/Mud Poems. It can be stated that "Bakhtin's formulation of the dialogic quest does not see: how to liberate oneself from the dominant languages that have silenced the female" (Larson, 1989, p. 30-31); Nevertheless, Atwood seems to find a way to break through the formulations. By rewriting the story of Circe in the Circe/ Mud Poems, only this time from the notorious goddess Circe's perspective, Atwood gives the misunderstood, or rather the misjudged goddess her long silenced voice back; she gives her the chance to address Odysseus directly as "you". Circe's tongue may not have been cut out in a brutal manner, but her voice was taken away by other means, by cutting her side of the story off the pages of the history of literature. There are twenty-four poems in Circe/Mud Poems with occasional paragraphs written in prose as if defying the twenty-four chapters of Homer's Odysseus. With Circe's resisting, even mocking language of Odysseus, Atwood sets her stance against the traditional male dominated perspective in literature. Furthermore, the mud woman becomes a symbol for women, gathering all the features of subjugation carried out by men in just one body. Atwood (1976) writes:
When he was young he and another boy constructed a woman out of mud. She began at the neck and ended at the knees and elbows: they stuck to the essentials. Every sunny day they would row across the island where she lived, in the afternoon when the sun had warmed her, and make love to her, sinking with ecstasy into her soft moist belly, her brown wormy flesh where small weeds had already rooted. They would take turns, they were not jealous, she preferred them both. Afterwards they would repair her, making her hips more spacious, enlarging her breasts with their shining stone nipples. (p. 214)
The boys prefer to "stick to the essentials" for the woman does not need a head, hands or legs, for the head would mean her own thoughts, and a tongue to express them, hands would mean resistance to push back and the legs would allow her to run away to whenever she wanted. If she was complete, she would be free in her own decisions, not paralyzed and confined to the earth. The society has been tying the women to the nature since the ancient times as Sherry B. Ortner (1982) argues in her essay "Is Female to Male as Nature is to Culture?". Therefore, according to the ones who "shape" her, the only function of the mud woman is to lie there on the ground, vulnerable to any kind of abuse by men, and without any breath to inhale freedom. Similarly, in The Penelopiad, one reads that Penelope is only free when she is set free from her physical body: "Since being dead – since achieving this state of bonelessness, liplessness, breastlessness – I've learned some things I would rather not know, as one does when listening at windows or opening other people's letters" (Atwood, 2006, p. 1).
When one searches the roots to the differing representations of female and male bodies while analzying two works that have been written in a lenght of time that widens through ages, one finds that the reason to this state could be found within the phallocentric state of mind of the West that protects the patriarchal society through binary oppositions that cherishes the male mind and body. What is further worth mentioning is that this protection is not only provided by the males but also by the females, too, who find the only option of escape in trusting the masculine state of power. Euryclea, for instance, is the invisible matriarchal force behind Odysseus, ever hiding her importance yet always fierce in revealing her support and "fandom" of Odysseus himself. In The Penelopiad, this shift of Euryclea's character is quite interesting with her positioning as the "mother-in-law" against Penelope herself which suggests the modern day stereotype of the mother embracing her son against the daughter-in-law trying to control her husband. What Atwood tries to deconstruct in The Penelopiad is these stereotypical relationships and representations of women while offering a gynocentric perception towards art and literature, as Elaine Showalter would also argue in terms of gynocriticism. "The program of gynocritics" states Showalter (1986), "is to construct a female framework for the analysis of women's literature, to develop new models based on the study of female experience, rather than to adapt male models and theories" (p. 131). She further explains the importance of such a deconstructive approach to a phallogocentric world view by stating that "Gynocritics begins at the point when we free ourselves from the linear absolutes of male literary history, stop trying to fit women between the lines of male tradition, and focus instead on the new visible world of female culture" (p. 131).
In alliance with Showalter, in order to deconstruct and reinvent the cultural myths, Atwood initially changes the linear epic form into that of a circular form of a novella with its many chapters, assigning a procreant function to the genre of novel itself. According to Hilde Staels (2009),
The Penelopiad both spatially and temporally sets contemporary against ancient times, which is a common feature of the menippea. The idealization of the distant past is destroyed when the contemporary female narrators discursively cross the threshold between the present 'here' in the Greek Underworld and 'there, ' the readers' contemporary world, [. . . ] The boundary between the time of the ancient epic and that of the contemporary novel is also crossed when the maids summon twelve angry Furies to take revenge on Odysseus during the twenty-first-century trial. (p. 106)
Moreover, while Homer's Odysseus is quite linear, one finds that The Penelopiad is quite cyclical, a perspective quite close to what Paglia (1991) states in her Sexual Personea by writing that "[n]ature's cycles are woman's cycles" (p. 9). The novel indeed starts with the "death" of Penelope with a time perception that transgresses all borders that provides the reader with multiple aspects, even that of the maids' who play an important yet usually overlooked role in the story of Odysseus. While Eurycleia describes these maids as "[t]he impertinent ones. The ones who'd been rude. [. . . ] They were notorious whores" (Atwood, 2006, p. 159-60), Penelope redefines this sentences by saying "[t]he ones who'd been raped", "[t]he youngest. The most beautiful. [. . . ] My helpers during the long nights of the shroud. My snow white geese. My thrushes, my doves" (p. 160). The interpretation of Penelope's dream by Odysseus in disguise suggest suggest that the maids have been slain as a sacrifice to Odysseus and Penelope. In Homer's version, it is written that, "[t]he slaughter'd geese/Denote thy suitors. / I who have appear'd/An eagle in thy sight, am yet indeed/Thy husband, who have now, at last, return'd, /Death, horrid death designing for them all" (XIX. p. 161-6). Hence, it can be concluded that,
Atwood thereby revises the Odyssey where Odysseus's men constituted 'the many' in contrast to Odysseus as 'the one' so that in The Penelopiad it is the maids who constitute 'the many' of Greek epic and tragedy. But Atwood endows the maids, though outsiders, with a privileged perspective and voice as satirists who eloquently critique the ideology of the dominant order that normalized their slaughter by condemning them as unchaste and disloyal. They debunk the gender privilege that Odysseus holds over them, complaining about the sexual double standard that condones his adultery while finding their liaisons deserving of deadly punishment, and his possession of 'the spear' (Suzuki, 2007, p. 272)
Atwood uses such a technique to further display the fragmented representations of the female body. Dragged between either being a virgin, a mother or an evil seductress, the female body depicted in Odysseus reveals the perception of patriarchal societies of the West that try to subordinate women, whereas in the female bodies in The Penelopiad, brings together all distinct representations as a patchwork, attempting to reunite all fragments of the female body and its connotations together to form a depiction that strengthens the hand of women trying to gain equality in the present century.
Having considered the change between the two works, it can be inferred that the Western civilization formed upon epics such as Odysseus reveals the major premises upon which female bodies have been subordinated and silenced. With The Penelopiad, on the other hand, Margaret Atwood, as a successful revisionist mythmaker, shakes these "stable" grounds that patriarchy relies on by deconstructing a whole tale narrated by the "father tongue" and instead constructs "mother tongue(s)" to provide a more objective and equal picture of women and their role in the society which can never be limited to being a daughter, a wife and a mother but in every case a maid.
References
[1] Atwood, M. (1976). Circe/Mud Poems. Selected Poems. New York: Simon& Schusler, 201-23.
[2] Atwood, M. (2006). The Penelopiad. Edinburgh: Canongate. Print.
[3] Bassnett, S. (1993). Comparative Literature: A Critical Introduction. Oxford: Blackwell. Print.
[4] Brewer, M. M. (1984). A Loosening of Tongues: From Narrative Economy to Women Writing. MLN 99 (5), Comparative Literature, December. The Johns Hopkins University Press, 1141-1161. <http://www. jstor. org/stable/2905404>.
[5] DuPlessis, R. B. (1985). Writing Beyond the Ending: Narrative Strategies of Twentieth Century Women Writers Bloomington: Indiana UP. Print.
.
[6] Gilbert, S. M. , Gubar, S. (1988). No Man's Land. London: Yale U. P.
[7] Homer. Odysseus. Trans. William Cowper. (1791). Ebook.
[8] Larson, J. L. (1989). Margaret Atwood and The Future of Prophecy. Religion & Literature 21. Religious Themes in Contemporary North American Fiction, Spring. University of Notre Dame, 27-61. < http://www. jstor. org/stable/40059401
[9] Moi, T. (1985). Sexual/Textual Politics: Feminist Literary Theory. London: Routledge. Print.
[10] Opperman, S. (2013). Feminist Ecocriticism: A Posthumanist Direction in Ecocritical Trajectory. Feminist Ecocriticism: Making a Difference. Eds. Simon C. Estok, Greta Gaard, Serpil Oppermann. Routledge. Print.
[11] Ortner, S. B. (1982). Is Female to Male as Nature Is to Culture?, The Woman Question. Ed. M. Evans. London: Fontana. Print.
[12] Paglia, C. (1991). Sexual personae: Art and decadence from Nefertiti to Emily Dickinson, New York: Vintage.
[13] Showalter, E. (1986). Towards a Feminist Poetics, The New Feminist Criticism. Ed. Elaine Showalter. London: Virago. Print.
[14] Staels, H. (Fall, 2009) "The Penelopiad and Weight: Contemporary Parodic and Burlesque Transformations of Classical Myths. " College Literature 36 (4), 100-118. <http://www. jstor. org/stable/20642058>.
[15] Suzuki, M. (Spring, 2007). Rewriting The Odyssey in the Twenty-First Century: Mary Zimmerman's "Odyssey" and Margaret Atwood's Penelopiad. College Literature 34 (2), Reading Homer in the 21st Century, 263-278. <http://www. jstor. org/stable/25115430
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APPROVED Minutes Approved, November, 9, 2017
MELROSE TOWNSHIP ZONING BOARD OF APPEALS MINUTES OF NOVEMBER 2, 2017
CALL TO ORDER: The meeting was called to order at 7 pm by Ch. Errol Lee
ROLL CALL: Members Present: Ch. Lee, Todd Reeves, Lyon Stephens, Bart Wangeman, David Beier, Zoning Administrator - Randy Frykberg and Recording Secretary - Bunny Marquardt
APPROVAL OF AGENDA: David B. made the motion and Todd R. seconded to approve the Agenda. All Ayes
APPROVAL OF OCTOBER 12, 2017 MINUTES: Bart W. made the motion and Todd R. seconded to approve the minutes of Oct. 12, All Ayes
Ch. Lee read the scheduled Public Hearings for this meeting and gave the procedures for the meeting. We will hear from Randy first and then from the applicant and then commits (each comment is allowed 5 minutes) and then close the Public Hearing and the Board will deliberate. The case is:
Case # ZBA 2-17, Allen & Windsor Freemyer Appeal of the Zoning Administrator decision that he can't issue a zoning permit to remove and rebuild a house until the ZBA grants a new variance for the project at 01042 N Shore Drive (ID# 15-010-750-012-00)
On April 23, 2009 (almost 8 1/2 years ago), the Zoning Board of Appeals granted Allen and Windsor Freemyer permission to renovate/expand an existing non-conforming house at 01042 N Shore Dr (ID # 15-10-750-12-00) according to a site plan drawn by Benchmark Engineering (Job # 07-261 dated 21 January 2009) and design plans drawn by Shoreline Architecture (dated 8-21-09). No written request was presented regarding the garage or retaining wall prior to the April 23, 2009 meeting when the ZBA granted permission to, according to the minutes, "renovate/expand an existing non-conforming house".
Randy stated
A time frame for the validity of ZBA variances (6 months) and Zoning Permits (1 year) has been established by the Township Zoning Ordinance because conditions and ordinances change and also to prevent owners from granting their property the availability to accomplish projects at anytime in the future.
Section 12.4 (Duties and Powers of the Zoning Board of Appeals) paragraph A of the Melrose Township Zoning Ordinance reads "Review – Shall hear and decide appeals form any review, any order, requirement, decision or determination made by the Zoning Administrator in the administration of this Ordinance". No further direction is provided regarding standards or how to do this.
Ch. Lee opened the Public Hearing and asked Mr. Alan Freemyer to state his case. Mr. Freemyer feels this is the same project as back in 2009 and he should be allowed to use utilize his variance and be able to complete his project as planned in 2009. The variance was used once and there was no time period. Ch. Lee asked if between 2012 and 2015 was there any construction activity on the property. Mr. Freemyer responded with his time line from 2009 thru 2014. and there was no activity on the house or garage after spring of 2012. He went on to cite case in 1929 and David B. felt this case did not relate to his case. Bart W. felt that the variance was validated due to the design work and the granting of approvals both by township and county. Randy explained that the variance given was not utilized before construction.
Ch. Lee asked if any present were in favor: The representative from W.B.Builders and Mark Felton from Charlevoix Landscaping both were in favor of using the existing variance.
Ch. Lee closed the Public Hearing.
Lyon asked if on your original request in 2009 was it to renovate house and Alan responded with it was to build a garage on its foundation and to remodel the house on the same footprint. The minutes of 2009 do not mention a garage. David B. stated that in his opinion a variance is not infinite. Bart felt even tho there was no activity there was behind the scene. Ch. Lee felt the ZBA Board should seek council and David felt we should also and Table this issue for now.
Todd R. made the motion to Table this review and have council look at the pending Review. Motion seconded by David B. ALL AYES - MOTION PASSED.
it was mutually agreeable to both sides to have council review the Review and get back to everyone within 60 days.
BELOW ARE SOME GENERAL FACTS FOR THE RECORD.
GENERAL FACTS:
1. April 23, 2009: ZBA approves variance to "renovate/expand an existing nonconforming house at 01042 N Shore Drive".
3. May 5, 2011: Charlevoix County issues building permit for garage remodel (Permit should not have been issue since Zoning Permit had expired; they are good for one year)
2. April 21, 2010: Zoning Permit issued for: Renovation and addition to residence and new detached garage (Permit should not have been issued since it was 2 days short of one year but ZBA approvals are good for only six months).
4. Spring-Summer 2011: Construction on garage and retaining wall commenced
5. Spring 2012: Construction on Garage and ½ retaining wall completed.
7. September 29, 2017 Zoning Administrator verbally told Allen Freemyer that a new approval from the ZBA is needed before he will issue a permit.
6. September 20, 2017: WB Builders, on behalf of Freemyer, submits application to Township for work on residence that was approved by ZBA on April 23, 2009.
8. The Zoning Administrator believes that the ZBA approval of a project to "renovate/expand an existing non-conforming house" was not used within 6 months nor was the zoning permit used within one year.
10. The required 300' notices were mailed on October 16, 2017 to 14 properties.
9. Freemyer believes that he has a right to continue to construct the project.
11. The required Public Hearing Notice was published in the Monday, October 16, 2017 edition of the Petoskey News Review.
Case # ZBA 3-17, Freemyer house renovation/expansion at 01042 N. Shore Drive (Property ID # 15-010-750-012-00).
Ch. Lee opened the Public Hearing and read that Windsor and Allen Freemyer have applied for a conforming addition to the northeast side of the house plus a variance to remove, rebuild and expand a front yard deck on the northwest side of an existing non-conforming house at 01042 N. Shore Drive (Property ID # 15-010-750-012-00). None of the proposed deck would be conforming, but the setback from the lake would be increased, but still 17' into the waterfront setback, and the north side of the house would be 5' from the Zoe Street right-of-way.
Randy stated that the addition is in a conforming way towards the garage and the porch on the lake side squared up the home. David B. asked if it home is same square footage just pulled back and Mr. Freemyer replied it will be the same house on the same footprint. Mike Pattullo of Shoreline Architecture & Design Stated stated that the porch is back 4 ft from the waters edge and they plan to use the same foundation if possible and plan to complete the retaining wall.
Ch. Lee asked for Public Comment and there were 2 in support. Ch. Lee closed the Public Hearing and asked Randy if there were two issues: 1) 9.6 and 2) two dimensional set back variance request. David B. stated that these lots were bought as is and are a challenge but not an extraordinary challenge. Alan stated that a year around home can make the situation for lakes better. Bart asked is the 66ft. Zoe St. road end will always be open (yes) and he thinks the applicant is trying to accommodate the situation. Alan stated that the water retention plan is part of his renovation plan.
Ch. Lee stated the following:
The ZBA Board finds that:
1. The lot at 01042, identified as Property ID # 15-010-750-012-00, is in the R-1 Zoning District.
2. R-1 Setback requirements are 50' front (lakefront), 10' side (because of the narrow width of the lot), 35' rear and 100' width.
3. The lot is non-conforming because it is about 62' wide and covers about 11,270 sq. ft. The district requirement is 100' wide and 20,000 sq. ft.
5. The present structure has a typical overhang of 1 foot and is shown on the drawings for the existing house, but not for the addition. According to the Zoning Ordinance, setbacks are measured from the dripline (including overhangs).
4. No overhangs are shown or requested in the project, so all measurements, variances and approvals refer to a zero overhang.
6. The covered porch of the present structure is about 28' from the waterfront. With the proposed remodeling, the porch will be moved back 5 more feet from the waterfront, making the porch 7.5 feet wide. This would require a waterfront variance of 17 feet (Section 12.4 C. of the Zoning Ordinance).
8. The request also includes adding an approximately 28' X 29' conforming addition to the northeast side of the house. This requires ZBA approval for expansion of a nonconforming use (Section 9.6 of the Zoning Ordinance).
7. The proposal also expands the porch in the northwest corner of the house, to within 5' of the road right of way and 33' of the water. This would require a waterfront variance of 15' and a side yard (Zoe Street) variance of 5 feet (Section 12.4 C. of the Zoning Ordinance).
9. Before issuance of a zoning permit, conformance with Zoning Ordinance Section 6.11, Walloon Lake Shoreline Protection Overlay District, shall be determined by the Zoning Administrator.
11. A detention area for roof water runoff is planned for the southeast side of the property rather than adding this water directly to the lake via sheet runoff down the steep bank as occurs now.
10. The lot is very steep, slopping 43' from the rear property line to the waterfront.
12. The required 300' notices were mailed on October 16, 2017 to 14 property owners.
13. The required Public Hearing Notice was published in the Monday, October 16, 2017 edition of the Petoskey News Review
Section 9.6 - Expansion of Nonconforming Use
The Zoning Board of Appeals may permit expansion of a pre-existing nonconforming use, provided such expansion shall not be substantially detrimental to the surrounding neighborhood and contrary to the spirit and intent of the Ordinance."
1. The proposed conforming addition to a nonconforming structure will not be substantially detrimental to the surrounding neighborhood. ALL AGREE
a. The Board finds that the proposed addition will meet all setbacks.All agree
b. The Board finds that the proposed addition will keep the structure similar to the structures in the area. ALL AGREE
c. The Board, therefore, finds the expansion will not be substantially detrimental to the surrounding neighborhood. ALL AGREE
2. The proposed addition northeast side conforming addition will not be contrary to the spirit and intent of the zoning ordinance. ALL AGREED
a. The Board hereby incorporates by reference its findings of fact contained in paragraphs 1.a through 1.c. above. ALL AGREE
b. The Board finds that Section 1.0 of the zoning ordinance specifies the purpose of the zoning ordinance, which provision is hereby incorporated herein by reference. ALL AGREED
c. The Board finds that Section 6.0 A) of the zoning ordinance specifies the purpose of the R-1 Zoning District, which provision is hereby incorporated herein by reference. ALL AGREE
d. The Board finds that allowing the addition does "maintain social and economic stability, property values and general character and trend of Melrose Township development". ALL AGREED
e. The Board, therefore, finds the proposed addition will not be contrary to the spirit and intent of the zoning ordinance. ALL AGREED
3. Based on the above findings of fact, the Board finds the standards for the addition which meets all setbacks have been met. ALL AGREE
BART W. MADE THE MOTION THAT WE APPROVE THE PORTION OF THE REQUEST OF A NON CONFORMING USE PER THE FINDINGS OF FACT AND THE SUBMITTED MATERIALS TO ALLOW A CONFORMING EXPANSION OF A NON-CONFORMING STRUCTURE. TODD SECONDED. ALL AYES - MOTION PASSED
Section 12.4 C Variance Criteria:
The Zoning Board of Appeals shall have the power to authorize, upon appeal, specific variances from dimensional requirements. It shall be found by the Zoning Board of Appeals that any variance granted:"
1. The variance will not be contrary to the public interest or to the spirit and intent of the Ordinance. The proposed new porch further form the lake than the existing porch, with the addition toward the road on the northwest side of the house, will be set back 5 feet further from the lake (no overhang) than the existing structure. A variance of 17 feet is needed. Storm-water treatment will be improved. ALL AGREED David B. commented that this variance on the porch will not increase the square footage of the porch.
2. The variance does not permit the establishment within the zoning district of any use that is not permitted by right within the district. Residential uses are an allowed use in the R-1 District. ALL AGREE
3. The granting of the variance will not cause any adverse effect to property in the vicinity or in the Zoning District or the Township. The Board finds that the proposed northwest expansion will not have a negative impact on property values, and would maintain the general character and trend of Melrose Township development. The project should improve the treatment of storm-water prior to it flowing into Walloon Lake. ALL AGREE
4. Does the variance relate only to property under control of the applicant? Yes. ALL AGREE
5. Does the variance affect only property subject to exceptionally or extraordinary circumstances or conditions that do not generally apply to other property or uses in the vicinity? The Board finds that the house was built prior to zoning and there are exceptional or extraordinary circumstances or conditions affecting this property (very steep from the road to the water, with only a small area level enough to build upon, even with major excavation and retaining walls added). 4 AGREED AND 1 DISAGREED
6. The proposed porch meets the above 5 criteria in Section 12.4 C for a variance. ALL AGREED
7. Granting the variance would observe the Spirit of the Ordinance and provide for substantial justice. ALL AGREED
"Due to the findings of fact as stated above, Todd R. made the motion to approve Windsor and Allan Freemyer's Zoning Variance Application for a conforming addition to the northeast side of the house plus a variance to remove, rebuild and expand a front yard porch on the northwest side of an existing non-conforming house at 01042 N. Shore Drive (Property ID # 15010-750-012-00). This approval is based upon:
1. Zoning Variance Application submitted by Alan Freemyer, dated October 5, 2017;
2. Topographic Survey & Proposed Site Plan, dated 5 October 2017, 2017 by Benchmark Engineering;
3. Proposed elevations Sheets # A-2.0 and A-2.1 by Shoreline Architecture, printed October 5, 2017; and
4. Landscape Plan, dated October 16, 2017 drawn by MJF Bart W. seconded the motion. ALL AYES, MOTION PASSED
Case # ZBA 4-17, Stephen Banks house renovation/expansion at 01956 N. Shore Drive (Property ID # 15-010-730-006-00).
Ch. Lee opened the Public Hearing and read that Matt Stuck, Conquest Builders, on behalf of Stephen Banks, has applied for: 1. An approximately 360 square foot conforming addition to the north side, or N. Shore Drive side, of the non-conforming house (dimensions are not in the application and are wrong on Presley Architecture drawing); 2. A conforming 7' 3" X 4' basement access door to the east side of the house and; 3. A small 2' X 5' nonconforming "fill in" to the west side of the house (This "fill in" is shown on the print but not on the application) at 01956 N. Shore Drive (Property ID # 15-010-730-006-00). ZBA Permission to expand a non-conforming structure in a conforming way is required for items # 1 and 2 above (Section 9.6 of the Zoning Ordinance), and a 3' 6" variance is needed for item # 3 above (Section 12.4 C of the Zoning Ordinance).
The Benchmark partial Topographic Survey indicates that a portion of First Street does not appear to have been vacated. The house may be on the west property line and the garage may be in the road right-of-way. This is not shown on the Presley Architecture drawing.
Stephen Banks added that the original structure was built 110 years ago and has been remodeled several times and that now the entire house will be remodeled to be a year around home. Matt Stuck from Conquest Builders added that the vinyl siding will be removed to now have the look of what it was back then.
Randy stated there were no responses to the letters sent out and Ch. Lee closed the Public Hearing.
David B and Ch. Lee both agreed that if possible the ZBA tries to eliminate variances of non-conforming structures.
Ch. Lee went on to the Findings of Facts:
The ZBA has requested some assistance in preparation of findings of fact (FOF). The following draft may be considered, modified, used or totally revised by the Zoning Board of Appeals during your deliberations following the hearing:
The ZBA Board finds that:
1. The lot at 01956 N Shore Drive, identified as Property ID # 15-010-730-006-00, is in the R-1 Zoning District and the Walloon Lake Shoreline Protection Overlay District. ALL AGREED
3. The lot is non-conforming because it is about 51' wide and covers about 7,575 sq. ft. The district requirement is 100' wide and 20,000 sq. ft. ALL AGREED
2. R-1 Setback requirements are 50' front (lakefront), 10' side (because of the narrow width of the lot), 26.3' rear (because of the narrow length) and 100' width. ALL AGREED
4. No overhangs are shown or requested in the project, and all measurements, variances and approvals refer to the drawings. According to the Zoning Ordinance, setbacks are measured from the dripline (including overhangs).ALL AGREED
6. Component 1 on the project, the approximately 361sq. ft. conforming addition to the nonconforming house, requires ZBA approval of expansion of a Nonconforming Use (Section 9.6 of the Zoning Ordinance). ALL AGREED
5. Before issuance of a zoning permit, conformance with Zoning Ordinance Section 6.11, Walloon Lake Shoreline Protection Overlay District, shall be determined by the Zoning Administrator. ALL AGREED
7. Component 2 of the project, the conforming 7' 3" X 4' basement access door to the east side of the house, requires ZBA approval of an Expansion of Nonconforming Use (Section 9.6 of the Zoning Ordinance). ALL AGREED
CH. LEE STATED THAT :Section 9.6 - Expansion of Nonconforming Use
The Zoning Board of Appeals may permit expansion of a pre-existing nonconforming use, provided such expansion shall not be substantially detrimental to the surrounding neighborhood and contrary to the spirit and intent of the Ordinance."
1. The proposed 2 conforming additions to a nonconforming structure will not be substantially detrimental to the surrounding neighborhood. ALL AGREED
a. The Board finds that the proposed 2 conforming additions will meet all setbacks. ALL AGREED
b. The Board finds that the proposed addition will keep the structure similar to the structures in the area. ALL AGREED
c. The Board, therefore, finds the expansion will not be substantially detrimental to the surrounding neighborhood. ALL AGREED
3. The proposed two conforming additions will not be contrary to the spirit and intent of the zoning ordinance. ALL AGREED
a. The Board hereby incorporates by reference its findings of fact contained in paragraphs 1.a through 1.c. above.
b. The Board finds that Section 1.0 of the zoning ordinance specifies the purpose of the zoning ordinance, which provision is hereby incorporated herein by reference. ALL AGREE
c. The Board finds that Section 6.0 A) of the zoning ordinance specifies the purpose of the R-1 Zoning District, which provision is hereby incorporated herein by reference. ALL AGREE
d. The Board finds that allowing the addition does "maintain social and economic stability, property values and general character and trend of Melrose Township development". ALL AGREE
e. The Board, therefore, finds the proposed addition will not be contrary to the spirit and intent of the zoning ordinance. ALL AGREE
3. Based on the above findings of fact, the Board finds the standards for the two conforming additions, which meet all setbacks, have been met. ALL AGREE
TODD R. MADE THE MOTION THAT THIS IS A CONFORMING EXPANSION OF A NON CONFORMING USE. LYON S. SECONDED ALL AYES MOTIO PASSED
1. Component #3 of the project is a 2' x 5' nonconforming "fill in" to the west side of the house. (this "fill in" is shown on the print but not mentioned in the application) requires a 3'x 6" variance (section 12.4C of the Zoning Ordinance).
2. The Benchmark partial Topography Surey indicated that a portion of the First Street does not appear to have been vacated. the house may be on the west property line and garage may be i the road right of way. This is not shown on the Presley Architecture drawing. The required 300' notices were mailed on Oct. 16, 2017 to 14 property owners and the Public Hearing Notice was published on Oct. 16, 2017 in the Petoskey News review. Ch. Lee read the following: SECTION 12.4 C VARIANCE CRITERIA: The Zoning Board of Appeals shall have the power to authorize, upon appeal, specific variances from dimensional requirements. It shall be found by the Zoning Board of Appeals that any variance granted:"
1. The variance will not be contrary to the public interest or to the spirit and intent of the Ordinance. The proposed 2' X 5' nonconforming "fill in" to the west side of the house will probably not be contrary ALL AGREED
2. The variance does not permit the establishment within the zoning district of any use that is not permitted by right within the district. Residential uses are an allowed use in the R-1 District. ALL AGREED
3. The granting of the variance will not cause any adverse effect to property in the vicinity or in the Zoning District or the Township. The Board finds that the proposed southwest expansion will not have a negative impact on property values, and would maintain the general character and trend of Melrose Township development. The project should improve the treatment of storm-water prior to it flowing into Walloon Lake. ALL AGREED
4. Does the variance relate only to property under control of the applicant? ALL AGREED
5. Does the variance affect only property subject to exceptionally or extraordinary circumstances or conditions that do not generally apply to other property or uses in the vicinity? The Board finds that the house was built prior to zoning. ALL AGREE
6. The proposed expansion meets or does not meet the above 5 criteria in Section 12.4 C for a variance.3 voted that it does meet the criteria: Bart. W., Lyon S,, & Todd R., 2 voted that it does not meet the criteria: David B . & Ch. Lee
7. Granting the variance would or would not observe the Spirit of the Ordinance and provide for substantial justice. 3 voted that it would observe the Spirit of the Ordinance: Bart W., Lyon S., & Todd R.,: and 2 voted the it would not observe the Spirit of the Ordinance.
After review and discussion of the above Findings of Fact, Lyon S. stated that Due to the findings of fact as stated above, I move to approve Stephen Banks' Zoning Variance Application for two conforming additions and one 4' 4" variance for another addition to a non-conforming structure at 01956 N. Shore Drive (Property ID # 15-010-730-006-00). No permit will be issued until the approval of First St Road End being vacated is presented to Randy. This approval is based upon:
1. Zoning Variance Application signed by Matthew Stuck on October 10, 2017;
2. Conquest Builders Inc. letter, signed by Matt Stuck on October 11, 2017;
3. Partial Topographic Survey, dated 18 July 2017, 2017 by Benchmark Engineering; and
4. Alterations to Banks Residence by Presley Architecture LLC dated 10/4/17
Todd R. seconded the motion. 3 Voted in favor of the Motion: Bart W., Lyon S., & Todd R.: 2 Voted against the Motion: David B. & Ch, Lee MOTION PASSED
Next meeting will be Nov. 9th at 5 PM. Meeting adjourned at 10 PM
Respectfully submitted by: Bunny Marquardt _________________________________
ZBA Secretary: Todd Reeves
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MFC Bancorp Ltd. is an international merchant bank with offices in Shanghai, Hong Kong, Vienna and Berlin. Through MFC Merchant Bank S.A., a subsidiary based in Herisau, Switzerland, MFC Bancorp provides customized financial and consulting services to institutions and corporations. MFC Bancorp also invests for its own account by acquiring undervalued assets and restructuring them to realize their full potential, and by facilitating and financing international trade with a focus on commodities and emerging markets. MFC Bancorp invests actively in opportunities where its management, financial and trade expertise can unlock latent value. MFC Bancorp Ltd. common shares trade in the United States on the NASDAQ National Market (symbol: MXBIF) and in Europe on the Frankfurt Stock Exchange (symbol: MFC GR).
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2FINANCIAL HIGHLIGHTS3TO OUR SHAREHOLDERS8REVIEW OF OPER AT I O N S T I O N S 15 F I N A N C I A L R E V I E W 51 C O R P O R AT E I N F O R M AT I O N
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Cover: For millennia, the wealth of trade opportunities waiting in China has drawn merchants from Europe to cross the vast, arid lands of central Asia, seeking the fabled East. ( Merchant caravan painted by: Gabriel Alexandre Decamps. Louvre.)
M F CB A N C O R P L T D.
A MATTER OF OPPORTUNITY
Whether on the trade side or the investment side, successful merchant banking is a matter of recognizing and capitalizing on opportunities, while managing the associated risks.
Merchant bankers cultivate a long-term perspective and a sense of historical context that help them recognize both risks and opportunities. MFC Bancorp recognizes that the early years of the Third Millennium have seen a major, historic shift in world economic patterns: China, after two centuries of relative economic eclipse, is emerging as the major industrial, economic and trading power it was for thousands of years before.
This historic change, which is certain to exceed in importance even the emergence of Japan as the world's #2 economic power in the second half of the 20th century, has created an extraordinary array of merchant banking opportunities in both trade and investment and will create even more and larger ones in the near future. To obtain the maximum benefit from these opportunities, MFC Bancorp considers it vital to understand not only present market conditions in China, but also the full context of her economic and trading history.
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FINANCIAL HIGHLIGHTS
| | 2003 | 2002 | 2001 | 2000 |
|---|---|---|---|---|
| Revenues Net income Earnings per share Basic Diluted Cash and cash equivalents Securities Total assets Debt Shareholders’ equity | $ 316,863 38,004 2.91 2.78 112,544 34,790 313,043 25,764 169,024* | $ 180,006 32,129 2.48 2.35 64,835 39,661 282,712 43,554 180,608 | $ 134,526 28,437 2.25 2.10 48,453 47,598 247,796 61,535 154,462 | $ 104,133 26,105 2.16 2.02 45,677 53,582 221,346 23,611 142,070 |
* after deduction of distribution payable.
TO OUR SHAREHOLDERS
The year 2003 was a time of transition and growth for MFC Bancorp. Advancing in the strategic direction we took when we entered the trading business two years ago, our company has quickly grown its trading
and investment activities in China, South East Asia and Eastern Europe.
In particular, we devoted substantial effort in 2003 to laying the groundwork for our planned expansion in China, opening offices in Hong Kong and Shanghai, and acquiring control of Med Net International Ltd. in 2004, which operates a number of high-tech eye-care centers in China. Med Net International is experienced in dealing with China's government and regulatory systems and has built a valuable pool of expertise in navigating the new, more business-friendly economic environment that has emerged there over the last decade.
In 2004, we also acquired KHD Humboldt Wedag AG, a leading German-based supplier of equipment and engineering services in the area of coal, cement and mineral processing technologies. We believe this
company is well placed to increase our commodity trading and finance business in China, India and other emerging markets. With more than 140 years of experience in mechanical plan and process engineering,
KHD Humboldt provides concept, design and detail engineering and equipment fabrication for complete plants as well as plant sections, including modernization and capacity enhancement, automation and process
control equipment. KHD Humboldt's services also include feasibility studies, raw materials testing, financing, concepts, erection and commissioning, personnel training, and pre- and after-sales services.
KHD Humboldt employs 650 people around the world, including 400 in Koln, Germany who deal with corporate administration, design and detail engineering, research and development and manufacturing. Major
subsidiaries include Humboldt Wedag India where 170 staff focus on coal beneficiation projects and cement technology services for domestic and international clients. In the USA, Humboldt Wedag Inc.’s Atlanta staff
of over 45 design and commissioning specialists provide services to clients in the Americas and the Caribbean.
The company also has full-service subsidiaries in South Africa and Australia, complemented by sales offices in Russia, China and the Middle East. The China office has been active for over 20 years, and is now being
converted to a full operating company in response to the expanding cement, coal and minerals markets there. The company is also planning to capitalize on China’s low-cost manufacturing environment to enhance
its competitiveness on international projects.
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In addition, KHD Humboldt's end products, whether in the cement, coal or minerals processing fields, normally represents a major capital expenditure for its clients, typically producers of a commodities like clinker, cement,
cleaned coal, or minerals such as copper, gold, or diamonds. Consequently, KHD Humboldt's clients are potential clients for other members of the MFC Bancorp group of companies, which can provide them with
equity, financing, off-take agreements, and other merchant banking services. These associated services available through the MFC Bancorp group will further differentiate KHD Humboldt from its competitors,
enhancing its competitiveness and success rate. Finally, KHD Humboldt's knowledge base expands MFC
Bancorp's field of potential equity investments, either for its own account or on behalf of clients, to include coal washeries, recovery of waste pile resources, and other investments associated with minerals processing.
While the major new developments of 2003 centered around our expanding trade business and the potentials inherent in our acquisition of KHD Humboldt, MFC Bancorp’s established merchant banking business has
continued profitably to provide specialized banking and corporate finance services and to advise clients on corporate strategy and structure, including mergers and acquisitions. Our merchant banking activities also
include a growing amount of proprietary trading in commodities and natural resources, and proprietary investing of our own capital to realize long-term or trading gains.
We seek to invest in businesses or assets whose intrinsic value is not accurately reflected in their share prices or current value, often as a result of financial, legal or other distress. Our proprietary investing is
generally not passive: we seek investments where our financial expertise and management can add or unlock value. Our cobalt refinery assets in Uganda and Canada will be distributed to MFC Bancorp shareholders.
The price of cobalt rose substantially in late 2003, and we agreed to sell forward half of the Ugandan operation’s 2004 production.
We believe that our strong liquidity position and under-leveraged balance sheet will help us make 2004 a year of increasing opportunities for our company, particularly in the growing markets of China and Asia.
On Behalf of the Board,
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LAND OF OPPORTUNITY:
TRADE AND MERCHANT BANKING IN CHINA
From early times, mer om early times, merchant bankers have played a critical role in financing China's external trade. The first of these nal trade. The first of these merchant bankers were like venture capitalists: wealthy individuals and families who lent their own funds or bought equity positions to finance ship-borne trade between China and ports in East and Southeast Asia, as well as overland trade with Europe and South Asia along the Silk Road. In many cases these merchant bankers were specialized moneychangers who also engaged in exchange and bullion banking, charging fees or commissions to trade bullion and exchange the various currencies that typically circulated in and around China, and capitalizing on currency arbitrage opportunities.
The primitive state of transportation meant that before modern times, China was geographically isolated n times, China was geographically isolated from her trading partners by barriers of mountains, deserts and se om her trading partners by barriers of mountains, deserts and seas. The consequent risk, difficulty, and long duration of trading expeditions meant that only compact, high-value items were worth trading - typically luxury goods such as silks, gemstones, pearls, spices, artworks and porcelain.
But another important factor drove the Silk Road trade between China and Europe: bullion arbitrage. Because silver was relatively more abundant than gold in Europe, the silver:gold exchange rate always favored gold in Europe (10-12 weight of silver to 1 weight of gold), but silver in China (6-8 to 1). Whatever the profitability of their other goods, traders could always rely on a substantial profit from buying silver for gold in Europe and selling it for gold in China. Merchants and merchant bankers in both China and Europe were well aware of this permanent arbitrage opportunity, and invested substantial resources in trade infrastructure to exploit it.
MFC BANCORP LTD. & SUBSIDIARIES
COMMODITIES TRADING
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REPORT ON OPERATIONS
MFC Bancorp Develops a Global Reach
In the past year, MFC Bancorp has developed a rapidly growing business facilitating, arranging and financing international trade, especially in commodities and commodity-related products and services. Since acquiring
a trading company in 2001, MFC Bancorp has refocused its proprietary investing, rationalizing assets and expanding the trade side of its merchant banking business.
China, which by itself now accounts for half of world economic growth, is the strategic focus of the company’s expanded commodity trading business: MFC Bancorp considers China and India to be the
future of global growth in manufacturing for at least the next decade. These countries will therefore also be the engines of growth in the global trade in commodities, as they will need large quantities of commodities
to support their expanding manufacturing sectors, as well as their large and growing investments in construction and infrastructure.
Synergies Between Companies Make MFC Work
To facilitate its planned expansion in Asia, in 2003, MFC Bancorp established its principal regional office in
Hong Kong, and another office in Shanghai specifically to serve the Chinese market. The company is pursuing synergies through acquisition of existing companies with operational experience and business networks in
China. In 2004, MFC Bancorp acquired Med Net International, which operates a number of technically- advanced eye-care centers in China. China still needs to import large amounts of technology and expertise,
but experience and a proven track record in China are crucial to success there. Med Net International has built an extensive pool of management expertise and a respected presence in China, and plans to open
three new technically-advanced eye-care centers there this year.
Applying Technologies for Maximum Effectiveness
Europe is known as a world research and technology leader, with a global reputation for quality in design and manufacturing. MFC Bancorp plans to take European technology and apply it in China, where production
is more cost effective: manufacturing costs can be substantially lower in China than in Europe. MFC Bancorp's
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A persistent opportunity for silver-gold bullion arbitrage between Europe and China made East-West trade less risky and more profitable throughout the Silk Road era (200 BCE-1400 CE).
From Bullion to Paper. Over time, Chinese merchant bankers' trade financing activities expanded to embrace more of the functions of a modern bank: they began to accept deposits from more distantly related family members, trusted friends, and government officials for reinvestment in both trade and industrial enterprises. Remittance banks arose, and soon after, Chinese bankers invented checking, checkable deposits, and their natural descendant, paper currency. Among the many wonders described by Marco Polo on his return from China, check-based banking transactions and paper currency had perhaps the greatest long-term impact on Europe.
However, the development of true banking in China was hampered for many centuries by the lack of a suitable unit of account. Different currencies circulated in dif culated in different parts of the country, and official curr ficial currency issues rarely held their value for long, as both the legitimate issuing authorities and counterfeiters were anxious to capture as much seigniorage (the difference between money's face value and its minting cost) as possible. Analysis of coin hoards has shown that despite draconian penalties for counterfeiting - of which capital punishment was not the most severe - for a significant part of China's history most of the money in general circulation was counterfeit. Inflation caused by both counterfeiting and excessive official issues was both chronic and rampant, and only worsened after paper money was introduced.
Even the use of gold and silver bullion for larger transactions did not protect China's banking system for long. When the USA tried to relieve its deflation of the 1930s by implementing silver price supports, an unintended consequence was to revalue China's silver-based currency upward, draining money from the economy. It was the reverse side of the old bullion arbitrage, but this time the effect was to deflate China's currency in circulation, provoking a banking and credit crisis, a deep economic contraction, and social disruptions that weakened the country still further.
broad strategy is to acquire or work with manufacters that are not competitive when manufacturing in other countries and bring them to China, where they can be competitive because of the country's lower cost structure.
In 2003, MFC Bancorp recognized and acted on a specific opportunity to implement this strategy, acquiring Mazak Ltd., a producer of zinc alloys and pigments in England. Mazak's products are not cost-competitive in China. Mazak is planning to manufacture selected zinc products there to reduce costs and become competitive. Mazak opened a new operating plant in Slovakia on a similar basis, for similar reasons. MFC Bancorp is currently investigating other opportunities to acquire other European technologies and apply them in China. Numerous European companies that have developed advanced manufacturing technologies are looking for ways to enter, and succeed in, the Chinese market, both by selling their Chinese-manufactured products in China and by exporting them to their home markets.
In Chinese culture, jade symbolizes nobility, perfection, constancy, and immortality , and immortality. It is considered the most valuable of all precious stones.
Groundwork Laid for Rapid Growth. From the time of the Opium War and the Taiping Rebellion in the mid-19th century, China enter , China entered a long period of virtually constant political turmoil and wars, both civil and international, that disrupted trade relations, repeatedly destroyed banking institutions and the financial system, devastated the economy and, by the end of WW II, had reduced the country to a condition of poverty and weakness relative to the rest of the world such as it had never previously known.
China's progress since that time, and especially since 1980, has been remarkable. The groundwork for her current rapid economic development – first establishing peace, or ent rapid economic development – first establishing peace, order and stability, then making public , then making public investments in infrastructure and education – is now paying enormous dividends in the form of double-digit growth. Though less dramatic than the collapse of the Soviet Union, the emergence of China as an industrial power and major trading nation in the 1980s and 90s may, in the longer term, be a more significant change in the global community.
M F CB A N C O R P L T D.
FINANCIAL RESULTS FOR 2003
Exchange rate fluctuations have been a major concern for all international companies in 2003 and 2004, and have affected MFC Bancorp's reported results in complex ways. The company's expenses are typically in Euros, Canadian dollars and Swiss francs, while the majority of its income is denominated in US dollars and Euros. The reporting currency is Canadian dollars. Based on the year average exchange rates in 2003, the Canadian dollar decreased by 2.9% in value against the Swiss franc and 6.2% against the Euro, but increased 12.1% against the US dollar, compared to the year average exchange rates in 2002. Comparing end-of-year exchange rates, the Canadian dollar had increased by approximately 9.4% in value against the Swiss franc, 1.7% against the Euro, and 22.2% against the US dollar to the end of 2003, compared to the end of 2002. As a result, Canadian dollar entries in the company's financial data that use the exchange rate as at the end of the year may seem low relative to entries that use the average exchange rate through the year. For the convenience of readers, the following financial results are stated in US dollars.
Primarily as a result of increased trading and acquisition activity, revenues for 2003 increased by 76%, to US$316.9 million, up $136.9 million from $180.0 million in the previous year. Net income for 2003 rose by $5.9 million or 18% to $38.0 million, equivalent to $2.78 per share on a diluted basis, compared to $32.1 million, or $2.35 per share on a diluted basis in 2002.
The company's total assets increased by $30.3 million, or 10.7%, to $313.0 million in 2003, up from $282.7 million in 2002. In the same period, the company reduced its debt from $43.6 million to $25.8 million, a decline of $17.8 million or 40.8%. During the first quarter of 2004, MFC Bancorp called for the redemption of $12.6 million of the company's 8% convertible bonds due 2008. The majority of these bonds were converted into shares.
Because of the distribution to shareholders of $55.5 million related to the company's cobalt refinery assets, shareholder equity declined over the period by $11.6 million, or 6.4%, from $180.6 million at year-end 2002 to $169.0 million at year-end 2003.
This bronze bull head dates from the Eastern Zhou Dynasty (4th-3rd centur y BCE). Then as now, China experienced a period of rapid economic growth and flourishing trade.
New Era in Chinese Merchant Banking. The program of modernization and economic and financial reforms initiated by Deng Xiao-Ping in the 1980s has been extraordinarily effective in liberating the pent-up productive energies of the Chinese people. Far from its former small trade in luxury items, China now imports large volumes of raw materials and exports them as high-value-added manufactured goods. Much of this trade requires sophisticated merchant banking services, and while China now has a substantial corps of professional bankers with training and experience in Hong Kong, the USA, Europe and elsewhere, her need for global banking expertise will far outstrip the supply for the foreseeable future.
The ongoing evolution of Chinese banking law and the country's rapid economic development have accordingly opened vast opportunities for for dingly opened vast opportunities for foreign merchant banks. Chinese public banks ar chant banks. Chinese public banks are still exploring the possibilities for commercial relationships with foreign private banks, which have recently been allowed to acquire equity positions in Chinese banks, as Chinese banks have done with their foreign counterparts. The 21st century will no doubt see a continuing expansion of opportunities for skilled international merchant bankers in China.
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITIONAND RESULT OF OPERATIONS
The following discussion and analysis of our financial condition and results of operations for the three years ended December 31, 2003 should be read in conjunction with our consolidated financial statements and related notes included in this annual report. Our financial statements included in this annual report were prepared in accordance with Canadian GAAP. For a reconciliation of our financial statements included in this annual report to U.S. GAAP, see Note 20 to the financial statements. We have made certain reclassifications to the prior periods' financial statements to conform to the current period's presentation.
The presentation of selected information in our financial statements in U.S. dollars is for information purposes only and information in our financial statements is translated to U.S. dollars for convenience using year end exchange rates, as required by Regulation S-X of the Securities Act of 1934.
O P ER A T I N G R E S U L T S
We are a highly integrated international financial services company that focuses on merchant banking. We provide specialized banking and corporate finance services internationally. These activities are primarily conducted through our wholly-owned subsidiary, MFC Merchant Bank S.A. Our merchant banking activities include a European trading group focused on trading commodities and natural resources which we acquired in October 2001. We also commit our own capital to promising enterprises and invest and otherwise trade to capture investment opportunities for our own account. We seek to invest in businesses or assets whose intrinsic value is not properly reflected in their share price or value. Our investing is generally not passive. We seek investments where our financial expertise and management can add or unlock value.
Our results of operations have been and may continue to be affected by many factors of a global nature, including economic and market conditions, the availability of capital, the level and volatility of equity prices and interest rates, currency values, commodity prices and other market indices, technological changes, the availability of credit, inflation and legislative and regulatory developments. Our results of operations may also be materially affected by competitive factors. Competition includes firms traditionally engaged in financial services such as banks, broker-dealers and investment dealers, along with other sources such as insurance companies, mutual fund groups, other companies offering financial services in Europe and globally and other trade and finance companies.
Our results of operations for any particular period may also be affected by our realization on proprietary investments. These investments are made to maximize total return through long-term appreciation and recognized gains on divestment. We can realize on our proprietary investments through a variety of methods including sales, capital restructuring or other forms of divestment.
The international and integrated nature and focus of our business has resulted in no income tax expense in 2002 and 2001. In 2003, our effective consolidated tax rate was approximately 1.7%.
In recent years, the financial services industry has experienced consolidation and convergence as financial institutions involved in a broad spectrum of services have merged or combined. The trend to consolidate is expected to continue and produce global financial institutions with much greater capital and other resources than we have. As a result of the economic and competitive factors discussed above, our results of operations may vary significantly from period to period. We intend to manage our business for the long-term and to mitigate the effects of such factors by focusing on our core operations.
YEA R EN D E D D E C E M B E R 3 1 , 2 0 0 3 C O M PARED TO THE YEAR ENDED DECEMBER 31, 2002
Based upon the period average exchange rates in 2003, the Canadian dollar decreased by approximately 2.9% in value against the Swiss franc, 6.2% in value against the Euro but increased by approximately 12.1% in value against the U.S. dollar, compared to the period average exchange rates in 2002. As at December 31, 2003, the Canadian dollar increased by approximately 9.4% in value against the Swiss franc, 1.7% against the Euro and 22.2% against the U.S. dollar since December 31, 2002.
The following table provides selected quarterly financial information for 2003 for MFC:
| (Canadian Dollars in thousands, other than per share amounts) | 2003 | | | |
|---|---|---|---|---|
| | December 31 | September 30 | June 30 | March 31 |
| Revenues Expenses Net income Diluted earnings per share Total assets Shareholders’ equity | $ 126,756 102,465 23,050 1.65 404,577 218,447* | $ 102,393 96,233 6,123 0.46 441,429 281,708 | $ 97,496 87,308 10,125 0.75 429,057 272,452 | $ 82,868 73,122 9,818 0.73 449,728 279,160 |
* after deduction of distribution payable of $71.7 million
In 2003, our revenues increased by 44.0% to $409.5 million from $284.3 million in 2002, primarily as a result of the increased volume of our trading activities and acquisitions. In 2003, we expanded our trading operations by hiring additional trade professionals and expanding the breadth of products that we trade. We are also expanding geographically into the Far East and Southern Asia. Such geographic expansion of our merchant banking activities is being undertaken, in part, as we expect that over the next several years the integration of several central and eastern European countries into the European Union will result in increased competition and put downward pressure on operating margins. We included the full year's revenues from our aluminium rolling plant in the current year, which was acquired in October 2002. We also consolidated the revenue from our alloy and pigments business, which was acquired in July 2003.
In 2003, expenses increased by approximately 51.4% to $359.1 million from $237.2 million in 2002, primarily as a result of the increase in the volume of trading activities and acquisitions. In 2003, financial services
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITIONAND RESULT OF OPERATIONS
expenses increased by approximately 87.5% to $329.5 million from $175.8 million in 2002. General and administrative expenses decreased to $25.2 million in 2003 from $35.8 million in 2002. The general and administrative expenses were net of foreign currency transaction gains of $8.3 million and $0.5 million in 2003 and 2002, respectively. The increases in financial services and general and administrative expenses related primarily to the increase in the volume of trading activities.
In 2002, we recorded a loss for goodwill impairment of approximately $16.1 million relating to the goodwill associated with previously acquired subsidiaries as we determined that the carrying value of such goodwill exceeded its fair value. See "Critical Accounting Policies — Goodwill Impairment" below for more information. In 2002, we recognized a $19.7 million gain on indebtedness of a subsidiary and a $49.1 million gain on debt extinguishment. In 2003, interest expense decreased to approximately $4.4 million from approximately $9.5 million in 2002, primarily as a result of the lower indebtedness amount outstanding during the year.
In 2003, we recorded an income tax expense of $0.8 million. In 2002, we had an income tax recovery of $3.5 million.
In 2003, our net earnings increased to $49.1 million, or $3.76 per share on a basic basis ($3.59 per share on a diluted basis), from $50.8 million, or $3.93 per share on a basic basis ($3.70 per share on a diluted basis), in 2002.
Y EA R E N D E D D E C E M B E R 3 1 , 2 0 0 2 COMPAR ED TO THE YEAR ENDED DECEMBER 31, 2001
The following table provides selected quarterly financial information for 2002 for MFC:
| (Canadian Dollars in thousands, other than per share amounts) | 2002 | | | |
|---|---|---|---|---|
| | December 31 | September 30 | June 30 | March 31 |
| Revenues Expenses Net income Diluted earnings per share Total assets Shareholders’ equity | $ 124,574 98,927 28,864 2.10 446,574 285,290 | $ 52,169 49,153 1,854 0.14 494,179 252,907 | $ 53,364 44,890 10,049 0.72 434,487 244,368 | $ 54,232 44,189 9,988 0.72 396,225 250,969 |
In 2002, our revenues increased by 32.7% to $284.3 million from $214.2 million in 2001, primarily as a result of the inclusion of the results of our trading operations for the full year in 2002, instead of only three months in 2001. In 2002, we expanded our trading operations by hiring additional trade professionals and expanding the breadth of products that we trade. We are also expanding geographically into the Far East and Southern Asia. Such geographic expansion of our merchant banking activities is being undertaken, in part, as we
expect that over the next several years the integration of several central European countries into the European Union will result in increased competition and put downward pressure on operating margins.
In 2002, expenses increased by approximately 39.3% to $237.2 million from $170.2 million in 2001, primarily as result of the expansion of our trading operations in 2002. In 2002, financial services expenses increased by approximately 22.9% to $175.8 million from $143.1 million in 2001. General and administrative expenses increased to $35.8 million in 2002 from $21.8 million in 2001 The increases in financial services and general and administrative expenses related primarily to the inclusion of the results of our trading operations for the full year in 2002 versus only three months in 2001.
In 2002, we recorded a loss for goodwill impairment of approximately $16.1 million relating to the goodwill associated with previously acquired subsidiaries as we determined that the carrying value of such goodwill exceeded its fair value. See "Critical Accounting Policies — Goodwill Impairment" below for more information. There was no similar charge in 2001. In 2002, we recognized a $19.7 million gain on indebtedness of a subsidiary and a $49.1 million gain on debt extinguishment. In 2001, we recognized a $22.4 million gain on indebtedness of a subsidiary. In 2002, interest expense increased to approximately $9.5 million from approximately $5.4 million in 2001, primarily as a result of the inclusion of the consolidated indebtedness of Banff Resources Ltd., in which we acquired an approximately 85% interest in August 2002.
In 2002, we recorded a recovery of income tax of $3.5 million as result of the reversal of a tax accrual due to the sale of an indirect oil royalty interest during the year. In 2001, we had an income tax recovery of $0.8 million.
In 2002, our net earnings increased to $50.8 million, or $3.93 per share on a basic basis ($3.70 per share on a diluted basis), from $45.3 million, or $3.59 per share on a basic basis ($3.35 per share on a diluted basis), in 2001.
LIQUIDITY AND CAPITAL RESOURCES
The following table is a summary of selected financial information concerning MFC for the periods indicated:
| In Thousands December 31 | U.S. Dollars (for information) | | Canadian Dollars | |
|---|---|---|---|---|
| | 2003 | 2002 | 2003 | 2002 |
| Cash and cash equivalents Securities Total assets Debt Shareholders’ equity | $ 112,544 34,790 313,043 25,764 169,024* | $ 64,835 39,661 282,712 43,554 180,608 | $ 145,452 44,963 404,577 33,297 218,447* | $ 102,413 62,649 446,574 68,798 285,290 |
* after deduction of distribution payable of $71.7 million (U.S. $55.5 million)
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITIONAND RESULT OF OPERATIONS
We maintain a high level of liquidity, with a substantial amount of our assets held in cash and cash equivalents, and securities. The highly liquid nature of these assets provides us with flexibility in managing our business and financing. We also use this liquidity in client related service where we act as a financial intermediary for third parties and in our own proprietary investing activities.
At December 31, 2003, our cash and cash equivalents were $145.5 million, compared to $102.4 million at December 31, 2002. At December 31, 2003, we had securities of $45.0 million, compared to $62.6 million at December 31, 2002.
At December 31, 2003, our debt was $33.3 million, compared to $68.8 million at December 31, 2002.
As part of our merchant banking activities, we establish, utilize and maintain various kinds of credit lines and facilities with other banks, insurers, and trade finance providers. Most of these facilities are short-term. These facilities are primarily used for structured trade financing, accounts receivable financing and letters of credit. Such facilities are drawn upon and used for specific trading transactions. These credit facilities are generally secured by the subject matter of a proposed transaction, being either a receivable or the underlying commodity or natural resource being traded. We often further enhance the credit of such facilities through credit and/or performance insurance provided by governmental and/or private insurers. Such trade finance insurance is often layered with varying limitations and exceptions. The amounts drawn under the credit facilities fluctuate with the kind and level of commodities and natural resources trading transactions being undertaken by us. As such transactions are settled, proceeds are generally applied to first settle amounts drawn under such credit facilities.
At December 31, 2003, we had approximately 14 separate credit lines and facilities used for commodities and natural resources trading aggregating approximately €74.6 million, none of which was drawn and outstanding. The kind, amount and number of credit facilities we utilize and amounts drawn thereunder fluctuate from time to time based upon the nature, level and location of, and counterparties with whom we conduct our commodities and natural resources trading activities.
We have debt maturities of $5.9 million in 2004 and $4.4 million in 2005. We expect such maturing debt to be satisfied primarily through the settlement of underlying commodities and natural resource trading transactions, cash on hand and cash flow from operations. Much of such maturing debt may either subsequently be made re-available to us by the applicable financial institution or we may replace such facilities with similar facilities depending upon our trading and capital requirements. For more information, see Note 10 to our consolidated financial statements included in this annual report.
Subsequent to the year ended December 31, 2003, we exercised our right of redemption to redeem all of the 8% Convertible Subordinated Bonds issued in March, 1998. We paid a total of US$0.7 million to the bondholders for redemption. The balance of the bonds were converted into our common shares.
OPERATING ACTIVITIES
In 2003, changes in securities provided cash of $7.0 million compared to $12.2 million in 2002. A decrease in receivables provided cash of $9.5 million in 2003, compared to $1.6 million in 2002. Of which, a decrease in commodity receivables provided cash of $14.1 million in 2003, compared to an increase in the same using cash of $7.7 million in 2002. A decrease in commodity investments provided cash of $1.1 million in 2003, compared to $6.0 million used in 2002. A decrease in properties held for sale provided cash of $1.1 million in 2003, compared to $13.5 million in 2002. A decrease in accounts payable and accrued expenses used cash of $2.6 million in 2003, compared to an increase in same providing cash of $3.8 million in 2002. Operating activities provided cash of $37.4 million in 2003, compared to $20.8 million in 2002. We expect to generate sufficient cash flow from operations to meet our working capital and other requirements.
INVESTING ACTIVITIES
In 2003, a net decrease in loans provided cash of $52.4 million, compared to a net increase in loans used cash of $4.8 million in 2002. The net sale of long-term securities provided cash of $4.8 million in 2003, compared to net purchase of long-term securities using cash of $5.4 million in 2002. In 2003, purchases of subsidiaries, net of cash acquired, used cash of $0.8 million, compared to $35.0 million in 2002. Investing activities provided cash of $64.9 million in 2003, compared to cash of $19.1 million used in 2002.
FINANCING ACTIVITIES
Net debt repayments used cash of $25.1 million in 2003, compared to $13.3 million in 2002. In 2003, a net decrease in deposits used cash of $13.5 million, compared to a net increase in deposits providing cash of $33.9 million in 2002. The net repurchase of common shares in 2003 used cash of $9.7 million, compared to cash of $7.0 million in 2002. Net cash used in financing activities was $48.3 million in 2003, compared to net cash provided by financing activities of $13.5 million in 2002.
We had no material commitments to acquire assets or operating businesses at December 31, 2003. We anticipate that there will be acquisitions of businesses or commitments to projects in the future. To achieve our long-term goals of expanding our assets and earnings, including through acquisitions, we will require substantial capital resources. The necessary resources will be generated from cash flow from operations, cash on hand, borrowing against our assets, sales of proprietary investments or the issuance of securities.
FOREIGN CURRENCY
Substantially all of our operations are conducted in international markets and our consolidated financial results are subject to foreign currency exchange rate fluctuations.
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITIONAND RESULT OF OPERATIONS
We translate foreign assets and liabilities into Canadian dollars at the rate of exchange on the balance sheet date. Revenues and expenses are translated at the average rate of exchange prevailing during the period. Unrealized gains or losses from these translations are recorded as shareholders' equity on the balance sheet and do not affect our net earnings. As a substantial amount of our revenues are received in Swiss francs and Euro, our financial position for any given period, when reported in Canadian dollars, can be significantly affected by the exchange rates for Swiss francs and Euro prevailing during that period. In the year ended December 31, 2003, we reported approximately a net $35.9 million foreign exchange translation loss and, as a result, our cumulative foreign exchange translation loss at December 31, 2003 was $17.1 million, compared to a $18.7 million gain at December 31, 2002.
Based upon the period average exchange rates in 2003, the Canadian dollar decreased by approximately 2.9% in value against the Swiss franc, 6.2% in value against the Euro and by approximately 12.1% in value against the U.S. dollar, compared to the period average exchange rates in 2002. As at December 31, 2003, the Canadian dollar increased by approximately 9.1% in value against the Swiss franc, 1.7% against the Euro and by approximately 22.2% against the U.S. dollar since December 31, 2002.
We use derivative foreign exchange contracts to manage our exposure and our clients' exposure to foreign currency exchange rate risks. At December 31, 2003 and 2002, we did not hold any forward foreign exchange contracts for our own account.
DERIVATIVE INSTRUMENTS
Derivatives are financial instruments, the payments of which are linked to the prices, or relationships between prices, of securities or commodities, interest rates, currency exchange rates or other financial measures. Derivatives are designed to enable parties to manage their exposure to interest rates and currency exchange rates, and security and other price risks. We use derivatives to provide products and services to clients and to manage our foreign currency exchange exposure for our own account. We also use derivatives to manage our interest rate risk on debts.
INFLATION
We do not believe that inflation has had a material impact on our revenues or income over the past three fiscal years. Because our assets to a large extent are liquid in nature, they are not significantly affected by inflation. However, increases in inflation could result in increases in our expenses, which may not be readily recoverable in the price of services provided to our clients. To the extent inflation results in rising interest rates and has other adverse effects on capital markets, it could adversely affect our financial position and profitability.
APPLICATION OF CRITICAL ACCOUNTING POLICIES
The preparation of financial statements in conformity with generally accepted accounting principles requires our management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting periods.
Our management routinely makes judgments and estimates about the effects of matters that are inherently uncertain. As the number of variables and assumptions affecting the probable future resolution of the uncertainties increase, these judgments become even more subjective and complex. We have identified certain accounting policies, described below, that are the most important to the portrayal of our current financial condition and results of operations. Our significant accounting policies are disclosed in Note 1 to our consolidated financial statements included in this annual report.
REVENUE RECOGNITION
Merchant banking revenues for banking and services are recognized as they are performed, and from commodities and natural resources trading and the sale of proprietary investments as they are completed and when the amounts of the revenues are fixed, agreed or determinable and collectibility is reasonably assured.
ALLOWANCE FOR CREDIT LOSSES
Our allowance for credit losses is to be maintained at an amount considered adequate to absorb estimated credit-related losses. Such allowances reflect management's best estimate of the probable losses in our credit portfolio and judgments about both macro- and micro-economic conditions. The evaluation process involves estimates and judgments, which could change drastically in the near-term, and could result in a significant change to a recognized allowance. Credit losses arise primarily from loans but may also relate to other credit instruments such as guarantees and letters of credit. An allowance for credit losses may be increased by provisions which are charged to income and reduced by write-offs net of any recoveries.
We review our loan portfolio and receivables on a regular basis. Specific provisions are established on a loanby-loan or receivable basis. In determining whether a specific provision is required or not, we consider, but such consideration is not limited to, the following factors:
* repayment history of the borrower;
* overall financial position and results of the borrower;
* the nature and quality of collateral and guarantee;
* business plan and outlook of the borrower;
* secondary market value of the loan and the collateral; and
* our business plan or strategy to divest or restructure the debt.
MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITIONAND RESULT OF OPERATIONS
A general provision may be established to absorb potential credit losses attributable to the deterioration of credit quality on aggregate exposures for which specific provisions cannot yet be determined. A country risk provision may be made based on exposures in less developed countries and on management's overall assessment of the underlying economic conditions in those countries. A market risk provision may be made based on the macro-economic factors which are specific to a particular region or industry and the microeconomic factors which are specific to a particular borrower. Write-offs are generally recorded after all reasonable restructuring or collection activities have taken place and there is no realistic prospect of recovery.
GOODWILL IMPAIRMENT
A goodwill impairment loss should be recognized when the carrying amount of the goodwill exceeds the fair value of the goodwill. An impairment loss should not be reversed if the fair value subsequently increases. We consider, but such consideration is not limited to, the following factors to determine the goodwill impairment:
* a significant adverse change in legal factors or in the business climate;
* an adverse action or assessment by a regulator;
* unanticipated competition;
* loss of key personnel;
* a more-likely-than-not expectation that a significant portion or all of a reporting unit will be sold or otherwise disposed of;
* the testing for write-down or impairment of a significant asset group within a reporting unit; or
* the recognition of a goodwill impairment loss in its separate financial statements by a subsidiary that is a component of the reporting unit.
VALUATION OF SECURITIES
Trading account securities held by MFC Merchant Bank S.A. are stated at quoted market value, with the unrealized gain or loss included in the results of operations. Other short-term securities are carried at the lower of aggregate cost or current market value, with the unrealized loss included in the results of operations.
When there has been a loss in value of a long-term security that is other than a temporary decline, the security will be written down to recognize the loss. The write-down is included in the determination of income.
A decline in market value may be only temporary in nature or may reflect conditions that are more persistent. Declines may be attributable to general market conditions, either globally or regionally, that reflect prospects of the economy as a whole or prospects of a particular industry or a particular company. Such declines may or may not indicate the likelihood of ultimate recovery of the carrying amount of a security. We regularly review our portfolio position to determine whether an other than temporary decline exists.
In determining whether the decline in value is other than temporary, quoted market price is not the only deciding factor, particularly for thinly traded securities, large block holdings and restricted shares. We consider, but such consideration is not limited to, the following factors:
* trend of the quoted market price and trading volume;
* financial position and results for a period of years;
* liquidity or going concern problems of the investee;
* changes in or reorganization of the investee and/or its future business plan;
* outlook of the investee's industry;
* the current fair value of the investment (based upon an appraisal thereof) relative to its carrying value; and
* our business plan and strategy to divest the security or to restructure the investee.
O FF- BA L A N C E S H E E T A R R A N G E M E N T S
We do not have any off-balance sheet arrangements that have or are reasonably likely to have a current or future effect on our financial condition, changes in financial condition, revenues or expenses, results of operations, liquidity, capital expenditures or capital resources that is material to investors.
CONTRACTUAL OBLIG AT I O N S
| Contractual Obligations Payments Due by Period (in thousands) | Less than 1 Year | 2 – 3 Years | 4 – 5 Years | More than 5 Years |
|---|---|---|---|---|
| Long-Term Debt Obligations Capital Lease Obligations Operating Lease Obligations Purchase Obligations Other Long-Term Liabilities Reflected on the Registrant’s Balance Sheet under GAAP Total | $ 5,921 67 1,570 32,499(2) — | $ 11,036 35 2,609 — — | $ 16,340(1) — 2,207 — — | $ — — 3,865 — — |
| | $ 40,057 | $ 13,680 | $ 18,547 | $ 3,865 |
(1) Subsequent to the year ended December 31, 2003, the convertible debentures of $16.3 million were called for redemption, the majority of which were converted into common shares of our company. Approximately $0.9 million was redeemed in cash.
(2) Consisting of $26.3 million for commodities trading and $6.2 million for alloys and pigments business.
To the Shareholders
MFC Bancorp Ltd.
We have audited the accompanying consolidated balance sheets of MFC Bancorp Ltd. and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in shareholders’
equity, and cash flows for the years ended December 31, 2003, 2002 and 2001. These financial statements are the responsibility of the Company’s management. Our responsibility is to express an opinion on these
financial statements based on our audits.
We conducted our audits in accordance with auditing standards generally accepted in the United States and Canada. Those standards require that we plan and perform the audit to obtain reasonable assurance
about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also
includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable
basis for our opinion.
In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of MFC Bancorp Ltd. and Subsidiaries as of December 31, 2003 and 2002, and the
results of their operations and their cash flows for the years ended December 31, 2003, 2002 and 2001, in conformity with accounting principles generally accepted in Canada, which differ from accounting principles
generally accepted in the United States as described in Note 20 to the consolidated financial statements.
PETERSON SULLIVAN P.L.L.C.
Seattle, Washington
April 2, 2004
M F CB A N C O R P L T D. A N D S U B S I D I A R I E S
INDEPENDENT AUDITOR'S REPORT
25
CONSOLIDATED BALANCE SHEETS
| (Canadian Dollars, In Thousands) December 31, | 2003 |
|---|---|
| A S S E T S Cash and cash equivalents Securities Loans Receivables Commodity investments Properties Resource property Goodwill Equity method investments Prepaid and other | $ 145,452 44,963 16,872 50,367 10,964 62,235 36,044 16,127 15,906 5,647 |
| | $ 404,577 |
| (Canadian Dollars, In Thousands) December 31, | 2003 |
|---|---|
| | $ 54,092 33,297 22,185 71,730 |
| | 181,304 4,826 61,891 (17,118) 173,674 |
| | 218,447 |
The accompanying notes are an integral part of these consolidated financial statements.
CONSOLIDATED STATEMENTS OF INCOME
| (Canadian Dollars, In Thousands, Except Earnings Per Share) For the Years Ended December 31, | 2003 | 2002 |
|---|---|---|
| F I N A N C I A L S E R V I C E S R E V E N U E E X P E N S E S Financial services General and administrative Goodwill impairment Interest Income from operations before income taxes and minority interests Recovery of (provision for) income taxes Income from operations before minority interests Minority interests Net income E A R N I N G S P E R S H A R E Basic Diluted | $ 409,513 329,549 25,187 — 4,392 | $ 284,339 175,792 35,758 16,116 9,493 |
| | 359,128 | 237,159 |
| | 50,385 (837) | 47,180 3,497 |
| | 49,548 (432) | 50,677 78 |
| | $ 49,116 | $ 50,755 |
| | $ 3.76 $ 3.59 | $ 3.93 $ 3.70 |
The accompanying notes are an integral part of these consolidated financial statements.
CONSOLIDATED STATEMENTS OF CHANGES IN
SHAREHOLDERS' EQUITY
| (Canadian Dollars, in Thousands) For the Years Ended December 31, 2003, 2002 and 2001 | Common Stock | | Retained Earnings | Cumulative Translation Adjustment | Total |
|---|---|---|---|---|---|
| | Number of Shares | Amount | | | |
| BALANCE AT DECEMBER 31, 2000 Net income Shares issued for exercise of stock options Translation adjustment Dividend in equity securities, at carrying value BALANCE AT DECEMBER 31, 2001 Net income Shares issued for exercise of stock options Shares issued for purchase of minority interest in consolidated subsidiary Repurchase of shares Shares issued for compensation Translation adjustment Dividend in equity securities, at carrying value BALANCE AT DECEMBER 31, 2002 Net income Shares issued for exercise of stock options Shares issued for conversion of bonds Repurchase of shares Translation adjustment Distribution of assets declared, at carrying value BALANCE AT DECEMBER 31, 2003 | 12,088,156 — 1,089,000 — — | $ 65,138 — 11,535 — — | $148,767 45,288 — — (29,183) | $ (771) — — 5,223 — | $213,134 45,288 11,535 5,223 (29,183) |
| | 13,177,156 — 157,500 25,071 (546,100) 18,227 — — | 76,673 — 1,635 397 (8,660) 224 — — | 164,872 50,755 — — — — — (19,339) | 4,452 — — — — — 14,281 — | 245,997 50,755 1,635 397 (8,660) 224 14,281 (19,339) |
| | 12,831,854 — 487,500 72,261 (672,183) — — | 70,269 — 4,281 1,294 (13,953) — — | 196,288 49,116 — — — — (71,730) | 18,733 — — — — (35,851) — | 285,290 49,116 4,281 1,294 (13,953) (35,851) (71,730) |
| | 12,719,432 | $ 61,891 | $173,674 | $ (17,118) | $218,447 |
CONSOLIDATED STATEMENTS OF CASH FLOWS
| (Canadian Dollars, In Thousands) For the Years Ended December 31 | 2003 | 2002 |
|---|---|---|
| Cash flows from operating activities Net income Adjustments for: Goodwill impairment Gain on debt reduction Amortization and depreciation Minority interests Dividend from equity method investee Debt extinguishment Financial advisory services revenue Gain on sales of securities and assets, net Changes in operating assets and liabilities, net of effects of acquisitions Securities Receivables Commodity investments Properties held for sale Accounts payable and accrued expenses Future income tax liability Other Cash flows from operating activities Cash flows from investing activities Net decrease (increase) in loans Sales (purchases) of long-term securities, net Sale of equity method investment Purchases of subsidiaries, net of cash acquired Proceeds from sale of assets Other Cash flows from investing activities Cash flows from financing activities Net increase (decrease) in deposits Borrowings Debt repayments Issuance (repurchase) of common stock, net Other Cash flows from financing activities Exchange rate effect on cash and cash equivalents Increase in cash and cash equivalents Cash and cash equivalents, beginning of year Cash and cash equivalents, end of year | $ 49,116 — — 1,487 432 — — (6,089) (17,574) 7,021 9,459 1,080 1,064 (2,617) — (6,016) | $ 50,755 16,116 (19,746) 1,528 (78) — (49,122) — — 12,179 1,621 (6,026) 13,487 3,767 (4,604) 970 |
| | 37,363 52,438 4,788 — (755) 10,634 (2,175) | 20,847 (4,778) (5,441) 25,915 (34,978) — 204 |
| | 64,930 (13,516) 6,649 (31,722) (9,672) (31) | (19,078) 33,894 38,660 (52,005) (7,025) — |
| | (48,292) (10,962) | 13,524 9,954 |
| | 43,039 102,413 | 25,247 77,166 |
| | $ 145,452 | $ 102,413 |
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
NO T E 1 . T H E C O M PA N Y A N D S U M MAR Y OF SIG NIFICANT ACCOUNTING POLICIES
The consolidated financial statements and accompanying notes have been prepared in conformity with generally accepted accounting principles applicable in Canada. The notes are stated in Canadian dollars, as rounded to the nearest thousand (except per share amounts).
NA T U RE O F O PE R A T I O N S
MFC Bancorp Ltd. and subsidiaries ("the Company") is in the financial services business and its principal activities focus on merchant banking. This includes financial advisory services, proprietary investing, and trading activities on an international basis which are facilitated by the Company's banking and trading subsidiaries. The Company seeks investments in many industries while emphasizing those business opportunities where the perceived intrinsic value is not properly recognized. The Company uses its financial and management expertise to add value within a relatively short time period. The Company also trades in various basic materials primarily on its own account. Revenues from these activities are recognized as agreed upon activities are performed or as assets are disposed of with no substantial further involvement by the Company and collectibility is reasonably assured. The Company is managed as a unit and is treated as a single and integrated business segment.
P R IN C I PL E S O F C O N S O L I D A T I O N
The consolidated financial statements include the accounts of the Company and its majority-owned subsidiaries. Investments in entities where the Company owns at least a 20% voting interest, but does not have control, are accounted for under the equity method. The amount of earnings from equity investees was not material. All significant intercompany accounts and transactions have been eliminated.
In December 2003, the board of directors declared a distribution of assets consisting of the shares in a subsidiary with a carrying value of $64,718 and an investment in an equity method investee with a carrying value of $7,012. The Company expects to distribute the shares in 2004 when certain regulatory requirements are met. Both entities are involved in natural resources production.
CA S H A N D C A S H E Q U I V A L E N T S
Cash and cash equivalents include highly liquid investments with original maturities of three months or less and are generally interest bearing. The Company regularly maintains cash balances in other financial institutions in excess of insured limits. Interest paid on a cash basis was $4,001, $7,188, and $4,667 for the years ended December 31, 2003, 2002 and 2001, respectively. Income tax amounts paid were not material.
Nonmonetary transactions in 2003 include receipt of debentures for financial advisory services in the amount of $6,089, valued based on the fair value of the debentures received, and the reduction of a mining tax liability on resource property of $1,943.
S EC U R IT IE S
Securities are classified, based on management's intentions, as trading account securities, short-term securities and long-term investment securities.
Trading account securities, which are purchased for sale in the near term by the Company's banking subsidiary, are stated at their quoted market value with the unrealized gain or loss included in the results of operations. Short-term securities held by the other subsidiaries are carried at the lower of aggregate cost or quoted market value.
Long-term investment securities are purchased with the original intention to hold the securities to maturity or until market conditions render alternative investments more attractive. Equity securities are stated at cost and debt securities at amortized cost unless there has been an other than temporary decline in value, at which time the security is written down and the unrealized loss is included in the results of operations.
Realized gains or losses on sales of securities are determined based on the specific identification basis.
LOANS AND RECEIVABLES
Loans are stated net of any allowances for credit losses, accrued interest, reimbursable expenses and unamortized loan fees. Receivables are stated at their principal balances net of any allowance for credit losses. Receivables are considered past due on an individual basis based on the terms of the contracts.
Loans are classified as impaired when there is no longer reasonable assurance of the timely collection of principal and interest. Whenever a contractual payment is 90 days past due, loans are automatically classified as impaired unless they are fully secured and in the process of collection. When a loan is deemed impaired, its carrying amount is reduced to its estimated realizable amount, measured by discounting the expected future cash flows at the effective interest rate in the loan or, as a practical expedient, based on a loan's observable market price or the fair value of collateral if the loan is collateral dependent. In subsequent periods, any increase in the carrying value of the loan is credited to the provision for credit losses. Impaired loans are returned to performing status when there is no longer reasonable doubt regarding timely collection of principal and interest, all amounts in arrears including interest have been collected, and all charges for loan impairment have been reversed. Where a portion of a loan is written off and the remaining balance is restructured, the new loan is carried on the accrual basis when there is no longer any reasonable doubt regarding collectibility of principal and interest, and payments are not 90 days past due. Collateral is obtained for loans and receivables if, based on an evaluation of credit-worthiness, it is considered necessary for the overall credit facility.
Assets acquired in satisfaction of loans are recorded at the lesser of their fair value at the date of transfer or the carrying value of the loan. Any excess of the carrying value of the loan over the fair value of the assets acquired is written off. Operating results and gains and losses on disposal of such assets are treated as write-offs and recoveries.
Interest income from loans is recognized when earned using the interest method unless the loan is classified as impaired at which time recognition of interest income ceases. Interest on impaired loans is credited to
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
the carrying value of the loan when received. Loan origination fees are considered to be adjustments to loan yield and are deferred and amortized to interest income over the term of the loan. Commitment fees are amortized to income over the commitment period when it is unlikely that the commitment will be called upon; otherwise, they are deferred and amortized to interest income over the term of the resulting loan. Loan syndication fees are recognized in income unless the yield on any loans retained by the Company is less than that of other comparable lenders involved in the financing. In such cases, an appropriate portion of the fee is deferred and amortized to interest income over the term of the loan.
ALLOWANCE FOR C RE D I T L O S S E S
The Company's allowance for credit losses is to be maintained at an amount considered adequate to absorb estimated credit-related losses. Such allowance reflects management's best estimate of the losses in the Company's credit portfolio and judgments about economic conditions. Estimates and judgments could change in the near-term, and could result in a significant change to a recognized allowance. Credit losses arise primarily from loans or receivables but may also relate to other credit instruments such as guarantees and letters of credit. An allowance for credit losses may be increased by provisions which are charged to income and reduced by write-offs net of any recoveries.
Specific provisions are established on a loan-by-loan or receivable basis. A general provision may be established to absorb potential credit losses attributable to the deterioration of credit quality on aggregate exposures for which specific provisions cannot yet be determined. A country risk provision may be made based on exposures in less developed countries and on management's overall assessment of the underlying economic conditions in those countries. Write-offs are generally recorded after all reasonable restructuring or collection activities have taken place and there is no realistic prospect of recovery.
No loans were considered impaired at December 31, 2003 and 2002, and the Company did not consider it necessary to reserve for any specific loans or receivables, country risks or general risks.
D ER I V A T I V E F I N A N C I A L I N S T R U M ENTS
Derivative financial instruments are financial contracts whose value is derived from interest rates, foreign exchange rates or other financial or commodity indices. These instruments are either exchange-traded or negotiated. Derivatives may be designated as hedges, provided certain criteria are met. The Company has no derivative financial instruments which have been designated as hedges.
The Company enters into derivative contracts usually to meet the needs of its customers and to take trading positions. These derivatives are marked to market with any unrealized gains or losses recognized immediately in income.
The Company held one interest rate swap derivative financial instrument with a notional amount of $13,309 at December 31, 2003, with the purpose of managing the interest rate fluctuation of its debt. The Company recognized a fair value loss on this derivative of $79 in 2003.
During 2002, the Company entered into a loan agreement with a client for $49,691, which contained an embedded derivative clause. This embedded derivative was designed to eliminate an inherent foreign currency risk. The loan was repaid in 2003 and there was no realized gain or loss on this embedded derivative.
At December 31, 2001, the Company held foreign currency exchange contracts amounting to $24,655 in notional amount which were settled in 2002 for a realized gain of $129. During 2001, the Company recorded a loss from a change in the fair value of these contracts amounting to $1,070.
CO M M O DI T Y I N V E S T M E N T S
Commodity investments consist of basic materials held for sale. These investments are stated at the lower of cost (specific identification) or market.
R ES O URC E PRO PE R T Y
Resource property is stated at cost. Amortization is provided on the straight-line basis over the period revenue is to be received which will end in 2055. However, if expected future undiscounted cash flows are less than carrying value, a loss will be recognized. No such losses have been recorded in these consolidated financial statements.
P RO P ER T I E S A N D D E PRE C I A T I O N
Properties are carried at cost, net of applicable accumulated depreciation, unless the estimated future undiscounted cash flows expected to result from disposition is less than carrying value in which case a loss is recognized based on the fair value of similar property in the same geographic region. No such losses have been recorded in these consolidated financial statements.
Properties, other than those used in the production of owned natural resources, are depreciated using the straight-line method over the estimated useful lives of the assets. Properties used in owned natural resources production are depreciated using the units-of-production method. Units-of-production rates are based on estimated production from existing facilities using current operating methods.
Depreciation expense of properties amounting to $1,487 in 2003, $1,528 in 2002, and $1,099 in 2001 is included in general and administrative expenses. Repairs and maintenance are charged to expense as incurred.
GO O D W ILL A N D O T H E R I N T A N G I B L E A S SETS
The Company adopted the new Canadian accounting standard for goodwill and other intangible assets for periods beginning January 1, 2002. Goodwill represents the difference between the acquisition cost of a business and the fair value of its net tangible assets after an allocation has been made for assets with indefinite and finite lives. Under this standard, goodwill and other intangible assets with indefinite useful lives are not amortized but are subject to fair value impairment tests, on at least an annual basis (as required in prior periods these assets were amortized over their estimated useful lives). Goodwill is allocated to reporting
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
units and any potential goodwill impairment is identified by comparing the carrying value of the reporting unit with its fair value. If any potential impairment is identified, then the amount of the impairment is quantified by comparing the carrying value of goodwill to its fair value, based on the fair value of the assets and liabilities of the reporting unit.
Intangibles with a finite life are amortized over their estimated useful life and also are tested for impairment whenever circumstances indicate that the carrying value may not be recoverable. Other intangible assets are considered impaired and written down to their net recoverable amount when their net carrying value exceeds their estimated future net cash flows. Any impairment of goodwill or other intangible assets is charged to income in the period in which the impairment is determined.
FO RE I G N C U R RE N C Y TR A N S L A T I ON
The Company translates foreign assets and liabilities of its self-sustaining foreign subsidiaries at the rate of exchange at the balance sheet date. Revenues and expenses have been translated at the average rate of exchange throughout the year. Unrealized gains or losses from these translations are included in the equity section of the consolidated balance sheet. The translation adjustments did not recognize the effect of income tax because the Company expects to reinvest the amounts indefinitely. Transaction gains that arise from exchange rate fluctuations on transactions denominated in a currency other than the local functional currency amounting to $8,348, $453, and $2,342 in 2003, 2002 and 2001, respectively, have been included in general and administrative expenses in the consolidated statements of income.
TA X E S O N I N C O M E
The Company uses the asset and liability method to provide for income taxes on all transactions recorded in these consolidated financial statements. Under this method, future income tax assets and liabilities are recognized for temporary differences between the tax and accounting bases of assets and liabilities as well as for the benefit of losses to be carried forward to future years for tax purposes that are likely to be realized using expected tax rates in which the temporary differences are expected to be recovered or settled.
STOCK BASED COM PE N S A T I O N
The Company follows the intrinsic value based method of accounting for compensation resulting from the granting of stock options to employees. No compensation expense has been recognized in these consolidated financial statements for the granting of options to employees because the exercise price of the options approximated the market price for the common shares at the grant date. Shares of stock issued to employees are expensed as compensation in the year the shares are issued based on fair value at the date of issuance. Stock based payments to non-employees are to be expensed based on the fair value of shares or options issued. There have been no stock based payments to non-employees.
The following table illustrates the effect on net income and earnings per share if compensation expense had been recognized on the basis of fair value of employee stock options granted.
| | 2003 | 2002 | 2001 |
|---|---|---|---|
| NET INCOM E As reported Deduct: Total stock option compensation expense determined under fair value based methods, net of any related tax effects Proforma net income – basic Dilution adjustment from Note 12 Proforma net income – diluted B A S IC EAR N I N G S PE R S H A RE As reported Proforma D ILU T ED E A R N I N G S PE R S H A RE As reported Proforma | $ 49,116 — | $ 50,755 — | $ 45,288 217 |
| | 49,116 1,599 | 50,755 1,735 | 45,071 1,634 |
| | $ 50,715 $ 3.76 $ 3.76 $ 3.59 $ 3.59 | $ 52,490 $ 3.93 $ 3.93 $ 3.70 $ 3.70 | $ 46,705 $ 3.59 $ 3.57 $ 3.35 $ 3.34 |
There were no stock options granted during 2003, 2002 or 2001. Proforma stock option compensation expense in 2001 related to the amortization of compensation expense on options granted in 2000.
EA R N INGS PE R S H A R E
Basic earnings per share is determined by dividing net income applicable to common shares by the average number of common shares outstanding for the period. Diluted earnings per share is determined using the same method as basic earnings per share except that the weighted average number of common shares outstanding includes the potential dilutive effect of stock options and warrants granted as well as convertible debt computed under the treasury stock method. The treasury stock method determines the number of additional common shares by assuming that outstanding stock warrants and options whose exercise price is less than the average market price of the Company's common stock during the period, are exercised and then reduced by the number of common shares assumed to be repurchased with the exercise proceeds. However, such potential dilution is not recognized in a loss period.
ES T IM A T ES
The preparation of financial statements in conformity with Canadian and United States generally accepted accounting principles requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenues and expenses during the reporting period. Key areas of estimation where management has made difficult, complex or subjective judgments, often as a result of matters that are inherently uncertain, include those relating to allowance for credit losses, fair value of financial investments, other than temporary impairments of investment securities, and valuation of commodity
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
investments, properties, intangible assets and provision for income taxes among other items. Therefore, actual results could differ from those estimates.
NEW C A N A D I A N A C C O U N T I N G S T ANDARDS
A standard which will require the Company to document hedging relationships and explicitly demonstrate that they are sufficiently effective in order to use accrual accounting for positions hedged with derivatives. Otherwise, the derivative instrument will be marked-to-market through the current year's statement of income. This standard is applicable for years beginning on or after July 1, 2003. The effect on the Company's consolidated financial statements is not yet determinable.
Related standards will apply with respect to impairment or disposal of long-lived assets (effective for years beginning on or after April 1, 2003) and disposal of long-lived assets and discontinued operations (effective for years beginning on or after May 1, 2003), and impaired loans (effective for years beginning on or after May 1, 2003). Generally, these standards give guidance on write-downs and disposals of long-lived assets. Also, the definition of discontinued operations is broadened. The effect on the Company's consolidated financial statements is not yet determinable.
A standard which will require consolidation of investments that are subject to control on a basis other than ownership of voting interests, such as financial support or participation in profits or losses, or net asset changes. Such investments are called variable interest entities. This guideline is applicable for years beginning on or after January 1, 2004. The effect on the Company's consolidated financial statements is not yet determinable.
A standard which will apply to the recognition, measurement, and disclosure of asset retirement obligation and costs. This standard is effective for years beginning on or after January 1, 2004. The effect on the Company's consolidated financial statements is not yet determinable.
A new standard will require the use of a fair-value-based method for certain stock-based compensation arrangements with employees and others. This standard is effective for years beginning on or after January 1, 2004, however, earlier application is encouraged. Since the Company did not grant options in either 2003 or 2002, the adoption of this standard in 2004 will have no effect on these consolidated financial statements.
NO T E 2 . A C Q U I S I T I O N
In July 2003, the Company acquired an 80% interest in the outstanding common shares of Alson Enterprises Corporation ("Alson"), a British Virgin Island corporation. The results of Alson's operations have been included in these consolidated financial statements since the acquisition date. Alson is involved in the manufacture of zinc alloys and pigments primarily in the United Kingdom and Slovakia. The acquisition is consistent with the Company's business of proprietary investing. The aggregate purchase price was $785 and paid in cash. The following table summarizes the estimated fair value of the assets acquired and liabilities assumed at date of acquisition:
Unaudited proforma information was not available regarding this acquisition because the assets and liabilities were acquired from a venture capital division of a United Kingdom bank and full and complete financial information was not provided by the bank.
NOTE3. GOODWILL
The changes in the carrying amount of goodwill are as follows:
| Balance at beginning of year Acquisitions Reductions due to purchase price adjustments Exchange rate effect Impairment Balance at end of year | $ 16,412 — — (285) | $ 28,066 3,708 (695) 1,449 |
|---|---|---|
| | 16,127 — | 32,528 (16,116) |
| | $ 16,127 | $ 16,412 |
Goodwill amortization expense amounted to $950 during the year ended December 31, 2001. Had goodwill not been amortized in 2001, net income would have been $46,238; basic earnings per share would have increased by $.08; and diluted earnings per share would have increased by $.07.
Based on a review of the fair value of the Company's reporting units, management has determined that no impairment of goodwill was necessary at December 31, 2003, and an impairment of $16,116 was necessary at December 31, 2002. The Company has no other intangible assets.
N O T E 4 . SE C U R I T I E S
At December 31, 2003, the Company had no bank trading account securities. At December 31, 2002, bank trading account securities consisted of debt securities of $26,544 and common shares of $5,585. The change in market value of bank trading account securities amounted to $1,245 and $12,567 for the years ended December 31, 2002 and 2001, respectively, and has been included in results of operations.
Short-term securities consisted of debt securities of $580 and $1,906, preferred shares of $1,096 and $1,878 and common shares of $6,736 and $10,328 at December 31, 2003 and 2002, respectively. Holding gains (losses) of $12, $415, and $(3,868) were included in the results of operations for years ended December 31, 2003, 2002 and 2001, respectively.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
Long-term securities consist of the following at December 31:
| | 2003 | | | | | | |
|---|---|---|---|---|---|---|---|
| | Carrying Value | Gross Unrealized Gains | Gross Unrealized Losses | Estimated Market Value | Carrying Value | Gross Unrealized Gains | Gross Unrealized Losses |
| Debt Preferred shares Common shares | $19,229 299 17,023 | $ — — — | $ — — 3,342 | $19,229 299 13,681 | $ 789 299 15,320 | $ 98 — 197 | $ — — — |
| | $36,551 | $ — | $ 3,342 | $33,209 | $16,408 | $ 295 | $ — |
At December 31, 2002, bank trading account and short-term securities included common shares in an affiliate with a carrying value of $7,048. Also, at December 31, 2003 and 2002, the Company had long-term investments in the common shares of six and two affiliates with a carrying value of $13,460 and $11,565, respectively.
The maturity of securities is as follows at December 31, 2003:
| Remaining Terms | | | | | | | |
|---|---|---|---|---|---|---|---|
| | Within 1 year | 1 to 3 years | 3 to 5 years | 5 to 10 years | No Specific Maturity | 2003 Total | 2002 Total |
| BANK TRADING ACCOUNT SECURITIES: Debt: Governments Other issuers Common shares Total SHORT-TERM SECURITIES: Debt (other issuers) Equities: Preferred shares Common shares Total LONG-TERM SECURITIES: Debt: Governments Other issuers Equities: Preferred shares Common shares Total Total securities | $ — — | $ — — | $ — — | $ — — | $ — — | $ — — | $ 6,324 20,220 |
| | — — | — — | — — | — — | — — | — — | 26,544 5,585 |
| | — 580 — — | — — — — | — — — — | — — — — | — — 1,096 6,736 | — 580 1,096 6,736 | 32,129 1,906 1,878 10,328 |
| | — | — | — | — | 7,832 | 7,832 | 12,206 |
| | 580 5,246 — | — 5,617 4,112 | — 1,426 2,828 | — — — | 7,832 — — | 8,412 12,289 6,940 | 14,112 — 789 |
| | 5,246 — — | 9,729 — — | 4,254 — — | — — — | — 299 17,023 | 19,229 299 17,023 | 789 299 15,320 |
| | — | — | — | — | 17,322 | 17,322 | 15,619 |
| | 5,246 | 9,729 | 4,254 | — | 17,322 | 36,551 | 16,408 |
| | $ 5,826 | $ 9,729 | $ 4,254 | $ — | $25,154 | $44,963 | $ 62,649 |
NOTE5. LOANS
| | 2003 |
|---|---|
| Bank loans, collateralized by traded securities and other assets, amounts due from one company of $5,091 and $3,303 at December 31, 2003 and 2002, respectively, are collateralized by patents Other loans, collateralized by traded securities, receivables, inventories and other tangible assets, duefrom two companies $6,319 at December 31, 2003, and due from one company $63,907 at December 31, 2002 | $ 6,899 9,973 |
| | $ 16,872 |
Loan maturities:
| Bank loans Other loans | $ 6,844 7,531 | $ 55 2,442 | $ 6,899 9,973 |
|---|---|---|---|
| | $ 14,375 | $ 2,497 | $ 16,872 |
Bank loans generally earn interest ranging from 3.1% to 14.0% and other loans generally earn interest ranging from 4.0% to 8.0% as of December 31, 2003.
At December 31, 2003, other loans include $1,482 due from two affiliates in which the Company has a less than 20% equity interest.
NOTE6. RECEIVABLES
| | 2003 | 2002 |
|---|---|---|
| Commodity transactions Sale of a subsidiary Sale of investment Short-term advances Investment income Pension plan recovery Government taxes Other | $ 32,369 4,884 6,556 1,277 400 1,587 646 2,648 | $ 38,210 — — 5,548 3,496 1,587 3,294 1,820 |
| | $ 50,367 | $ 53,955 |
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
NO T E 7 . PRO PE R T I E S
NO T E 8 . A C C O U N T S PA YA B L E A N D ACCR UED EXPENSES
| 2003 |
|---|
| $ 40,444 3,137 1,487 1,138 803 392 6,691 |
NO T E 9 . D E PO S I T S
| | 2003 | 2002 |
|---|---|---|
| Clients Banks | $ 22,185 — | $ 39,190 8 |
| | $ 22,185 | $ 39,198 |
All deposits at December 31, 2003 and 2002, were payable on demand and bear interest at not more than .25%. At December 31, 2003, deposits from three affiliates in which the Company has a less than 20% equity interest amounted to $12,694. At December 31, 2002, deposits from affiliates where the Company's president was also the affiliate's president and the Company had minority voting rights amounted to $36,370.
NOTE10. DEBT
| | 2003 | 2002 |
|---|---|---|
| Bonds payable, US$12,647 and US$13,617 at December 31, 2003 and 2002, respectively, interest at 8% due semi-annually in October April, principal due April 2008, unsecured, non-recourse. Convertible into common stock of the Company at US$13.22 per share (956,688 common shares reserved at December 31, 2003) Bonds payable, US$1,674 and US$2,088 at December 31, 2003 and 2002, respectively, interest at 5%, principal and interest due December 2006, unsecured Notes payable under lines of credit due to banks, up to a maximum of approximately €75 million and €40 million at December 31, 2003 and 2002, respectively, interest from 3.7% to 4.4%, secured by commodity transaction receivables Note payable to a bank, interest at six month Euribor plus 1.5% (resulting in a rate of 3.6% at December 31, 2003), interest and principal payments of $2,218 due semi-annually beginning June 2003, due in full December 2006, secured by commodity transactions receivables Note payable, interest at 3.5%, payable on demand, unsecured, non-recourse Other | $ 16,340 2,163 — 13,309 — 1,485 | $ 21,509 3,298 24,953 18,055 983 — |
| | $ 33,297 | $ 68,798 |
As of December 31, 2003, the principal maturities of debt are as follows:
Note payable of $983 at December 31, 2002, was to an affiliate where the Company had an equity interest and the Company's president was also the president and director of the creditor. In 2003, this affiliate became a consolidated subsidiary of the Company.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
NO T E 1 1 . I N C O M E TA XE S
Income before income taxes and minority interests consists of:
| Canadian Foreign | $ 4,587 45,798 | $ 36,427 10,753 | $ 28,623 15,390 |
|---|---|---|---|
| | $ 50,385 | $ 47,180 | $ 44,013 |
The recovery of (provision for) income taxes consists of the following:
| | 2003 | 2002 | 2001 |
|---|---|---|---|
| C U R RE N T Canadian Foreign FU T U RE Canadian Foreign | $ (202) (529) 221 (327) | $ (1,004) (589) 301 4,789 | $ (220) (427) 525 894 |
| | $ (837) | $ 3,497 | $ 772 |
A reconciliation of the provision for income taxes calculated at applicable statutory rates in Canada to the provision in the consolidated statements of income is as follows:
| | 2003 | 2002 |
|---|---|---|
| Income before income taxes and minority interests Computed provision for income taxes at statutory rates (Increase) decrease in taxes resulting from: Nontaxable dividend income Foreign statutory tax rate differences Permanent differences Valuation allowance Non-capital tax loss carryforwards lost from change in subsidiary’s jurisdiction Non-capital tax loss carryforwards acquired from purchase of subsidiary Other, net Recovery of (provision for) income taxes | $ 50,385 | $ 47,180 |
| | $ (17,191) 1,695 3,740 4,731 12,480 (5,323) — (969) | $ (17,041) 1,795 2,286 7,807 2,526 — 6,124 — |
| | $ (837) | $ 3,497 |
The tax effect of temporary differences that give rise to significant components of future tax liabilities and assets are as follows:
| Future income tax liability, difference in tax basis of assets acquired in the United States Future income tax asset, non-capital tax loss carryforwards: Canada United States Switzerland Austria Valuation allowance Net future income tax asset Net future income tax liability | $ (387) 227 — 1,682 3,103 |
|---|---|
| | 5,012 (5,012) |
| | — |
| | $ (387) |
Management believes that, due to the nature of its operations, the Company's available tax loss carryforwards may not be utilized prior to their expiration dates. Therefore, the resulting tax benefit has been fully reserved at December 31, 2003 and 2002.
At December 31, 2003, the Company had estimated accumulated non-capital losses which expire in the following countries as follows:
| Year | Canada | Switzerland | Austria |
|---|---|---|---|
| | $ — — 4 395 — 266 — | $ — — — — — 4,931 — | $ — — — — — — 9,094 |
NOTE12. EARNINGS PE R S H A RE
Earnings per share data for years ended December 31 from operations is summarized as follows:
| Basic earnings from operations available to common shareholders Effect of dilutive securities; interest on convertible bonds Diluted earnings from operations | $ 49,116 1,599 | $ 50,755 1,735 | $ 45,288 1,634 |
|---|---|---|---|
| | $ 50,715 | $ 52,490 | $ 46,922 |
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
| | 2003 | 2002 |
|---|---|---|
| Basic earnings per share, weighted average number of common shares outstanding Effect of dilutive securities: Convertible bonds Options Weighted average number of common shares outstanding — diluted | 13,054,727 1,020,951 52,943 | 12,931,117 1,030,038 209,006 |
| | 14,128,621 | 14,170,161 |
NOTE 13. STOCK O PT I O N PL A N
The Company has a stock option plan which enables certain employees and directors to acquire common shares. Under the plan, options vest on grant and have a five-year term. The Company is authorized to issue up to 2,762,000 shares under this plan.
During 2000, options to acquire 30,000 shares at $13.31 and 100,000 shares at $10.50 were granted to officers and employees of the Company. At December 31, 2003, none of these options were outstanding.
During 1998, options to acquire 750,000 shares at $9.26 were granted to officers and employees of the Company. At December 31, 2003, none of these options were outstanding.
Following is a summary of the status of the plan:
| | Number of Shares |
|---|---|
| Outstanding at December 31, 2000 Exercised Outstanding at December 31, 2001 Exercised Forfeited Outstanding at December 31, 2002 Exercised Forfeited Outstanding at December 31, 2003 | 1,214,000 (189,000) |
| | 1,025,000 (157,500) (372,500) |
| | 4 95,000 (487,500) (7,500) |
| | — |
NOTE14. COMMITMENTS AND CONTIN GENCIES
L EA S ES
Future minimum commitments under long-term non-cancelable leases are as follows for the next five years:
Rent expense was $1,919, $1,166, and $439 for the years ended December 31, 2003, 2002 and 2001, respectively.
L IT IGA T IO N
The Company and its subsidiaries are subject to litigation in the normal course of business. Management considers the aggregate liability which may result from such litigation not material at December 31, 2003.
GUA R A NT E E S
The Company has guaranteed to one of its client's account the value of an investment in common shares to a maximum amount of $1,012. The Company has provided a five-year guarantee expiring August 2007 to an affiliate with respect to a $1,656 asset sale transaction. This affiliate has agreed to deposit the same amount against this guarantee. The Company has provided a guarantee to an affiliate with respect to a €2,500 ($4,070 at December 31, 2003) line of credit arrangement with a bank which is effective until the line of credit is terminated. The Company has provided a guarantee to an affiliate with respect to a credit facility agreement with a bank for a maximum of €3,000 ($4,884 at December 31, 2003) expiring January 2005. The Company has provided a guarantee expiring December 2004 to a former subsidiary with respect to their contractual payment obligations to a vendor for up to a maximum of €3,500 ($5,698 at December 31, 2003).
R EGULA T I O N S
The Company's wholly-owned banking subsidiary is located in Switzerland. The subsidiary is subject to the rules and regulations of the Swiss Federal Banking Commission which require equity capital amounting to $10,441 to be maintained as of December 31, 2003. The subsidiary is in compliance with this regulation as of December 31, 2003.
NOTE15. INTE RE S T R A T E S E N S I T I V I T Y POSITION
Management has analyzed the bank subsidiary's interest rate sensitivity position at December 31, 2003. Because of the current nature (over 80% of assets and liabilities and off-balance sheet positions are due
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
within three months) of the bank subsidiary's position, the total interest rate gap is not significant at December 31, 2003, assuming no interest rate hedging is undertaken over the next twelve months.
NOTE 16. SEGMENTED INFORMATI ON
The following table presents revenues attributed to Canada, the Company's country of domicile, and other geographic areas based upon the customer's location:
| | 2003 | 2002 |
|---|---|---|
| Canada Europe United States Other | $ 7,872 391,282 9,563 796 | $ 26,006 254,564 3,559 210 |
| | $ 409,513 | $ 284,339 |
The following table presents total assets by geographic area based upon the location of the assets.
| 2003 |
|---|
| $ 58,884 271,778 15,047 58,868 |
During 2001, one client represented approximately 13% of financial services revenues. There was no client concentration in 2003 or 2002. At December 30, 2002, the Company exchanged assets located in Europe with a carrying value of $7,292 for a 49% interest in Equitable Industries Limited Partnership. No gain or loss was recorded as a result of the exchange. It was treated as a nonmonetary transaction with an affiliate in 2002.
NOTE 17. FAIR VA L U E O F F I N A N C IAL INSTR UMENTS
The fair value of financial instruments at December 31 is summarized as follows:
| | Carrying Amount | Fair Value | Carrying Amount |
|---|---|---|---|
| Cash and cash equivalents Loans Deposits Debt Interest rate swap derivative contract, liability | $ 145,452 16,872 22,185 33,297 81 | $ 145,452 16,872 22,185 35,958 81 | $ 102,413 77,879 39,198 68,798 — |
The fair value of cash and cash equivalents is based on reported market value. The fair value of loans is based on the value of similar loans. The fair value of deposits approximates their carrying value as they are
all due on demand. The fair value of debt was determined using discounted cash flows at prevailing market rates or based on reported market value for the Company's publicly traded debt. The fair value of the interest rate swap is obtained from dealer quote. This value represents the estimated amount the Company would pay to terminate the agreement taking into consideration current interest rates, the credit-worthiness of the counterparties, and other factors. The Company does not anticipate nonperformance with respect to any of its derivative financial instruments.
N O T E 1 8 . TR A N S A C T I O N S W I T H A FF I L I ATES
During 2003, 2002, and 2001, the Company earned fees in the normal course from affiliated entities amounting to $4,579, $9,164 (of which $4,115 was a merchant bank client where the Company's president is also the president of the affiliate), and $323, respectively. In 2002, the Company sold real estate to an affiliate for $4,202 on which no gain or loss has been recognized. The Company sold commodities amounting to $7,840 and $3,490 in the normal course to three affiliates and one affiliate during 2003 and 2002, respectively, $2,967 and $2,856 of which is included in receivables from commodity transactions at December 31, 2003 and 2002, respectively. The Company received dividends of $4,900 on preferred shares of stock in an affiliate in 2003 and 2002. Generally, the Company has representation on the board of an affiliate and/or an equity interest.
The Company had a receivable from an officer of a subsidiary amounting to $761 at December 31, 2002, which was paid in 2003.
NOTE19. SUBSEQUENT EVENTS
In January 2004, the Company declared redemption of its 8% convertible bonds. The majority of the bonds were converted into the Company's common shares at the pre-determined conversion rate of US$13.22 per share. Approximately $861 cash was paid out for the bond redemption.
On January 7, 2004, the Company issued to third parties an aggregate of €3,214 face amount of unsecured convertible debentures. The debentures bear interest at the rate of 4.4% and mature on December 31, 2009. The debentures are convertible into common stock of the Company at various contractually fixed prices depending on the time of conversion. At any time after December 31, 2005, the Company may redeem the debentures at their principal amount plus accrued interest.
In March, 2004, the Company, through various purchases, acquired 1,494,408 common shares (resulting in an approximate 62% ownership interest) of Med Net International Ltd. ("Med Net") for a cash consideration of $2,294. Med Net will be consolidated since its acquisition date. Med Net, through its unincorporated joint ventures, operates technologically advanced eye care centers in China. It also markets medical supplies. The financial statements of Med Net on the acquisition date are not available at this time. The acquisition is consistent with the Company's business of proprietary investing.
In March, 2004, the Company acquired 7,015,985 common shares (resulting in an effective ownership of approximately 68%) in Fahr Beteiligungen AG ("Fahr") for a cash consideration of approximately $24,951.
NOTES TO CONSOLIDATED FINANCIAL STATEMENTS
Fahr will be consolidated since its acquisition date. Fahr is engaged in the business of real estate development, equipment and engineering services in the fields of cement, coal and minerals processing technologies. The financial statements of Fahr on the acquisition date are not available at this time. The acquisition is consistent with the Company's business of proprietary investing.
NO T E 2 0 . U N I T E D S T A T E S G E N E R ALLY ACCEPTED ACCOUNTING PR INCIPLES
The Company's consolidated financial statements have been prepared in accordance with generally accepted accounting principles (GAAP) in Canada, which conform in all material respects with those in the United States (U.S.), except as set forth below:
| | 2003 | 2002 |
|---|---|---|
| Net income in accordance with Canadian GAAP Adjustment of gain on sale of shares in investee Change in unrealized gain (loss) on trading securities, net Net income in accordance with U.S. GAAP Basic earnings per common share U.S. GAAP Diluted earnings per common share U.S. GAAP Retained earnings in accordance with U.S. GAAP | $ 49,116 — — | $ 50,755 — — |
| | $ 49,116 $ 3.76 $ 3.59 $ 172,144 | $ 50,755 $ 3.93 $ 3.70 $ 194,758 |
| Comprehensive Income | 2003 | 2002 |
|---|---|---|
| | $ 49,116 (35,851) (3,524) (182) 66 | $ 50,755 14,281 2,151 (233) — |
| | (3,640) | 1,918 |
| | (39,491) | 16,199 |
S ECU R I T I E S
U.S. GAAP requires that certain investments be classified into available-for-sale or trading securities categories and be stated at their fair values. Any unrealized holding gains or losses are to be reported as a component of other comprehensive income until realized for available-for-sale securities, and included in earnings for trading securities.
At December 31, 2003, investment in one trading security represented approximately 58% of total investment in trading securities. At December 31, 2002, approximately 15% of trading securities represents an investment in the common shares of an affiliate and approximately 27% represents debt securities from two entities.
The fair value of trading securities held by non-bank subsidiaries is summarized as follows:
| | 2003 | 2002 |
|---|---|---|
| Debt securities Preferred shares Common shares | $ 580 1,096 6,736 | $ 1,906 1,878 10,328 |
| | $ 8,412 | $ 14,112 |
Available-for-sale securities consist of common shares, preferred shares and debt securities at December 31, 2003, 2002 and 2001. At December 31, 2003 and 2002, securities in three and two companies represented 54% and 80%, respectively, of the total available-for-sale securities of $33,209 and $16,703. The proceeds from the sale of these securities amounted to $2,519, $1,330, and $5,703, which resulted in realized gains of $182, $233, and $775 during 2003, 2002 and 2001, respectively. The cost of these securities was $2,337, $11,588, and $6,908, which resulted in unrealized losses in accumulated other comprehensive income of $(3,342), $298, and $(1,620) at December 31, 2003, 2002 and 2001, respectively.
N EW U N IT E D S T A T E S A C C O U N T I N G S T ANDARDS
Statement of Financial Accounting Standards ("SFAS") No. 149 amends existing standards on derivatives (effective for derivatives entered into or modified after June 30, 2003). SFAS No. 150 gives guidance on the accounting for certain financial instruments with characteristics of both liabilities and equity (effective for financials instruments entered into after May 31, 2003). Financial Accounting Standards Board interpretation No. 46 requires consolidation of certain variable interest entities (effective for fiscal years ending after December 15, 2003). Certain of these new standards will not have an effect on the Company's consolidated financial statements. For others, the effect on the Company's financial statements has not yet been determined.
CORPORATE INFORMATION
BOARD OF DIRECTO RS A N D O F F I C ERS
Michael J. Smith
President and Secretary
Director since 1986
Dr. Stefan Feuerstein
Director since 2000
Shumin Zhao*
Director since 2004
Silke Brossmann*
Director since 2003
Dr. Kelvin K. Yao*
Director since 2004
*
Members of the Audit Committee
ADDRES S ES
Hong Kong
Suite 803
8th Floor, Dina House
Ruttonjee Centre
11 Duddell Street
Central Hong Kong
Telephone:
852.2537.3613
Facsimile:
852.2537.3689
E-mail:
email@example.com
China
36th Floor, Tower 1
Kerry City
218 Tianmu Road West
200070 Shanghai
P.R. China
Telephone:
86.21.6353.3277
Facsimile:
86.21.6317.3763
E-mail:
firstname.lastname@example.org
Europe
Millennium Tower
21st Floor
Handelskai 94-96
1200 Vienna
Austria
Telephone:
18.104.22.168.300
Facsimile:
22.214.171.124.310
E-mail:
email@example.com
M AJOR SUBSI DI ARI ES
MFC Merchant Bank S.A.
Kasernenstrasse 1
9100 Herisau AR
Switzerland
Telephone:
41.71.353.08.80
Facsimile:
41.71.353.08.88
E-mail:
firstname.lastname@example.org
MFC Capital Partners AG
Charlottenstrasse 59
10117 Berlin, Germany
Telephone:
49.30.2094.5800
Facsimile:
49.30.2094.5811
E-mail:
email@example.com
MFC Commodities GmbH
Millennium Tower
21st Floor
Handelskai 94-96
1200 Vienna
Austria
Telephone:
126.96.36.199
Facsimile:
188.8.131.52.260
E-mail:
office@mfc commodities.com
AUDITOR FOR THE BANK
KPMG Fides Peat
Badenerstrasse 172
8004 Zürich
Switzerland
ST OCK LI ST I NG
NASDAQ
National Market
3rd Floor
1735 K. Street N.W.
Washington, D.C.
20006 USA
Trading Symbol: MXBIF
Frankfurt Stock Exchange
Börsen Platz 7-11
60313 Frankfurt
Germany
Trading Symbol: MFC GR
T RA NSFER AG ENT
Mellon Investor Services LLC
Overpeck Centre
85 Challenger Road
Ridgefield Park, NJ 07660
USA
AUDI T ORS
Peterson Sullivan P.L.L.C.
Certified Public Accountants
2300 Two Union Square
Seattle, Washington
98101 USA
I NCORPORAT I ON
Yukon Territory, Canada
M FC BANCORP LT D. W E B S ITE
www.mfcbancorp.com
|
Sixth Amendment — No-Impeachment Rule — Racially Biased Statements in Jury Deliberations — Peña-Rodriguez v. Colorado
The jury is a semi-sacred institution in the American legal system. The Sixth Amendment guarantees criminal defendants the right to "trial, by an impartial jury," 1 and Rule 606(b) of the Federal Rules of Evidence forecloses certain inquiries into the validity of jury verdicts by forbidding jurors from testifying "about any statement made or incident that occurred during the jury's deliberations." 2 But a conflict between this "no-impeachment rule" and the impartial jury right arises when a juror expresses racial animus while advocating for a defendant's conviction. Last Term, in Peña-Rodriguez v. Colorado, 3 the Supreme Court held that the Sixth Amendment requires an exception to the noimpeachment rule to permit trial courts to consider evidence of a juror's racist statements during deliberations. 4 In reaching that holding, the Court rejected a formalistic approach to Sixth Amendment law. Instead, Justice Kennedy fused principles from the Equal Protection Clause and the Sixth Amendment to conclude that the special historical significance of racial bias required this unique exception. By prioritizing a broad constitutional narrative over the technicalities of Sixth Amendment jurisprudence, Justice Kennedy's analysis elevated the principle of equal dignity and may reflect the rise of antisubordination considerations in the Court's race jurisprudence.
In 2007, two teenage sisters were sexually assaulted in the bathroom of a Colorado horse-racing facility. 5 The girls identified their assailant as an employee of the racetrack, so police arrested one: Miguel Angel Peña-Rodriguez. 6 After both girls separately identified Peña-Rodriguez as the perpetrator, prosecutors charged him with one count of attempted sexual assault, one count of unlawful sexual contact, and two counts of harassment. 7 At trial, Peña-Rodriguez's friend testified that the two had been together when the assault occurred and so Peña-Rodriguez could not have committed the crime. 8 But the jury convicted on the latter three counts nevertheless. 9
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```
1 U.S. CONST . amend. VI. 2 FED. R. EVID. 606(b). 3 137 S. Ct. 855 (2017). 4 Id. at 869. 5 See id. at 861. 6 Id. 7 Peña-Rodriguez v. Colorado, 350 P.3d 287, 288 (Colo. 2015). 8 Id. at 288 n.3. 9 Id. at 288.
```
After the jury was discharged, jurors M.M. and L.T. remained behind to speak with defense counsel. 10 M.M. and L.T. swore out affidavits alleging that a third juror, H.C., had made racially biased statements during deliberations. 11 M.M. claimed that H.C. had said, "I think he did it because he's Mexican and Mexican men take whatever they want," and had "made other statements concerning Mexican men being physically controlling of women because they have a sense of entitlement and think they can 'do whatever they want' with women." 12 And according to L.T., H.C. "believed that [the defendant] was guilty because in his experience as an ex–law enforcement officer, Mexican men had a bravado that caused them to believe they could do whatever they wanted with women," and also "said that where he used to patrol, nine times out of ten Mexican men were guilty of being aggressive toward women and young girls." 13 L.T. also noted that H.C. had dismissed Peña-Rodriguez's alibi witness as "an illegal" — despite explicit trial testimony that the witness was a legal resident. 14 Peña-Rodriguez moved for a new trial. 15
The Colorado Supreme Court affirmed. The majority relied on two Supreme Court precedents rejecting Sixth Amendment challenges to the no-impeachment rule, and denied the existence of any "dividing line between different types of juror bias or misconduct, whereby one form of partiality would implicate a party's Sixth Amendment right while another would not." 20 In dissent, Justice Márquez criticized the court for allowing the secrecy of deliberations to "trump a defendant's opportunity to vindicate his fundamental constitutional right to an impartial jury untainted by the influence of racial bias." 21
The trial court denied Peña-Rodriguez's motion, barring admission of the affidavits under Colorado's version of Rule 606(b). 16 The court sentenced Peña-Rodriguez to two years' probation and required him to register as a sex offender. 17 A divided panel of the Colorado Court of Appeals affirmed the conviction. 18 The court agreed that H.C.'s statements were inadmissible and rejected on procedural grounds PeñaRodriguez's argument that the rule violated his impartial jury right. 19
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```
10 Id. at 288–89. 11 Peña-Rodriguez, 137 S. Ct. at 861–62. 12 Peña-Rodriguez, 350 P.3d at 289. 13 Id. 14 Id.; see also Peña-Rodriguez, 137 S. Ct. at 862. 15 Peña-Rodriguez, 350 P.3d at 289. 16 Id. Colorado's Rule 606(b) closely mirrors Federal Rule 606(b). Cf. FED. R. EVID. 606(b). 17 Peña-Rodriguez, 137 S. Ct. at 862. 18 Peña-Rodriguez, 350 P.3d at 289. 19 Id. 20 Id. at 292–93. 21 Id. at 297 (Márquez, J., dissenting).
```
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The Supreme Court reversed. Justice Kennedy 22 began by describing the history of the no-impeachment rule in the Supreme Court. The modern rule was born of a competition between two common law approaches: the strict "federal approach," permitting only testimony about external influences on the jury, and the more permissive "Iowa rule," which allowed jurors to testify about any evidence bearing on deliberations short of a juror's subjective impressions. 23 McDonald v. Pless 24 conclusively rejected the Iowa rule, barring objective evidence regarding the jury's quotient verdict for fear of "open[ing] the door to the most pernicious arts and tampering with jurors." 25 Congress later ratified McDonald via a broad no-impeachment rule mirroring the federal approach, with exceptions only for evidence of "extraneous prejudicial information," "outside influence," or a "mistake . . . made in entering the verdict." 26 Before Peña-Rodriguez, the Court had twice addressed whether the Sixth Amendment required additional exceptions to the rule. Tanner v. United States 27 held that it did not, pointing to four alternative safeguards that adequately protected the defendant's Sixth Amendment right: (1) voir dire; (2) observation of the jury by court and counsel; (3) pre-verdict reports of juror misconduct; and (4) post-verdict reports of external influence. 28 Warger v. Shauers 29 followed suit, finding the latter three Tanner safeguards sufficient even where one juror had lied during voir dire. 30
Having outlined the history of the no-impeachment rule, Justice Kennedy turned to a second historical narrative: the "imperative to purge racial prejudice from the administration of justice." 31 He proclaimed it "the heritage of our Nation to rise above racial classifications that are so inconsistent with our commitment to the equal dignity of all persons." 32 Following the Civil War, Justice Kennedy explained, allwhite Southern juries had punished black defendants harshly while systematically refusing to punish white violence against blacks. 33 Those race-motivated outcomes had undermined Americans' faith in the jury system and forced Congress to integrate the jury system by legislation. 34
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––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––– 22 Justice Kennedy was joined by Justices Ginsburg, Breyer, Sotomayor, and Kagan. 23 Peña-Rodriguez, 137 S. Ct. at 863. 24 238 U.S. 264 (1915). 25 Id. at 268 (quoting Cluggage v. Swan, 4 Binn. 150, 158 (Pa. 1811)). 26 FED. R. EVID. 606(b). 27 483 U.S. 107 (1987). 28 Id. at 127. 29 135 S. Ct. 521 (2014). 30 Id. at 529. 31 Peña-Rodriguez, 137 S. Ct. at 867. 32 Id. 33 Id. (citing James Forman, Jr., Essay, Juries and Race in the Nineteenth Century, 113 YALE L.J. 895, 909–10 (2004)). 34 Id.
```
Courts took up the mission as well. Justice Kennedy pointed to several lines of precedent in which "this Court has been called upon to enforce the Constitution's guarantee against state-sponsored racial discrimination in the jury system." 35 From those precedents, he extracted the "unmistakable principle" that "discrimination on the basis of race, 'odious in all aspects, is especially pernicious in the administration of justice.'" 36
Justice Kennedy thus concluded: "[W]here a juror makes a clear statement that indicates he or she relied on racial stereotypes or animus to convict a criminal defendant, the Sixth Amendment requires that the no-impeachment rule give way . . . ." 41 The opinion imposed two requirements for any such "clear statement" to satisfy its holding. First, the statement would have to "exhibit[] overt racial bias that cast[s] serious doubt on the fairness and impartiality" of the deliberations and verdict. 42 Second, the racial bias would have to be a "significant motivating factor in the juror's vote to convict." 43 Those threshold determinations would be "committed to the substantial discretion of the trial court in light of all the circumstances." 44
With that history as a foundation, Justice Kennedy argued that racial bias uniquely justified an exception to the no-impeachment rule for two reasons. First, "racial bias implicates unique historical, constitutional, and institutional concerns." 37 While McDonald, Tanner, and Warger "involved anomalous behavior from a single jury — or juror — gone off course," racial bias is a "familiar and recurring evil that, if left unaddressed, would risk systemic injury to the administration of justice." 38 Second, the Tanner safeguards serve as substantially weaker protections against racial bias. Voir dire might fail to expose racial prejudice, or worse, backfire, heightening jurors' preexisting racial stereotypes by implicitly suggesting their relevance. 39 Pre-verdict reports of juror misconduct are also less likely given the "stigma" associated with racial bias; it would be one thing to accuse a juror of pro-defendant sympathies, but "quite another to call her a bigot." 40
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35 Id. at 867–68 (citing, inter alia, Batson v. Kentucky, 476 U.S. 79 (1986) (prohibiting litigant's use of race-based peremptory challenges to exclude prospective jurors of a minority race); Ham v. South Carolina, 409 U.S. 524 (1973) (requiring that defendant be permitted to ask questions about racial bias during voir dire); Strauder v. West Virginia, 100 U.S. 303, 305–09 (1880) (prohibiting state law that excluded jurors on the basis of race)).
36 Id. at 868 (quoting Rose v. Mitchell, 443 U.S. 545, 555 (1979)).
37 Id.
38 Id.
40 Id. at 869
39 Id. at 868–69.
41 Id.
42 Id.
43 Id.
44 Id.
.
In addition to those factual questions, the Court left two legal issues for resolution by the lower courts. First, it left unresolved the appropriate procedures for introduction of post-verdict testimony falling within the new rule. 45 Second, it left open the standard for determining when that post-verdict testimony, once admitted, would actually require a new trial. 46 Justice Kennedy closed by noting that jury instructions could induce "[p]robing and thoughtful deliberation [that] improves the likelihood that other jurors can confront the flawed nature of [racially biased] reasoning." 47 He expressed hope that the Court's holding would help achieve "the thoughtful, rational dialogue at the foundation of both the jury system and the free society that sustains our Constitution." 48
Justice Alito also dissented, joined by Chief Justice Roberts and Justice Thomas. Justice Alito first criticized the majority's treatment of the Tanner safeguards. As for voir dire, he pointed to "a variety of subtle and nuanced approaches" capable of eliciting bias without increasing juror sensitivity to race. 52 As for pre-verdict reporting, Justice Alito deemed the majority's speculation that jurors would be reluctant to accuse one another of bias a "seat-of-the-pants judgment . . . no better than that of those with the responsibility of drafting and adopting federal and state evidence rules." 53
Justice Thomas dissented. He began from the premise that the Sixth Amendment impartial jury right was "limited to the protections that existed at common law when the Amendment was ratified." 49 He concluded that "[o]ur common-law history does not establish that . . . a defendant had the right to impeach a verdict with juror testimony of juror misconduct" 50 at the time that the Sixth Amendment was ratified. Justice Thomas would have held that fact alone "dispositive." 51
Justice Alito then attacked the "real thrust" of the Court's opinion: the idea that racial bias uniquely offends the Sixth Amendment. 54 "Nothing in the text or history of the Amendment . . . suggests that the extent of [its] protection . . . depends on the nature of a jury's partiality or bias," he argued. 55 A juror's bias would offend the Sixth Amendment equally whether that bias resulted from the defendant's race or his
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45 Id. at 870.
46 Id.
.
47 Id. at 871
48 Id.
50 Id. at 874
49 Id. at 872 (Thomas, J., dissenting).
.
51 Id.
53 Id. at 882
52 Id. at 880 (Alito, J., dissenting).
.
54 Id.
55 Id.
278
[Vol. 131:273
sports fandom. 56 Breaching the no-impeachment rule to root out one form of bias but not the other would thus constitute "disparate treatment . . . unsupportable" under the Amendment. 57 For those reasons, he argued, the Court's holding lacked a limiting principle and would lead to similar exceptions for bias based on national origin, religion, and gender. 58
In holding that the Sixth Amendment requires an exception to the no-impeachment rule for clear statements of racial animus made during jury deliberations, the Court rejected a formalistic approach that would isolate Sixth Amendment jurisprudence from other constitutional values. Justice Kennedy instead merged principles from the Equal Protection Clause and the Sixth Amendment to conclude that the unique harms associated with racial bias required a unique exception to the noimpeachment rule. By prioritizing a broad constitutional narrative over the technicalities of Sixth Amendment doctrine, Justice Kennedy's analysis fits neatly with his distinctive constitutional jurisprudence. In particular, it recalls his opinion in Obergefell v. Hodges, 63 where he intertwined principles from the Equal Protection Clause and Due Process Clause into a constitutional narrative of "equal dignity" that required invalidation of same-sex marriage bans. The reemergence in PeñaRodriguez of this same broad narrative may reflect a rise in the race jurisprudence context of antisubordination considerations similar to those implicated in Obergefell.
Finally, Justice Alito enumerated several harms of permitting postverdict juror testimony. Among other things, subjecting jurors' deliberations to post-verdict scrutiny would "inhibit 'full and frank discussion in the jury room,'" 59 present possibilities for "harassment, arm-twisting, and outright coercion," 60 and "undermine the finality of verdicts." 61 He thus deemed the majority "well-intentioned" but wrong. 62
The Peña-Rodriguez dissent rested on a formalistic view of the Sixth Amendment, viewing the impartial jury right as a discrete provision immune from the influence of other areas of constitutional law. Prior Sixth Amendment precedents have sometimes reflected this approach. In Holland v. Illinois, 64 for instance, the Court refused to find that a litigant's use of peremptory challenges on a racially discriminatory basis
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56 See id. at 883. 57 Id. 58 Id. at 883–84. 59 Id. at 884 (quoting Tanner v. United States, 483 U.S. 107, 120–21 (1987)). 60 Id. at 885. 61 Id. 62 Id. 63 135 S. Ct. 2584 (2015). 64 493 U.S. 474 (1990).
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violated the Sixth Amendment 65 — even though the Court had previously held in Batson v. Kentucky 66 that the exact same conduct violated the Equal Protection Clause. 67 Far from infusing its Sixth Amendment analysis with equal protection concerns, the Holland Court took great pains to distinguish the two provisions, noting that "[s]ince only the Sixth Amendment claim, and not the equal protection claim," was at issue, "the question before us is not whether the defendant has been unlawfully discriminated against because he was white . . . but whether the defendant has been denied the right to 'trial . . . by an impartial jury.'" 68 Having strictly differentiated the two claims, the Court concluded that the impartial jury right had not been infringed, Batson notwithstanding, and chastised the dissent for its "willingness to expand constitutional provisions designed for other purposes beyond their proper bounds." 69 The three dissenters in Peña-Rodriguez all expressed the Holland Court's same concern with maintaining boundaries between separate bodies of constitutional doctrine. 70
Justice Kennedy's opinion roundly rejected that formalist approach. Rather than limiting himself to the discrete body of Sixth Amendment jurisprudence, Justice Kennedy viewed Peña-Rodriguez's Sixth Amendment claim as opening up the full panoply of constitutional values, engendering an analysis replete with equal protection references. 71 Justice Kennedy explained how the need to eliminate racial bias from our legal system was "given new force and direction by the ratification of the Civil War Amendments." 72 The Fourteenth Amendment's "central purpose," he argued, "was to eliminate racial discrimination emanating from official sources in the States." 73 And the Court's role in eliminating such discrimination was best evidenced by its equal protection precedents — landmark cases such as Strauder v. West Virginia 74 and Batson. With
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65 Id. at 477–78.
67 Id. at 97–98
66 476 U.S. 79 (1986
).
.
69 Id. at 488
68 Holland, 493 U.S. at 487–88.
.
70 See Peña-Rodriguez, 137 S. Ct. at 883 (Alito, J., dissenting) ("[I]t is hard to see what [the uniqueness of racial bias] has to do with the scope of an individual criminal defendant's Sixth Amendment right to be judged impartially."); id. at 871–72 (Thomas, J., dissenting) ("The Sixth Amendment's protection . . . is limited to the protections that existed at common law when the Amendment was ratified."); Transcript of Oral Argument at 4, Peña-Rodriguez, 137 S. Ct. 855 (No. 15-606) [hereinafter Peña-Rodriguez Oral Argument] (Roberts, C.J.) ("[T]his is not an equal protection case; it's a Sixth Amendment case.").
71 This methodological approach was explicitly urged by at least one other Justice. See PeñaRodriguez Oral Argument, supra note 70, at 30 (Kagan, J.) ("[I]t's true that this is a Sixth Amendment case, but it seems artificial not to think about the Sixth Amendment issue as informed by the principles of the Equal Protection Clause.").
.
72 Peña-Rodriguez, 137 S. Ct. at 867
74 100 U.S. 303 (1879) (holding that exclusion of black jurors violates Equal Protection Clause).
73 Id. (quoting McLaughlin v. Florida, 379 U.S. 184, 192 (1964)).
that framing, Justice Kennedy refused to limit Peña-Rodriguez to the status of a Sixth Amendment case, instead casting it as the latest in a line of "decisions seeking to eliminate racial bias in the jury system." 75
Obergefell, like Peña-Rodriguez, thus reflects Justice Kennedy's trade of doctrinal niceties for what Professor Laurence Tribe has called "the broader postulates of our constitutional order." 81 According to Tribe, Obergefell's holding rested "on the dignity and autonomy of the individual standing against the forces of coerced conformity — on principles underlying the written Constitution but nowhere expressly articulated in its text." 82 Likewise, Peña-Rodriguez's "imperative to purge racial
In its fusion of Sixth Amendment and Equal Protection Clause principles into a broader constitutional narrative, Peña-Rodriguez resembles another watershed constitutional law opinion written by Justice Kennedy. In Obergefell, Justice Kennedy explicitly intertwined his analyses under the Equal Protection and Due Process Clauses — even though the petitioners had brought two discrete challenges under the two provisions. 76 "The Due Process Clause and the Equal Protection Clause are connected in a profound way," he wrote. 77 "In any particular case one Clause may be thought to capture the essence of the right in a more accurate and comprehensive way, even as the two Clauses may converge in the identification and definition of the right." 78 Like Justice Alito in Peña-Rodriguez, Chief Justice Roberts in Obergefell criticized Justice Kennedy's approach for its failure to keep discrete constitutional provisions within proper doctrinal boundaries. The Chief Justice addressed the case as two discrete constitutional questions, faulting Justice Kennedy's due process analysis for failing to identify a fundamental right with robust historical origins, 79 and then his equal protection analysis for failing to apply the familiar tiers of scrutiny. 80
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75 Peña-Rodriguez, 137 S. Ct. at 868.
77 Obergefell, 135 S. Ct. at 2602–03.
76 See Obergefell v. Hodges, 135 S. Ct. 2584, 2615 (2015) (Roberts, C.J., dissenting). This similarity between the two opinions — Justice Kennedy's refusal to accept boundaries between individual constitutional provisions — also highlights an important difference between them. While the Obergefell petitioners asserted an independent Equal Protection Clause violation, Peña-Rodriguez invoked the Equal Protection Clause only obliquely. See Brief for Petitioner at 18, Peña-Rodriguez, 137 S. Ct. 855 (No. 15-606). Thus, the Court's reliance on equal protection principles signals an even bolder commitment to cross-constitutional principles than the one at work in Obergefell.
78 Id. at 2603.
80 Obergefell, 135 S. Ct. at 2623 (Roberts, C.J., dissenting). Chief Justice Roberts accused the majority of ignoring "casebook doctrine" by failing to apply the means-end methodology typically used in Equal Protection Clause cases. Id.
79 Id. at 2618–19 (Roberts, C.J., dissenting); see Washington v. Glucksberg, 521 U.S. 702, 721 (1997) (requiring a "careful description" of a liberty interest "deeply rooted in this Nation's history and tradition" for substantive due process analysis (first quoting Reno v. Flores, 507 U.S. 292, 302 (1993); then quoting Moore v. East Cleveland, 431 U.S. 494, 502 (1977) (plurality opinion))).
81 Laurence H. Tribe, Equal Dignity: Speaking Its Name, 129 HARV. L. REV. F. 16, 26 (2015). 82 Id.
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prejudice from the administration of justice" was derived not from a sole textual provision but from constitutional values and history. 83 But even beyond the methodological parallel, the broad constitutional narratives advanced in the two opinions also share a common theme. Just as Obergefell "tightly wound the double helix of Due Process and Equal Protection into a doctrine of equal dignity," 84 Peña-Rodriguez recognized the need to eradicate racial bias "so inconsistent with our commitment to the equal dignity of all persons." 85 Peña-Rodriguez, like Obergefell, thus bears the indelible mark of Justice Kennedy's distinctive constitutional jurisprudence of dignity.
By advancing this feature of Justice Kennedy's methodology — freeing the Court to look beyond the doctrinal walls of particular provisions to the constitutional values that transcend them — Peña-Rodriguez may reflect and further enable the emergence of antisubordination considerations in the Court's race jurisprudence. In the sexual-orientation context, "the freedom to marry championed in Obergefell was understood by all to directly redress the subordination of LGBT individuals." 86 Justice Kennedy's analytical method, intertwining the Equal Protection and Due Process Clauses, was specifically attentive to those antisubordination concerns, using the "interrelation of the two principles [to] further[] our understanding of what freedom is and must become." 87 Likewise, by sweeping more broadly than preexisting Sixth Amendment doctrine, Peña-Rodriguez's asserted "imperative to purge racial prejudice from the administration of justice" incorporates similar antisubordination aims. 88 Looking strictly within the four corners of the Sixth Amendment, Justice Alito may be correct to dispute the uniqueness of racial bias. 89 But looking through a wider constitutional lens, the historical marginalization of blacks within the criminal justice system provides "a sound basis to treat racial bias with added precaution." 90 Moreover, by casting the decision in terms of a broad constitutional mission transcending particular textual provisions, Peña-Rodriguez foregrounds
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83 See Peña-Rodriguez, 137 S. Ct. at 867.
.
84 Tribe, supra note 81, at 17
86 Tribe, supra note 81, at 18; see also Kenji Yoshino, The Supreme Court, 2014 Term — Comment: A New Birth of Freedom?: Obergefell v. Hodges, 129 HARV . L. REV . 147, 174 (2015) (describing Obergefell as advancing a notion of "antisubordination liberty").
85 Peña-Rodriguez, 137 S. Ct. at 867 (emphasis added).
87 Obergefell v. Hodges, 135 S. Ct. 2584, 2603 (2015); see also id. at 2604 (citing cases that "confirm this relation between liberty and equality" and show how the Equal Protection Clause can aid the Due Process Clause in "help[ing] to identify and correct inequalities in the institution of marriage, vindicating precepts of liberty and equality under the Constitution").
89 Id. at 883 (Alito, J., dissenting).
.
88 Peña-Rodriguez, 137 S. Ct. at 867
90 Id. at 869 (majority opinion).
further extensions of that mission to redress other instances of ongoing subordination.
The breadth of the constitutional mission at the heart of Justice Kennedy's Obergefell and Peña-Rodriguez opinions may also forecast additional changes to come. In United States v. Windsor, 95 which decried the Defense of Marriage Act's "interference with the equal dignity of same-sex marriages," 96 Justice Scalia saw a premonition of the impending invalidation of same-sex marriage bans at the state level, writing in dissent: "How easy it is, indeed how inevitable, to reach the same conclusion with regard to state laws denying same-sex couples marital status." 97 Justice Alito's dissent in Peña-Rodriguez contains a similar prediction: "Many jurisdictions now have rules that prohibit or restrict post-verdict contact with jurors, but whether those rules will survive today's decision is an open question." 98 Justice Scalia's premonition in Windsor was famously borne out, as the dignity narrative from Windsor blossomed into Obergefell's constitutional right to gay marriage. The equally powerful narrative of Peña-Rodriguez likewise foreshadows future expansion, and perhaps even beyond Justice Alito's prediction: if the Constitution truly requires elimination of all racial prejudice from the administration of justice, juror-contact laws may be only one target of many.
Justice Kennedy's emphasis on dignity in particular presents significant antisubordination possibilities. As Professor Christopher Bracey has explained, "[t]he concepts of dignity and subordination are powerfully linked." 91 An emphasis on dignitary concerns may help shift race jurisprudence from "procedural equality" to "substantive racial justice" by "mak[ing] relevant a host of considerations — for example, the widespread acceptance of destructive stereotypes, the disabling consequences of seemingly innocuous subtle forms of racial bias, and the unexamined acceptance of so-called societal discrimination — routinely thought to be 'off limits' in contemporary race jurisprudence." 92 Peña-Rodriguez reflects this possibility. Justice Kennedy's emphasis on dignity shifted the focus away from doctrinal formalities like the Tanner factors and toward more tangible considerations like the history of racial discrimination in the jury system and the resulting "systemic loss of confidence in jury verdicts." 93 In so doing, it allowed Justice Kennedy to situate the case within the need to bring the legal system "ever closer to the promise of equal treatment under the law that is so central to a functioning democracy." 94
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91 Christopher A. Bracey, Dignity in Race Jurisprudence, 7 U. PA. J. CONST. L. 669, 671 (2005).
.
92 Id. at 675
94 Id. at 868
93 Peña-Rodriguez, 137 S. Ct. at 869.
133.
95
2675 2013
96 Id. at 2693
S. Ct. ().
.
98 Peña-Rodriguez, 137 S. Ct. at 884 (Alito, J., dissenting).
97 Id. at 2709 (Scalia, J., dissenting).
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Reverend Father Peter Stratos, Pastor
Reverend Father Christopher Retelas, Associate Pastor
778 S. Rosemead Blvd., Pasadena, CA 91107-5613
Tel. (626) 449–6943 ~ Fax: (626) 449–6974
www.saint-anthonys.org – firstname.lastname@example.org - www.pasadenagreekfest.org
Church office hours: Monday – Friday: 9:00 a.m. to 4:00 p.m.
(Closed Saturday and Sunday)
St. Anthony's calendar link: http://saint-anthonys.org/calendar
For pastoral emergencies
please call 626-855-3640
September 30 th , 2018 – 2 nd Sunday of St. Luke
Gregory the Illuminator, Bishop of Armenia
Orthros ~ 8:45 a.m. Hierarchical Divine Liturgy ~ 10:00 a.m.
We extend a warm welcome to His Eminence Metropolitan Nikitas of the Dardanelles who is leading us in worship today. May God continue to guide and bless your work in the Lord's Vineyard. Eis Polla Eti Despota! We also welcome the Very Reverend Archimandrite Spencer Kezios who is praying with us today as well.
"Heavenly Vestments" Sunday, Sept. 30 th at 12:30pm. Lunch and an exhibit of vestments from the personal collection of Metropolitan Nikitas of the Dardanelles. All proceeds to benefit the Patriarch Athenagoras Orthodox Institute.
Church School: Preschool open house/transition day: Is your child nervous about being independent of you in a classroom setting? Would you like to meet your preschooler's teachers and help your child transition into his/her new environment? Here's your chance! All PK/TK parents are invited to join their preschool child in class today.
High School Students Only: Stay in Church for the entire Liturgy. Sit together in the reserved pew (2nd row, left) and stay after communion. Carefully observe our Sunday worship and consider its relevance to you personally. We will begin study of Orthodox Worship in class next Sunday. Registration: Any child that has not been registered must submit a Registration Form today. Forms can be obtained in the Narthex or the Parish Center. Please fill out one per student. Students must be 4 years old (as of Sept 1) to register for the PK/TK class.
GOYA Elections & Lunch! Sunday October 21 st . After Church School, ALL GOYAns (grade 6-12) are invited to come for lunch and elect this year's GOYA officers and executive positions. We will also be planning the upcoming year and events! Meet at 12:00 in the upstairs classroom. Be sure you make it!
Divine Services for the month of October (saint-anthonys.org/calendar):
(Orthros 9:00am, Liturgy 10:00am)
Thursday, Oct. 18 th – St. Luke the Evangelist (Orthros 9:00am, Liturgy 10:00am) Friday, Oct. 26 th – St. Demetrios the Myrrh-Streamer
Orthodoxy 101 classes coming Monday nights! A Orthodoxy 101 class will begin Monday, October 1 st . This class will welcome those who desire to learn more about the Orthodox Faith, as well as those who already embrace the Faith, wishing to enhance and enrich their understanding of, and life within, the timeless Orthodox Church. Monday nights, Classrooms 2 E/F, with Fr. Chris.
St. Anthony Bowling League! Starts Tues, Oct 2 nd 7-9:00pm at Bowling Square in Arcadia, Dec 4 th . Please join and encourage friends to as well. Open to all levels beginner to experienced. Last day to sign up is Sept 30 th . Questions contact Pana Gelt email@example.com, 626-293-7588 or Anthia Lucas firstname.lastname@example.org, 626-274-6133.
King Tut Exhibit: St. Anthony VIPs have reservations to the 100th Anniversary Exhibition of King Tut on Oct. 11 at the California Science Center, Exposition Park. Transportation by luxury bus leaving St. Anthony at 8am sharp and returning 3pm. There are a few seats available for non members at $49 for the exhibit, the IMAX showing of 'Egypt' and luxury bus transportation. Lunch on your own. Paid reservations must be made by Sunday, Sept 30th. Cancellations after Sept 30 will not be refunded. This is not a guided tour. You will view the exhibit at your leisure beginning at 10am, IMAX film to begin at 1pm. Checks are to be payable to St. Anthony VIPs and given to Aliki Haralambos. (VIP members, check your email for VIP member information).
Parish Pay (WeShare) is an easy method to make stewardship contributions to Saint Anthony Church. To sign up, please either: Visit saint-anthonys.churchgiving.com. If weekly envelopes are not your preference, Parish Pay is an easy alternative for your stewardship.
Order for Holy Communion (for Baptized and/or Chrismated Orthodox Christians): The acolytes, choir, and chanters receive Holy Communion first. Next, the parishioners from the front pew, one pew at a time should approach the chalice. Please allow ushers to dismiss you.
HYMNS OF THE DAY
(DURING SMALL ENTRANCE)
(1) Resurrectional Apolytikion. Mode 1. (Sung by the people)
The stone had been secured with a seal by the Judeans, and a guard of soldiers was watching Your immaculate body. You rose on the third day, O Lord and Savior, granting life unto the world. For this reason were the powers of heaven crying out to You, O Life-giver: Glory to Your resurrection, O Christ; glory to Your kingdom; glory to Your dispensation, only One who loves mankind.
Τοῦ λίθου σφραγισθέντος ὑπὸ τῶν Ἰουδαίων, καὶ στρατιωτῶν φυλασσόντων τὸ ἄχραντόν σου Σῶμα, ἀνέστης τριήμερος Σωτήρ, δωρούμενος τῷ κόσμῳ τὴν ζωήν· διὰ τοῦτο αἱ Δυνάμεις τῶν οὐρανῶν ἐβόων σοι ζωοδότα. Δόξα τῇ Ἀναστάσει σου Χριστέ, δόξα τῇ βασιλείᾳ σου, δόξα τῇ οἰκονομίᾳ σου, μόνε φιλάνθρωπε.
(AFTER SMALL ENTRANCE)
(2) Resurrectional Apolytikion. Mode 1. (Sung by the Clergy)
The stone had been secured with a seal by the Judeans, and a guard of soldiers was watching Your immaculate body. You rose on the third day, O Lord and Savior, granting life unto the world. For this reason were the powers of heaven crying out to You, O Life-giver: Glory to Your resurrection, O Christ; glory to Your kingdom; glory to Your dispensation, only One who loves mankind.
Τοῦ λίθου σφραγισθέντος ὑπὸ τῶν Ἰουδαίων, καὶ στρατιωτῶν φυλασσόντων τὸ ἄχραντόν σου Σῶμα, ἀνέστης τριήμερος Σωτήρ, δωρούμενος τῷ κόσμῳ τὴν ζωήν· διὰ τοῦτο αἱ Δυνάμεις τῶν οὐρανῶν ἐβόων σοι ζωοδότα. Δόξα τῇ Ἀναστάσει σου Χριστέ, δόξα τῇ βασιλείᾳ σου, δόξα τῇ οἰκονομίᾳ σου, μόνε φιλάνθρωπε.
(3) Apolytikion for the Hieromartyr Gregory. Mode 4. (sung by the people)
Becoming a partner with the Apostles in way of life and successor to their thrones, O Godinspired Saint, in the active life you found an entrance to contemplation. Hence you rightly expounded the word of truth, and you shed your blood in struggling for the faith, O Hieromartyr Gregory. Intercede with Christ our God, beseeching Him to save our souls.
Καὶ τρόπων μέτοχος, καὶ θρόνων διάδοχος, τῶν Ἀποστόλων γενόμενος, τὴν πρᾶξιν εὗρες Θεόπνευστε, εἰς θεωρίας ἐπίβασιν· διὰ τοῦτο τὸν λόγον τῆς ἀληθείας ὀρθοτομῶν, καὶ τῇ πίστει ἐνήθλησας μέχρις αἵματος, Ἱερομάρτυς Γρηγόριε· πρέσβευε Χριστῷ τῷ Θεῷ, σωθῆναι τὰς ψυχὰς ἡμῶν.
(4) Apolytikion for St. Anthony the Great. Mode 4. (sung by the people)
Emulating the ways of Elijah the zealot, and following the straight paths of the Baptist, O Father Anthony, you made the wilderness a city, and did support the world by your prayers. Wherefore intercede with Christ our God, that our souls be saved.
Τὸν ζηλωτὴν Ἠλίαν τοῖς τρόποις μιμούμενος, τῷ Βαπτιστῇ εὐθείαις ταῖς τρίβοις ἑπόμενος, Πάτερ Ἀντώνιε, τῆς ἐρήμου γέγονας οἰκιστής, καί τήν οἰκουμένην ἐστήριξας εὐχαῖς σου· διὸ πρέσβευε Χριστῷ τῷ Θεῷ σωθῆναι τὰς ψυχὰς ἡμῶν.
(5) Seasonal Kontakion. Mode 2. (sung by the Clergy)
O Protection of Christians that never falls, intercession with the Creator that never fails, we sinners beg you, do not ignore the voices of our prayers. O good Lady, we implore you, quickly come unto our aid, when we cry out to you with faith. Hurry to intercession, and hasten to supplication, O Theotokos who protect now and ever those who honor you.
Προστασία τῶν Χριστιανῶν ἀκαταίσχυντε, μεσιτεία, πρὸς τὸν Ποιητὴν ἀμετάθετε, μὴ παρίδῃς, ἁμαρτωλῶν δεήσεων φωνάς, ἀλλὰ πρόφθασον, ὡς ἀγαθή, εἰς τὴν βοήθειαν ἡμῶν, τῶν πιστῶς κραυγαζόντων σοι· Τάχυνον εἰς πρεσβείαν, καὶ σπεῦσον εἰς ἱκεσίαν, ἡ προστατεύουσα ἀεί, Θεοτόκε, τῶν τιμώντων σε.
(HIERARCHICAL ANTHEMS AFTER THE TRISAGION HYMN)
For His All-Holiness, Ecumenical Patriarch Bartholomew
Bartholomew, the All-holy and Ecumenical Patriarch, may God grant many years.
Βαρθολομαίου του Παναγιωτάτου και Οικουμενικού Πατριάρχου, πολλά τα έτη.
For His Eminence, Metropolitan Nikitas of the Dardanelles
Nikitas, the Most Reverend and God-appointed Metropolitan of the Holy Metropolis of the Dardanelles, Most-honored Exarch of all Hellespont, our Father and Hierarch, may God grant many years.
Νικήτα του Σεβασμιωτάτου και Θεοπροβλήτου Μητροπολίτου, της Αγιωτάτης Μητροπόλεως Δαρδανελλίων, Υπερτίμου και Εξάρχου παντός Ελλησπόντου, ημών δε Πατρός και Ιεράρχου, πολλά τα έτη.
READINGS OF THE DAY
Orthros Gospel Reading
Seventh Orthros Gospel The Gospel According to John 20:1-10
On the first day of the week Mary Magdalene came to the tomb early, while it was still dark, and saw that the stone had been taken away from the tomb. So she ran, and went to Simon Peter and the other disciple, the one whom Jesus loved, and said to them, "They have taken the Lord out of the tomb, and we do not know where they have laid him." Peter then came out with the other disciple, and they went toward the tomb. They both ran, but the other disciple outran Peter and reached the tomb first; and stooping to look in, he saw the linen cloths lying there, but he did not go in. Then Simon Peter came, following him, and went into the tomb; he saw the linen cloths lying, and the napkin, which had been on his head, not lying with the linen cloths but rolled up in a place by itself. Then the other disciple, who reached the tomb first, also went in, and he saw and believed; for as yet they did not know the scripture, that he must rise from the dead. Then the disciples went back to their homes.
Epistle Reading
The reading is from St. Paul's Second Letter to the Corinthians 9:6-11
Brethren, he who sows sparingly will also reap sparingly, and he who sows bountifully will also reap bountifully. Each one must do as he has made up his mind, not reluctantly or under compulsion, for God loves a cheerful giver. And God is able to provide you with every blessing in abundance, so that you may always have enough of everything and may provide in abundance for every good work. As it is written, "He scatters abroad, he gives to the poor; his righteousness endures for ever." He who supplies seed to the sower and bread for food will supply and multiply your resources and increase the harvest of your righteousness. You will be enriched in every way for great generosity, which through us will produce thanksgiving to God.
Gospel Reading
2nd Sunday of Luke The Gospel According to Luke 6:31-36
The Lord said, "As you wish that men would do to you, do so to them. If you love those who love you, what credit is that to you? For even sinners love those who love them. And if you do good to those who do good to you, what credit is that to you? For even sinners do the same. And if you lend to those from whom you hope to receive, what credit is that to you? Even sinners lend to sinners, to receive as much again. But love your enemies, and do good, and lend, expecting nothing in return; and your reward will be great, and you will be sons of the Most High; for he is kind to the ungrateful and the selfish. Be merciful, even as your Father is merciful."
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OCTOBER 25 TH , 2016
The Board of Directors of the River Plantation Community Improvement Association, Inc. ("RPCIA") held their regular meeting at 6:30 on October 25 th , 2016 at the RPCIA office, 451 River Plantation Drive, Conroe, TX 77302, a place open to all owners.
The meeting was called to order by at 6:28 pm.
The following Board members were present: George Gilmer, Joe Tipton, Linda Schneider, and Steve Schneider, Jamie Goodman, Mike Lee, Eric Bunsey and Annie Altenhofen. Steve Dresel was not in attendance.
MINUTES: Approved by the board via email.
Eric Bunsey noted two corrections were noted in the approved minutes:
- There was a COMPILATION in 2013.
- There was an AUDIT in 2014.
EMAIL VOTES:
No email votes were conducted in between board meetings.
TREASURER REPORT:
Treasurer noted that the Capital One CD for approximately $114,000 is still being processed to move to a new account at Wood Forest.
The Profit & Loss (P&L) detailed the income and expenses. Notable is that we're over by $3,000 on constable's patrol and under budget on Communications. This is most likely due to a single Statement/Invoice sent to members for the year instead of quarterly statements. There is $5,000 left in Bridge Maintenance that was rolled over from 2016 expenses.
COMMITTEE REPORTS
President's Report - Jamie Goodman
IMC is assisting with the transition however; Crest is waiting on responses from IMC to move forward. Jamie presented a working punch list of activities involved in the transition. All items are with IMC at this moment.
Park and Pool - Joe Tipton
Basketball and Tennis courts have been resurfaced and/or repaired as needed. One additional tennis court was repaired while the vendor was resurfacing the contracted courts. In addition, they repaired
the chain link fence and repaired a few sinkholes that became evident during repair. All should be ready for play by end of week.
The sprinklers at the Sports Park have been turned off while they work on a leak. The greenery is suffering a little, but should bounce back.
The alarm company contacted Joe in regards to the Pool alarm. He indicated that the system is NOT functional right now due to the damage. He will notify them when it's back in service.
He has received no new bids for additional work at the Pool house.
There is still a leak at the Pool and the company that was last responsible for repair will come out. The repairs are warrantied for 5 years and leak detection is for 90 days. They will come back out and will only charge ½ of the fee $750, if it's a NEW leak. If it's the existing leak, they will repair again under warranty.
MOTION: That we approve the use of the current repair company with the $750 fee for a new leak and no expected fee if it's a repair for existing leak. Motion was seconded and passed.
Grounds and Maintenance - Joe Tipton
Sprinkler at the front of RP is being reviewed/repaired. Additional sprinklers by sign are not working, either, and the electricity is not functional. Sprinklers at RPCIA office have been adjusted (wrong time/date/century).
Protex has been raising the canopies. Steve S raised concern that the current Protex contract indicates that they are to "maintain canopy at 10" and to remove all sucker branches, etc". Joe indicated that this is the intention of Protex once the grounds are corrected to have a canopy to maintain.
602 Macon Park has a ditch/drainage ditch behind her home and there is debris being blown into the ditch and yard when it is being maintained. Joe to discuss with Protex.
Communication is to be sent soon to residents reminding them that no dumping is allowed in parks and is finable. Block Captains to visit with neighbors. Letter to be written by Annie to give to Board for approval. Using Block Captains is tabled until letter and further discussion regarding safety.
ACC - Mike Lee
3 applications were submitted and 3 were approved.
Compliance - Mike Lee
Several residents reported home having repeated garage sales and noted 5-10 cars parked on yard, road and driveway for sale. Mike to investigate.
Special Events - Annie Altenhofen
Preparing for the Fall-O-Ween festival on October 29 th from 6-10 at the Sports Park. Signage will be ready tomorrow and installed. Bouncy houses, hot dogs, costumes, Monster Mash and more. Need volunteers – using SignUp Genius to request assistance. Several folks didn't notice the email – will resend.
Girl Scouts contacted Annie in regards to a Recruitment event. They would like to use the RPCIA building. It was recommended by Brian Fowler to have board member present with any event. Annie is volunteering to assist with Girl Scouts and will have details soon.
MOTION: Allow the Girls Scouts to utilize the RPCIA building for recruitment events with Annie in attendance. Future use for community events to be determined later. Motion was seconded and passed.
Annie has confirmed the Country Club for use for the Thursday, October 27 th Quarterly Homeowners meeting. The cost is $250 for the building and $100 for coffee/tea/water. Cookies are $1.00 each. Annie suggested buying cookies at Sam's Club or other. Cookies were decidedly unnecessary.
MOTION: Approve the expense of $250 for the room and $100 for the service for Quarterly Homeowner meetings. Motion was seconded and passed.
Communications and Technology - Annie Altenhofen
Annie asked about the communication that is to go out to the homeowners for the new management company. She would like to start collaborating with Crest to finetune and include other relevant information. In addition, we are at a stopping point on website until we can start uploading data from QB. Crest is still identified as resource to clean-up data but is behind because IMC is waiting until November 1 st to complete cycle.
Discussion surrounding communicating to residents. It was clarified that new site will allow for newsletter to be electronic or mailed depending on resident preferences.
Safety - Steve Dresel
It was noted that there have been reports of several odd cars in and around RP. There have been complaints of a window salesman that was persistent to minor/incapacitated residents. It was suggested that we have a larger NO Solicitation sign. Awaiting next meeting with a High Crimes report by George and Steve. Suggested that we encourage residents to contact Sherriff's office with issues/theft/concerns.
HOMEOWNERS INPUT/COMMENTS:
Homeowners were present for the meeting. A listing is provided of those homeowners that provided contact information. Suggestions and commentary was conversed as follows:
* Chris Hempel
o Representing Girl Scouts (with one resident with him) to request use of the RPCIA building for a recruitment event.
* Anne Troyer
o Thanked the board for meeting 2x per month to get work completed.
o Anne offered to power wash and paint the deck at the RPCIA building.
* Tom Vandever
o Can the board provide a preferred vendor list to residents? No. The board will not provide list due to liability.
* Bernadette McElroy
o Commented on Girl Scouts wanted to use building.
o Commented on debris from residents in parks and confirmed that it is their responsibility to remove leaves even if left by their vendor.
* Damian Altenhofen
o Can Eric explain the $4,000 that was in the old account and what might have happened to it?
It is presumed to have been left over from Chaparral management issue but further investigation is in progress.
o Agendas and meetings to not appear to be on website.
o Can the board present who voted on which issues? Would like to know what was voted on and how the vote was cast.
All votes passed are presumed unanimous unless dissent is noted.
o Bylaws require recording change in management company or "operating office" at the county office.
Jamie indicated that Crest is handling this and is in the process of becoming familiar with current bylaws for RPCIA.
OLD BUSINESS:
* Erosion at Stewarts Creek
o Update provided that Mr Blackburne is obtaining quotes on work comparable to what Joe and county engineer suggested.
* Transition to Crest:
Steve Durham with IMC has requested ownership of the copier currently in use at RPCIA office. Suggested that we find another suitable to our needs and more cost effective. Annie to get costs.
MOTION: Allow IMC to resume current copier lease and relieve RPCIA of expense with no penalties. Motion was seconded and passed.
* Transition to Crest:
Jamie suggested that we discuss communication to the residents surrounding the potential to close the RPCIA office for day-to-day business. She illustrated cost savings and how activities previously performed at the building could be completed either online, by phone or by mail with Crest. Examples included: paying quarterly dues and requesting updated statements of accounts. In addition, our new website allows for submitting ACC forms, making reservations, submitting complaints and communicating to board members. Pool passes are a singular event to be managed physically at the pool yearly.
* Bylaw Committee review scheduled for Thursday, November 3 rd at 6:30pm. Annie to send meeting requests to current committee.
NEW BUSINESS:
- MOTION: Allow volunteers with board participation to power wash, paint and repair deck at RPCIA office. Specific care to be paid to PAINT the yellow reflective highlight on each stair to maintain safety value of peeling tape. Motion was seconded and passed.
- Use of RPCIA Building:
Board suggested deadline of Christmas to have back room cleared of shelves and materials to allow for community use.
MANAGEMENT REPORT:
IMC was not present at the meeting.
CONSENT AGENDA:
None at this time.
EXECUTIVE SESSION:
The Board adjourned into Executive Session at 8:16pm to consider possible motions regarding:
* Pending demand letter response. Board considered monetary settlement. Motion passed to not consider settlement. George and Annie were in dissent of the motion.
* Discussion regarding collections
* Discussion regarding Holt & Young. Jamie suggested we retain them as the only attorney that performs collections without retainer.
MOTION: Retain Holt & Young as collections attorney ONLY. Motion seconded and passed.
* Discussed housekeeping for preparation for Homeowners meeting on Thursday. i.e. copies, list of committee accomplishments and preparing financial statements.
* Jamie communicated that J&K would like to present their abilities to the board.
MOTION: Pay current J&K invoices. Motion seconded and passed.
NEXT MEETING:
The next Board meeting is scheduled for Tuesday, November 8th, 2016 at 6:30pm at the River Plantation office. The Executive Board meeting was adjourned at 9:37pm. General meeting resumed and summary of executive session was given. Meeting was adjourned at 9:39pm.
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2019
THE LEGISLATIVE ASSEMBLY FOR THE AUSTRALIAN CAPITAL TERRITORY
(As presented)
(Minister for City Services)
Animal Welfare Legislation Amendment Bill 2019
Contents
J2018-116
contents 2 Animal Welfare Legislation Amendment Bill 2019
contents 3
contents 4
Animal Welfare Legislation Amendment Bill 2019
contents 5
2019
THE LEGISLATIVE ASSEMBLY FOR THE AUSTRALIAN CAPITAL TERRITORY
(As presented)
(Minister for City Services)
Animal Welfare Legislation Amendment Bill 2019
J2018-116
A Bill for
An Act to amend legislation about animal welfare, and for other purposes
The Legislative Assembly for the Australian Capital Territory enacts as follows:
Part 1
Section 1
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Part 1 Preliminary
Part 2
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Part 2
Animal Welfare Act 1992
Part 2
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(b) the dog needs to be confined for the dog's welfare.
Example—par (b)
a dog needs to be confined, on veterinary advice, after a surgical procedure
Note The defendant has an evidential burden in relation to the matters mentioned in s (3) (see Criminal Code, s 58).
(4) An offence against this section is a strict liability offence.
6G Abandoning an animal
(1) A person in charge of an animal commits an offence if the person—
(a) abandons the animal; and
(b) either—
(i) knows no other person is able to care for, and consents to caring for, the animal; or
(ii) is reckless about whether another person is able to care for, and consents to caring for, the animal.
Maximum penalty: 100 penalty units, imprisonment for 1 year or both.
(2) A person in charge of an animal commits an offence if the person abandons the animal.
Maximum penalty: 50 penalty units.
(3) An offence against subsection (2) is a strict liability offence.
7 Cruelty Section 7, penalty
substitute
Maximum penalty: 200 penalty units, imprisonment for 2 years or both.
Part 2
Animal Welfare Act 1992
Section 8
Animal Welfare Legislation Amendment Bill 2019
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(6) This section does not apply to a domestic cat if—
(a) the cat is not required to be contained under territory law; and
(b) the release of the cat is consistent with the reasonable management and control of the cat.
Note The defendant has an evidential burden in relation to the matters mentioned in s (4) and (5) (see Criminal Code, s 58).
13 Laying poison Section 12A (3) to (5)
substitute
(3) A person commits an offence if—
(a) the person lays a poison in a way in which the poison is not intended to be used; and
(b) the poison could kill or injure a domestic or native animal.
Maximum penalty: 20 penalty units.
(4) An offence against subsection (3) is a strict liability offence.
14 Electrical devices New section 13 (2) and (3)
insert
(2) A person commits an offence if—
(a) the person places a device on, or attaches a device to, an animal; and
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(b) the device is able to administer an electric shock to the animal.
Maximum penalty: 100 penalty units, imprisonment for 1 year or 23 both. 24
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Part 2
(3) In this section:
able
—a device is able
to administer an electric shock even if something needs to happen or be done to administer the shock.
Examples
1 a collar that is able to administer an electric shock by remote control or if the collar nears a boundary fence
2 a collar that has a variable setting that can be turned off and on
15 Use or possession of prohibited item Section 14 (1)
omit a prohibited item
substitute an item prescribed by regulation (a
New section 14 (2A)
insert
(2A) An offence against subsection (2) is a strict liability offence.
Section 14 (4)
omit
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prohibited item)
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substitute
15 Transport and containment
A person commits an offence if the person transports or contains an animal in a way that causes, or is likely to cause, the death of or
unnecessary injury, pain or stress to the animal.
Maximum penalty: 100 penalty units, imprisonment for 1 year or both.
Examples
1 locking an animal in a hot car
2 transporting an animal in a moving vehicle without adequate restraint
19 Intensive breeding of cats or dogs Section 15B (4) to (7)
substitute
(4) A person in charge of a female cat or dog commits an offence if the person allows the cat or dog to breed in a way that contravenes a breeding standard.
Maximum penalty: 50 penalty units.
(5) Subsection (4) does not apply if the person allows the cat or dog to breed in accordance with the written approval of a veterinary surgeon.
Note
The defendant has an evidential burden in relation to the matter mentioned in s (5) (see
Criminal Code, s 58).
(6) An offence against subsection (4) is a strict liability offence.
Part 2
Part 2
Part 2
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Part 3A Pet businesses 3
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Division 3A.1 Preliminary
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pet shop—
(a) means a business that buys or sells animals to be kept as pets; but
(b) does not include a business that buys or sells animals in accordance with a breeding licence.
Division 3A.2 Pet business licensing
24F Pet business licence application
(1) A person may apply to the authority for a licence to operate a pet business.
(2) The application must—
(a) be in writing; and
(b) state—
(i) the applicant's name; and
(ii) the applicant's contact details; and
(iii) the applicant's trading name; and
(iv) the applicant's proposed trading address or addresses; and
(v) the nature of the pet business; and
(c) describe the premises from which the business will operate; and
(d) include any information prescribed by regulation.
Note A fee may be determined under s 110 for this provision.
24G Issue of pet business licence
(1) If a person applies for a pet business licence, the authority must, within 30 days—
(a) issue the licence; or
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24H Pet business licence term and form
(1) A pet business licence may be issued for up to 5 years.
(2) A pet business licence must state, in writing—
(a) a unique identifying number for the licence; and
(b) the licensed pet business's name; and
(c) the licensed pet business's trading name; and
(d) the nature of the pet business; and
(e) the date the licence expires; and
(f) any condition that applies to the licence.
24I Conditions for pet business licence
(1) A pet business licence is subject to—
(a) any condition imposed by the authority when issuing the licence; and
(b) any condition imposed by written notice given to the licensed pet business at any other time; and
(c) any condition prescribed by regulation.
(2) It is also a condition of a pet business licence that the pet business comply with any relevant mandatory code of practice.
(3) The authority may only impose a condition on a licence if satisfied 19 on reasonable grounds the condition is in the interest of animal 20 welfare. 21
Part 2
24J Transfer application
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(3) If a licensed pet business applies to renew a licence, the licence remains in force until the application is decided.
24M Renewal decision
(1) If a licensed pet business applies to renew a licence, the authority must, within 30 days—
(a) renew the licence; or
(b) refuse to renew the licence.
(2) However, if the authority has asked the licensed pet business to do a thing in relation to being a licensed pet business, and the licensed pet business has not yet done the thing, the authority must not renew the licence until the thing is done.
Examples—thing to be done
1 meet condition of licence
2 pay a fee
3 provide information
(3) A licence may be renewed for up to 5 years.
(4) The renewal of a licence—
(a) starts immediately after the licence would have expired if it had not been renewed; and
(b) if there is a condition imposed on the licence—does not affect the condition.
(5) A renewal is subject to any condition imposed by the authority when approving the renewal.
(6) The authority may only impose a condition on a licence if satisfied on reasonable grounds the condition is in the interest of animal welfare.
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Division 3A.3 Pet business offences
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(b) the person is not licensed to operate the pet business.
Maximum penalty: 50 penalty units.
(2) An offence against this section is a strict liability offence.
(3) In this section:
not licensed—a person is also not licensed if the person's pet business licence is suspended, cancelled or expired.
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24S Breach of pet business licence
(1) A person commits an offence if the person— 8
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(a) is a licensed pet business; and
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(b) fails to comply with a condition of the person's pet business licence.
Maximum penalty: 50 penalty units.
(2) An offence against this section is a strict liability offence.
31 Licence conditions New section 28 (2) and (3)
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after the notes, insert
(2) A licensee commits an offence if the licensee fails to comply with a 17 condition of the licence. 18
Maximum penalty: 50 penalty units. 19
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(3) An offence against subsection (2) is a strict liability offence.
Part 2
Animal Welfare Act 1992
Part 2
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(ii) if the identity card relates to more than 1 authorisation— all authorisations end; and
(c) the person does not return the person's identity card to the animal ethics committee within 7 days after the day the authorisation ends.
(5) An offence against this section is a strict liability offence.
Maximum penalty: 5 penalty units.
40 Interstate researchers' authorisation in the ACT Section 49B (3)
substitute
(3) The authority may decide to end the application of subsection (1) to an interstate researcher if satisfied on reasonable grounds—
(a) the researcher has contravened this Act; or
(b) the researcher has contravened, in the ACT, an approved code of practice, a mandatory code of practice or a protocol or condition which applies to the researcher's interstate research authorisation; or
(c) the researcher has failed to comply, in the ACT, with the proposal for carrying out the researcher's activities set out in a submission on which the grant of the authorisation is based; or
(d) it is not appropriate for the researcher to use or breed animals in 21 the ACT in the same way, to the same extent and for the same 22 purposes as the researcher is permitted to use or breed animals 23 in the State where the researcher's interstate research 24 authorisation is granted. 25
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Note
State includes the Northern Territory (see
Legislation Act, dict, pt 1).
Part 2
Animal Welfare Legislation Amendment Bill 2019
Part 2
Section 53
Section 66
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insert
Part 2
Animal Welfare Act 1992
Part 2
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(b) when served, explained to the person.
(6A) A person commits an offence if the person— 2
(a) is given a direction under subsection (5); and 3
(b) fails to comply with the direction. 4
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Maximum penalty: 50 penalty units.
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79 New division 7.6A
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Division 7.6A Dealing with seized animals 8
86A Animal welfare entities 9
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(1) In this Act:
animal welfare entity means— 11
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(b) an entity declared by the Minister.
(2) The Minister may make guidelines about the way an animal welfare entity may deal with a seized animal under this division.
(3) A declaration of an animal welfare entity or a guideline is a notifiable
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instrument.
Note A notifiable instrument must be notified under the Legislation Act. 18
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(4) In this section:
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RSPCAmeans the Royal Society for the Prevention of Cruelty to
Animals (ACT) Inc ABN 35 730 738 037.
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(2) Before selling or rehoming an animal, the authority must—
(a) if the identity of the person in charge of the animal is not known—make reasonable enquires to find out who the person in charge is; or
(b) if the identity of the person in charge of the animal is known— give the person written notice of the authority's intention to sell or rehome the animal.
(3) The authority may only sell or rehome an animal if—
(a) the authority is satisfied on reasonable grounds it is in the best interest of the welfare of the seized animal; and
(b) the authority knows the identity of the person in charge of the animal and has given notice to the person under subsection (2) (b); and
(c) the person—
(i) does not, within 14 days after the day the notice is given (the application period), apply to the ACAT under section 108 for review of the decision; or
(ii) applies to the ACAT under section 108 for review of the decision within the application period and the authority's decision to sell or rehome the animal is confirmed.
86D Destroying seized animals
(1) This section applies if the authority believes on reasonable grounds that a seized animal is so severely injured or diseased, or in such poor physical condition, that it is cruel to keep the animal alive.
(2) The authority may—
(a) with the written consent of the person in charge of the animal, destroy the animal or cause it to be destroyed, in a way that causes it to die quickly and without unnecessary pain; or
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(b) give the animal to a veterinary practitioner so that the practitioner may destroy the animal in a way that causes it to die quickly and without unnecessary pain.
(3) The reasonable expenses incurred by the authority in the exercise of a power under subsection (2) in relation to an animal may be recovered by the Territory from the owner of the animal as a debt in a court of competent jurisdiction.
86E Temporary prohibition on animal ownership etc
(1) This section applies if—
(a) a domestic animal is seized under this Act; and
(b) a proceeding (a relevant proceeding) has not been started in a court against a person in charge of the animal for an offence against part 2 (Animal welfare offences); and
(c) the authority reasonably believes that an animal's welfare is, or would be, at serious risk if the person were to own, keep, care for or control the animal.
(2) The authority may, in writing, prohibit (a prohibition order) the person from—
(a) purchasing or acquiring an animal within the period stated in the order; or
(b) keeping, caring for or controlling an animal within the period stated in the order.
(3) In making a prohibition order, the authority—
(a) must consider—
(i) the welfare of the seized animal and any other animal owned, kept, cared for or controlled by the person; and
(ii) the likelihood the person has, or will, commit an offence against this Act; and
Part 2
Part 2
Part 2
Animal Welfare Act 1992
8
before item 1, insert
| 1A | 24G (1) (b) | refuse to issue licence | applicant for licence |
|---|---|---|---|
| 1B | 24I (1) (a) and (b) | put condition on licence | licensee |
| 1C | 24K (1) (b) | refuse to approve transfer | • licensee • transferee |
| 1D | 24K (3) | put condition on transfer | transferee |
| 1E | 24M (1) (b) | refuse to renew licence | licensee |
| 1F | 24M (5) | put condition on renewal | licensee |
| 1G | 24N | amend licence | licensee |
| 1H | 24O (4) | refuse further consideration | • applicant • licensee • transferee |
| 26A | 86B | condition on accommodation of seized animal |
|---|---|---|
| 26B | 86C | sell or rehome seized animal |
| 26C | 86E | prohibit animal ownership |
Part 2
Part 3 Animal Welfare Regulation 2001 1
1
Part 4 Discrimination Act 1991
Part 5
Part 5
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(b) register the applicant for a stated period subject to stated conditions; or
(c) refuse to register the applicant.
Note Failure to register the applicant within the required time is taken to be a decision not to register the applicant (see ACT Civil and Administrative Tribunal Act 2008, s 12).
(4) The registrar may only register the applicant if satisfied the applicant—
(a) has the skills and experience to train an animal to meet the assistance animal standard; and
(b) has not, within 2 years before the application was made, been convicted or found guilty of an offence under—
(i) this Act; or
(ii) the Animal Welfare Act 1992; or
(iii) a law of a State substantially corresponding to this Act or the Animal Welfare Act 1992; and
Note State includes the Northern Territory (see Legislation Act, dict, pt 1).
(c) meets any requirement prescribed by regulation.
(5) The registrar must, as soon as practicable after deciding whether to register the applicant, give the applicant written notice of the decision under subsection (3).
101 Registrar may suspend registration of assistance animal trainer
(1) The registrar may suspend a person's registration as an assistance animal trainer if satisfied on reasonable grounds—
(a) the person no longer has the skills and experience to train an animal to meet the assistance animal standard; or
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(b) if the person is registered to engage in the provision of a disability service under the Working with Vulnerable People (Background Checking) Act 2011—the person's registration under that Act is suspended, cancelled or expired; or
(c) if the person's registration under this part is subject to a condition—the person fails to comply with the condition; or
(d) the suspension is otherwise necessary for animal welfare.
(2) If the registrar suspends a person's registration, the registrar must give the person written notice—
(a) directing the person to do a stated thing within a stated time; and
(b) stating that if the person does not do the stated thing within the stated time the registrar may cancel the person's registration.
102 Registrar may cancel registration of assistance animal trainer
The registrar may cancel a person's registration as an assistance animal trainer if satisfied on reasonable grounds—
(a) the person was given written notice under section 101 (2) and failed to comply with the notice; or
(b) the person is convicted or found guilty of an offence under—
(i) this Act; or
(ii) the Animal Welfare Act 1992; or
(iii) a law of a State substantially corresponding to this Act or the
Animal Welfare Act 1992; or
Note
State includes the Northern Territory (see
Legislation Act dict, pt 1).
(c) the cancellation is otherwise necessary for animal welfare.
,
1
103 Unregistered assistance animal trainers
(1) A person commits an offence if the person— 2
3
(a) carries on a business as an assistance animal trainer; and
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(b) is not registered as an assistance animal trainer.
Maximum penalty: 50 penalty units. 5
6
(2) A person commits an offence if the person—
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(a) accredits an animal as having been trained to meet the assistance animal standard; and
(b) is not registered as an assistance animal trainer.
Maximum penalty: 50 penalty units.
(3) An offence against this section is a strict liability offence.
(4) In this section:
not registered—a person is also not registered as an assistance animal trainer if the person's registration is suspended, cancelled or expired.
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104 Registrar may register assistance animal assessor
(1) A person may apply to the registrar— 17
18
(a) to be registered as an assistance animal assessor; or
19 20
(b) for a registered assistance animal assessor—to renew the assistance animal assessor's registration.
(2) An application must— 21
(a) be in writing; and 22
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(b) include any information prescribed by regulation.
(3) Within 30 days of receiving the application, the registrar must— 24
25
(a) register the applicant for a stated period; or
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(b) register the applicant for a stated period subject to stated conditions; or
(c) refuse to register the applicant.
Note Failure to register the applicant within the required time is taken to be a decision not to register the applicant (see ACT Civil and Administrative Tribunal Act 2008, s 12).
(4) The registrar may only register the applicant if satisfied the applicant—
(a) has the skills and experience to assess whether an animal meets the assistance animal standard; and
(b) has not, within 2 years before the application was made, been convicted or found guilty of an offence under—
(i) this Act; or
(ii) the Animal Welfare Act 1992; or
(iii) a law of a State substantially corresponding to this Act or the Animal Welfare Act 1992; and
Note
State includes the Northern Territory (see
Legislation Act,
dict, pt 1).
(c) meets any requirement prescribed by regulation.
(5) The registrar must, as soon as practicable after deciding whether to register the applicant, give the applicant written notice of the decision under subsection (3).
105 Registrar may suspend registration of assistance animal assessor
(1) The registrar may suspend a person's registration as an assistance animal assessor if satisfied on reasonable grounds—
(a) the person no longer has the skills and experience to assess whether an animal meets the assistance animal standard; or
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(b) if the person is registered to engage in the provision of a disability service under the Working with Vulnerable People (Background Checking) Act 2011—the person's registration under that Act is suspended, cancelled or expired; or
(c) if the person's registration under this part is subject to a condition—the person fails to comply with the condition; or
(d) the suspension is otherwise necessary for animal welfare.
(2) If the registrar suspends a person's registration, the registrar must give the person written notice—
(a) directing the person to do a stated thing within a stated time; and
(b) stating that if the person does not do the stated thing within the stated time the registrar may cancel the person's registration.
106 Registrar may cancel registration of assistance animal assessor
The registrar may cancel a person's registration as an assistance animal assessor if satisfied on reasonable grounds—
(a) the person was given written notice under section 105 (2) and failed to comply with the notice; or
(b) the person is convicted, or found guilty of, an offence under—
(c) the suspension is otherwise necessary for animal welfare.
```
(i) this Act; or (ii) the Animal Welfare Act 1992; or (iii) a law of a State substantially corresponding to this Act or the Animal Welfare Act 1992; or Note State includes the Northern Territory (see Legislation Act, dict, pt 1).
```
1 2
(b) the person represents (orally or in some other way) that the animal is an assistance animal; and
(c) the animal is not an assistance animal. 3
Maximum penalty: 20 penalty units. 4
5
Example—par (b)
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the animal is wearing assistance animal identification
(2) A person commits an offence if—
(a) the person is accompanied by an animal in a public place or public premises; and
(b) the person represents (orally or in some other way) that the animal is an accredited assistance animal; and
(c) the animal is not an accredited assistance animal.
Maximum penalty: 20 penalty units.
(3) An offence against subsection (2) is a strict liability offence.
Dictionary, new definitions
16
insert
accompanied by an assistance animal, for division 5.4 (Using an 17 assistance animal)—see section 106B. 18
accredited assistance animal, for part 5 (Assistance animals)—see 19 section 94. 20
21
124
Dictionary, definition of assistance animal
22
substitute
assistance animal—see the Discrimination Act 1991, 23 section 5AA (3). 24
Part 6
Part 6 Domestic Animals 1 Regulation 2001 2
3
129 Reviewable decisions
4
Schedule 1, new items 34A to 34I
insert 5
| 34A | Act, s 98 | not register accredited assistance animal |
|---|---|---|
| 34B | Act, s 100 (3) (b) | register assistance animal trainer on conditions |
| 34C | Act, s 100 (3) (c) | refuse to register assistance animal trainer |
| 34D | Act, s 101 (1) | suspend assistance animal trainer registration |
| 34E | Act, s 102 | cancel assistance animal trainer registration |
| 34F | Act, s 104 (3) (b) | register assistance animal assessor on conditions |
| 34G | Act, s 104 (3) (c) | refuse to register assistance animal assessor |
| 34H | Act, s 105 (1) | suspend assistance animal trainer assessor |
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Part 7 Welfare Infringement Notices)
Magistrates Court (Animal Regulation 2014
130 Schedule 1
substitute
Schedule 1 Animal Welfare Act 1992 infringement notice offences and penalties
(see s 7 and s 8)
| column 1 item | column 2 offence provision | | column 3 offence penalty (penalty units) | column 4 infringement penalty ($) |
|---|---|---|---|---|
| 1 | 6C (1) | | 25 | 500 |
| 2 | 6D (1) | | 25 | 500 |
| 3 | 6E (1) | | 25 | 500 |
| 4 | 6F (1) | | 25 | 500 |
| 5 | 6G (2) | | 50 | 500 |
| 6 | 8 (1) | | 25 | 500 |
| 7 | 9 (2) | | 50 | 500 |
| 8 | 9 (4) | | 20 | 500 |
| 9 | 9A (1) | | 50 | 1 400 |
| 10 | 9B (1) | | 50 | 1 400 |
| 11 | 9C (1) | | 50 | 1 400 |
| 12 | | 10 (2) | 20 | 200 |
| 13 | | 11 (2) | 50 | 500 |
Part 7
Magistrates Court (Animal Welfare Infringement Notices) Regulation 2014
Section 130
page 86 Animal Welfare Legislation Amendment Bill 2019
| column 1 item | column 2 offence provision | | column 3 offence penalty (penalty units) |
|---|---|---|---|
| 14 | | 11 (3) | 50 |
| 15 | 12A (3) | | 20 |
| 16 | 14 (2) | | 20 |
| 17 | 15A (1) | | 20 |
| 18 | 15B (4) | | 50 |
| 19 | 16 (3) | | 50 |
| 20 | 19A (1) | | 50 |
| 21 | 19A (2) | | 50 |
| 22 | 19A (3) | | 50 |
| 23 | 24D (1) | | 20 |
| 24 | 28 (2) | | 50 |
| 25 | 33 (1) | | 10 |
| 26 | 39 (2) | | 50 |
| 27 | 42 (3) | | 5 |
| 28 | 42 (4) | | 5 |
| 29 | 45 (1) | | 10 |
| 30 | 56 (2) | | 50 |
| 31 | 56 (3) | | 50 |
| 32 | 59 (1) | | 10 |
| 33 | 60 (1A) | | 50 |
| 34 | 60 (2) | | 15 |
| 35 | 62 (1) | | 50 |
| 36 | 65 (2) | | 50 |
| 37 | 70 (1) | | 10 |
| 38 | 73G (1) | | 10 |
Part 7
| column 1 item | column 2 offence provision | column 3 offence penalty (penalty units) |
|---|---|---|
| 39 | 78 (4) | 5 |
| 40 | 82A (6) | 15 |
| 41 | 86B (3) | 50 |
131 Schedule 1, new items 23A to 23D
insert
| 23B | 24Q (1) | 25 | 250 |
|---|---|---|---|
| 23C | 24R (1) | 50 | 500 |
| 23D | 24S (1) | 50 | 500 |
Part 8
Part 8 Magistrates Court (Domestic 1 Animals Infringement Notices) 2 Regulation 2005 3
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5
132 Domestic Animals Act 2000 Schedule 1, part 1.1, new items 50A to 50E
6
insert
| 50A | 106E (3) (b) (i) | stop person accompanied by accredited assistance animal entering public place/public premises | 50 | 500 |
|---|---|---|---|---|
| 50B | 106E (3) (b) (ii) | stop accredited assistance animal entering public place/public premises | 50 | 500 |
| 50C | 106E (3) (b) (iii) | remove accredited assistance animal from public place/public premises | 50 | 500 |
| 50D | 106E (4) | impose fee or charge for accredited assistance animal in public place/public premises | 50 | 500 |
page 88
Animal Welfare Legislation Amendment Bill 2019
Magistrates Court (Domestic Animals Infringement Notices) Regulation 2005
Part 8
Section 132
Endnotes
1 Presentation speech
Presentation speech made in the Legislative Assembly on 16 May 2019.
2 Notification
Notified under the Legislation Act on
2019.
3 Republications of amended laws
For the latest republication of amended laws, see www.legislation.act.gov.au.
© Australian Capital Territory 2019
|
Legislative Council,
General Assembly
State of Delaware
CHAPTER 6
HOUSE BILL NO. 49
FORMERLY
AS AMENDED BY
HOUSE AMENDMENT NO. 1
AN ACT TO AMEND TITLE 10 OF THE DELAWARE CODE RELATING TO ARBITRATION OF DISPUTES.
BE IT ENACTED BY THE GENERAL ASSEMBLY OF THE STATE OF DELAWARE:
Section 1. Amend Title 10 of the Delaware Code by making deletions as shown by strike through and insertions as shown by underline as follows:
CHAPTER 58. DELAWARE RAPID ARBITRATION ACT.
§ 5801. Definitions.
For purposes of this chapter only, unless the context requires otherwise:
(1) "Agreement" means an agreement described in § 5803(a) of this title.
(2) "Arbitration" means an arbitration provided for under this chapter.
(3) "Arbitrator" means a person named in an agreement, selected under an agreement, or appointed by the parties to an agreement or the Court of Chancery, to preside over an arbitration and issue a final award. If an arbitration proceeds before more than 1 arbitrator, (i) references in this chapter to an arbitrator shall be deemed to be references to the arbitrators, and (ii) unless otherwise provided in an agreement, references in this chapter to an act of an arbitrator shall be deemed to be references to an act of a majority of the arbitrators.
(4) "Final award" means an award designated as final and issued in an arbitration by an arbitrator.
(5) "Organization" means a civic association, neighborhood alliance, homeowners maintenance corporation, homeowners maintenance association, common interest community, as defined in § 81-103 of Title 25, or other similar entity charged with or assuming the duties of maintaining the public areas, open space, or common facilities within a residential development or community.
§ 5802. Purpose of the Act.
The purpose of the Delaware Rapid Arbitration Act is to give Delaware business entities a method by which they may resolve business disputes in a prompt, cost-effective, and efficient manner, through voluntary arbitration conducted by expert arbitrators, and to ensure rapid resolution of those business disputes. The Act is intended to provide an additional option by which sophisticated entities may resolve their business disputes. Therefore, nothing in the Act is intended to impair the ability of entities to use other arbitral procedures of their own choosing, including procedures that afford lengthier proceedings and allow for more extensive discovery.
§ 5803. Effect of arbitration agreement.
(a) A written agreement to submit to arbitration any controversy existing at or arising after the effective date of the agreement is valid, enforceable, and irrevocable, save upon such grounds as exist at law or in equity for the revocation of any contract, without regard to the justiciable character of the controversy, so long as (1) the agreement is signed by the parties to an arbitration; (2) at least 1 party to the agreement is a business entity, as that term is defined in § 346 of this title, formed or organized under the laws of this State or having its principal place of business in this State; (3) no party to the agreement is a consumer, as that term is defined in § 2731 of Title 6, or an organization, as that term is defined in this chapter; (4) the agreement provides that it shall be governed by or construed under the laws of this State, without regard to principles of conflict of laws, regardless of whether the laws of this State govern the parties' other rights, remedies, liabilities, powers and duties; and (5) the agreement includes an express reference to the "Delaware Rapid Arbitration Act." During the pendency of an arbitration, an agreement may be amended to alter the procedures of the arbitration only with the approval of an arbitrator, but the agreement may not be amended so as to alter the time set forth in § 5808(b) of this title.
(b) A party to an agreement is deemed to have waived objection and consented to:
(1) the arbitration procedures set forth in this chapter;
(2) the submission exclusively to an arbitrator of issues of substantive and procedural arbitrability;
(3) the exclusive personal and subject matter jurisdiction of an arbitration, the seat of which is this State, regardless of the place of a hearing;
(4) the exclusive personal and subject matter jurisdiction of the courts of the State of Delaware for the limited purposes set forth in § 5804 of this title; and
(5) except as otherwise limited by the agreement, an arbitrator's power and authority to:
a. determine in the first instance the scope of the arbitrator's remedial authority, subject to review solely under § 5809 of this title; and b. grant relief, including to award any legal or equitable remedy appropriate in the sole judgment of the arbitrator.
(c) A party to an agreement is deemed to have waived the right to:
(1) seek to enjoin an arbitration;
(2) remove any action under this chapter to a federal court;
(3) appeal or challenge an interim ruling or order of an arbitrator;
(4) appeal or challenge a final award, except under § 5809 of this title; and
(5) challenge whether an arbitration has been properly held, except under § 5809 of this title.
§ 5804. Jurisdiction.
(a) Jurisdiction of the Supreme Court—Except as otherwise provided in an agreement, the making of the agreement confers jurisdiction on the Supreme Court of the State to hear only a challenge to a final award under § 5809 of this title. The Supreme Court does not have jurisdiction to hear appeals of (1) the appointment of an arbitrator under § 5805 of this title, (2) the determination of an arbitrator's fees under § 5806(b) of this title, (3) the issuance or denial of an injunction in aid of arbitration under § 5804(b)(5) of this title, and (4) the grant or denial of an order enforcing a subpoena issued under § 5807(b) of this title. A party to any agreement shall be deemed to have waived the right to such appeals. The Supreme Court, in consultation with the Court of Chancery, may publish rules for arbitration proceedings under this chapter and, unless an agreement provides for different rules, may specify that those rules govern arbitration proceedings under this chapter.
(b) Jurisdiction of the Court of Chancery—The making of an agreement confers jurisdiction on the Court of Chancery of the State only to (1) appoint an arbitrator under § 5805 of this title; (2) enter judgment under § 5810(b) of this title; (3) upon the request of an arbitrator, enforce a subpoena issued under § 5807(b) of this title; (4) determine an arbitrator's fees under § 5806(b) of this title; and (5) only before an arbitrator accepts appointment as such, issue an injunction in aid of an arbitration, provided that the injunction may not divest the arbitrator of jurisdiction or authority. Notwithstanding the foregoing, no court has jurisdiction to enjoin an arbitration under this chapter. The Court of Chancery may promulgate rules to govern proceedings under this chapter.
(c) Jurisdiction of the Superior Court—The making of an agreement confers jurisdiction on the Superior Court of the State only to enter judgment under § 5810(c) of this title.
§ 5805. Appointment of arbitrator by the Court of Chancery.
(a) The Court of Chancery of the State, on petition or on application of a party in an existing case, has exclusive jurisdiction to appoint 1 or more arbitrators upon (1) the consent of all parties to an agreement, (2) the failure or inability of an arbitrator named in or selected under an agreement to serve as an arbitrator, (3) the failure of an agreement to name an arbitrator or to provide a method for selecting an arbitrator, (4) the inability of the parties to an agreement to appoint an arbitrator, or (5) the failure of a procedure set forth in an agreement for selecting an arbitrator. Following the petition or application, each party shall propose to the Court of Chancery no more than 3 persons that are qualified and willing to serve as an arbitrator.
(b) The Court of Chancery shall, within 30 days of the service of the petition or application, appoint an arbitrator and, in so doing, may take into account (1) the terms of an agreement, (2) the persons proposed by the parties, and (3) reports made under § 5806(d) of this title. An arbitrator appointed by the Court of Chancery may only be (i) a person named in or selected under an agreement, (ii) a person expert in any non-legal discipline described in an agreement, or (iii) a member in good standing of the Bar of the Supreme Court of the State for at least 10 years. An arbitrator so appointed has all the powers of an arbitrator specifically named in an agreement. Unless otherwise provided in an agreement, the Court of Chancery shall appoint a single arbitrator.
§ 5806. Arbitrator; fees and expenses of arbitration.
(a) A person accepting an appointment as an arbitrator is deemed to have (1) consented to the terms of this chapter and (2) accepted the consequences set forth in § 5806(b) of this title for failing to comply with the provisions of § 5808(b) of this title. An arbitrator is immune from civil liability for or resulting from any act or omission done or made in connection with an arbitration, unless the arbitrator's act or omission was made or done in bad faith, with malicious intent, or in a manner exhibiting a wilful, wanton disregard of the rights, safety, or property of another.
(b) Unless otherwise provided in an agreement, an arbitrator's fees and expenses, together with other expenses incurred in the conduct of an arbitration, but not including counsel fees of parties to the arbitration, shall be borne as provided in a final award. Notwithstanding the foregoing, an arbitrator that fails to issue a final award in compliance with § 5808(b) of this title is not entitled to full payment of the arbitrator's fees: the arbitrator's fees must be reduced by 25% if the final award is less than 30 days late; the arbitrator's fees must be reduced by 75% if the final award is between 30 and 60 days late; and the arbitrator's fees must be reduced by 100% if the final award is more than 60 days late. Notwithstanding the foregoing sentence, upon petition by an arbitrator, the Court of Chancery may summarily determine, on clear and convincing evidence, that exceptional circumstances exist such that the reductions in the foregoing sentence should be modified or eliminated.
(c) An arbitrator may retain appropriate counsel, in consultation with the parties. The arbitrator's counsel may make rulings on issues of law, to the extent requested to do so by the arbitrator, which shall have the same effect as a ruling by the arbitrator, if the arbitrator so determines. The fees and expenses incurred by the arbitrator's counsel must be included in the arbitrator's expenses described in subsection (b) of this section.
(d) An arbitrator that fails to issue a final award in compliance with § 5808(b) of this title shall, within 90 days of the failure, report that failure to the Register in Chancery, indicating (1) the date on which the arbitrator accepted appointment as an arbitrator and (2) the date on which the final award was issued.
§ 5807. Hearing; witnesses; pre-hearing evidence gathering; rulings before final award.
(a) Unless otherwise provided in an agreement, an arbitrator shall appoint a time and place for a hearing or an adjourned hearing, either of which may be held within or without the State and within or without the United States. Notwithstanding the foregoing sentence, the seat of an arbitration is the State of Delaware. Unless otherwise provided in an agreement, a party to an arbitration is entitled to be heard, to present evidence relevant to the arbitration, and to cross-examine witnesses appearing at a hearing. Notwithstanding the foregoing, an arbitrator may make such interim rulings and issue such interim orders as the arbitrator deems necessary to determine what evidence and which witnesses may be presented at the hearing, including to limit the presentation of evidence and witnesses as necessary to satisfy § 5808(b) of this title. An arbitrator may resolve an arbitration on the evidence produced at a hearing notwithstanding the failure of a party duly notified to appear or participate at the hearing.
(b) Unless otherwise provided in an agreement, an arbitrator has the power to administer oaths and may compel the attendance of witnesses and the production of books, records, contracts, papers, accounts, and all other documents and evidence. Only if provided in an agreement, an arbitrator has the power to issue subpoenas, and all provisions of law compelling a person under subpoena to testify are applicable. Only if provided in an agreement, an arbitrator may award commissions to permit a deposition to be taken, in the manner and on the terms designated by the arbitrator, of a witness who cannot be subpoenaed.
(c) An arbitrator may make such rulings, including rulings of law, and issue such orders or impose such sanctions as the arbitrator deems proper to resolve an arbitration in a timely, efficient, and orderly manner.
§ 5808. Awards.
(a) A final award must be in writing and signed by an arbitrator, must be provided to each party to an arbitration, and must include a form of judgment for entry under § 5810 of this title. Unless otherwise provided in an agreement, an arbitrator may make any award, whether legal or equitable in nature, deemed appropriate by the arbitrator. Unless otherwise provided in an agreement, an arbitrator may make in a final award rulings on any issue of law that the arbitrator considers relevant to an arbitration.
(b) Subject to subsection (c) of this section, an arbitrator shall issue a final award within the time fixed by an agreement or, if not so fixed, within 120 days of the arbitrator's acceptance of the arbitrator's appointment.
(c) Parties to an arbitration may extend the time for the final award by unanimous consent in writing either before or after the expiration of that time, but the extension may not exceed, whether singly or in the aggregate, 60 days after the expiration of the period set by subsection (b) of this section.
§ 5809. Challenges; court powers to vacate, modify, or correct a final award.
(a) A challenge to a final award may be taken to the Supreme Court of the State in the manner as appeals are taken from orders or judgments in a civil action.
(b) A challenge to a final award must be taken within 15 days of the issuance of the final award. The record on the challenge is as filed by the parties to the challenge in accordance with the Rules of the Supreme Court.
(c) In a challenge to a final award, the Supreme Court of the State may only vacate, modify, or correct the final award in conformity with the Federal Arbitration Act. The Supreme Court shall have the authority to order confirmation of a final award, which confirmation shall be deemed to be confirmation under § 5810(a) of this title.
(d) Notwithstanding any other provision of this section, an agreement may provide for (1) no appellate review of a final award or (2) appellate review of a final award by 1 or more arbitrators, in which case appellate review shall proceed as provided in the agreement. An appellate arbitrator may be appointed by the Court of Chancery of the State under § 5805 of this title. An appellate arbitrator shall have authority to order confirmation of a final award, which confirmation shall be deemed to be confirmation under § 5810(a) of this title.
§ 5810. Confirmation of a final award; judgment on final award.
(a) Unless a challenge is taken under § 5809 of this title or unless an agreement provides for appellate review by 1 or more arbitrators, a final award, without further action by the Court of Chancery of the State, is deemed to have been confirmed by the Court of Chancery on the fifth business day following the period for challenge under § 5809(b) of this title. If an agreement provides for no appellate review of a final award, the final award is deemed to have been so confirmed on the fifth business day following its issuance.
(b) Except if a final award is solely for money damages, upon application to the Court of Chancery of the State by a party to an arbitration in which a final award has been confirmed under subsection (a) of this section, the Court of Chancery shall promptly enter a final judgment in conformity with that final award. A final judgment, so entered, has the same effect as if rendered in an action by the Court of Chancery.
(c) If a final award is solely for money damages, upon application to the Superior Court of the State by a party to an arbitration in which a final award has been confirmed under subsection (a) of this section, the Prothonotary of the Superior Court shall promptly enter a judgment on the judgment docket in conformity with that final award. The Prothonotary of the Superior Court shall enter in the judgment docket the names of the parties, the amount of the final award, the time from which interest, if any, runs, and the amount of the costs, with the true date of the filing and entry. A final judgment, so entered, has the same force and effect as if rendered in an action at law, and, from that date, becomes and is a lien on all the real estate of the debtor in the county, in the same manner and as fully as judgments rendered in the Superior Court are liens, and may be executed and enforced in the same way as judgments of the Superior Court.
§ 5811. Application of chapter.
It is the policy of this chapter to give maximum effect to the principle of freedom of contract and to the enforceability of agreements.
§ 5812. Short title.
This chapter may be cited as the "Delaware Rapid Arbitration Act."
Section 2. This Act shall take effect 30 days after enactment.
Approved April 02, 2015
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SOLACHROME® Integral Coloring Treatment for High-SR Concrete
A powdered fade-resistant concrete admixture used to create vibrant solar reflective colors that conform to LEED requirements for reducing the Urban Heat Island Effect.
T E C H - D ATA B U L L E T I N T D - 1 2 5 0 . 0 8 R e v . 1 1 . 3 0 . 2 0 1 7
■ 1. Product Description:
SOLACHROME ® Integral Coloring Treatment for High-SR Concrete is a patented easy-to-use powder concrete admixture that will permanently color concrete and other cementitious materials. Its unique composition enables the creation of deep vibrant solar reflective colors that will stay cool longer than colors made from traditional technologies.
SOLACHROME Integral Coloring Treatment for High-SR Concrete will not migrate in water, and may be used to color concrete for fountains, pools, water features, or concrete that will be polished and encounter wet environments. All pigments used are fade resistant, and conform to the light Resistance (color fastness) requirements of ASTM C 979 Pigments for Integrally Colored Concrete. Each packaged unit will color one yard of concrete that contains between five and seven 94-pound sacks of cement, and is suitable for coloring concrete used to make floor slabs, walls, steps, sidewalks, curbs, columns, structural arches and other precast objects.
Specified Colors made from SOLACHROME Integral Coloring Treatment can exceed the LEED v4 building material Solar Reflectance (SR) requirement of 0.33 or greater. This can allow colored concrete to contribute to earning LEED credits in the Heat Island Reduction category: Non-Roof for all BD+C categories.
■ 2. Colors:
See color chart SICT-CC for the entire range of standard colors. Custom
SOLACHROME Integral Coloring Treatment for High-SR Concrete is available in 14 standard variations that can be mixed with either gray or white cement to produce 28 solar reflective colors.
colors are available with order minimums.
■ 3. Dosage:
SOLACHROME Integral Coloring Treatment is packaged in five-gallon pails. New Easy-Dose ™ technology enables a single package to color one yard of concrete containing five to seven 94-pound sacks of cement. (470-658 lbs or 213-300 kg of cement) Each pail will color one cubic meter of concrete with cement content between 213-300 kg. Concrete with higher cement content per yard or meter require proportioned amounts of additional SOLACHROME to achieve the intended color.
■ 4. Concrete Mix Design Modifications:
SOLACHROME Integral Coloring Treatment can influence the effect other admixtures will have on concrete properties. Water, Water Reducers (inclusive of Mid-Range or High-Range Water Reducer), and AEA (Air Entrainment Agent) are key ingredients that can require adjustment. When making any mix design modification, always perform a jobsite test as described later in this bulletin.
■ 5. Preferred Use Proceedures:
2. Size the mix design to ensure the mixer is at least 1/3 full, or of a size that ensures mix uniformity within the prescribed number of mixing revolutions or mix time.
1. Clean concrete mixer or mixing truck. Remove any previous cleaners, retarders, or traces of previous color.
3. Introduce water, sand, aggregates, and other admixtures in preferred order.
5. Introduce Solachrome Integral Coloring Treatment.
4. Introduce cement.
6. Mix a minimum of 120 revolutions or until a consistent color that does not streak upon finishing is achieved.
© L. M. Scofield Company 2017 – All rights reserved.
Modification of Preferred Use Procedures:
Order of addition changes may be necessary to accommodate split loads or plant conditions. Good results should be obtained when added at any time as long as it is given the opportunity to mix until uniform. If not, streaking and uneven color within the concrete can result.
■ 6. Factors Influencing Final Color, Appearance, and Solar Reflective Index:
Colors represented on the SOLACHROME Integral Coloring Treatment for High-SR Concrete color charts depict actual samples of smooth finished concrete made with a medium gray or white cement and cured with SCOFIELD ® Cureseal-W ™ Concrete Curing Compound and Sealer. The final color, appearance and SR obtained on the jobsite will be influenced by concrete composition, surface finishing technique, and curing compound/sealer selection.
Composition variations that can impact color and final SR include cement type and color, aggregate selection, and the use of pozzolans such as slag or fly ash. Finishing techniques such as wood float troweled, hard steel troweled, wet broom, or dry broom finishes will influence surface texture, sealer penetration, and final concrete appearance. Differences in sealer or curing compound type, such as water or solvent based, or if no sealer is used, will influence final appearance and SR.
Changes in water content and water to cement ratio can influence color development. Mix designs that develop excessive bleed water can float pigment to the surface and cause trails of uneven color. Once mix designs are established, avoid adding water to loosen partially cured loads, "watering" concrete with sprinklers as it cures, or using wet brooms and tools.
As freshly placed concrete cures, its color will vary with differences in surface moisture. Concrete curing in shaded areas or in the center of large slabs will surface dry slower than those exposed to sunlight or closer to form edges. Avoid high salt aggregates. If salt content of aggregates are high, efflorescence can bloom to the surface and alter colors in irregular patterns. These visual differences can be long lasting, and raise questions about the quality of the concrete placement. Use SCOFIELD Cureseal-W Concrete Curing Compound and Sealer to avoid these problems and deliver jobs that are uniform in color and appearance.
As with adjustments in mix design, always evaluate composition and finishing techniques as described in section 8. Jobsite Test Sections below.
■ 7. Limitations:
The compatibility of SOLACHROME Integral Coloring Treatment for HighSR Concrete with other admixtures used in the production of concrete must be verified prior to use. SR determinations were performed using integrated sphere reflective spectroscopy as specified on the SOLACHROME color card. Actual SR determinations may vary with alternate techniques and normal raw material variance. The use of this product with calcium chloride or high salt containing aggregates may accentuate possibilities of early efflorescence and is not recommended.
■ 8. Jobsite Test Sections:
Prior to large scale production, the concrete or cementitious mix design for each color to be produced must be made. Conduct small scale testing to demonstrate concrete from the mix design meets all slump, flow, air content, compressive strength, and any other required concrete specifications.
Prior to general jobsite use, representative Jobsite Test Section(s) or "Mock-Ups" must be produced and approved for each individual
Page 1 of 3
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concrete color mix design, surface finish/texture, and for each curing compound/sealer combination that will be created.
Use Jobsite Test Sections to verify entire system suitability including frame/mold and foundation preparation methods, surface concrete specification compliance, finishing techniques, safety procedures, and achieved performance of the fresh and fully cured concrete. When applicable, test completed systems for wet and dry slip resistance. Evaluate polishing or coating application techniques, final color, and visual appearance. Do not proceed with products, techniques, or finishing systems that do not meet required specifications or meet with site owner approval.
Selected Jobsite Test Sections should be in close proximity to the larger job area, and made from the same concrete mix design that will be used on the larger project. Test sections should be sized to be representative of the finished project, and be produced by the same workers who will perform the project installation.
■ 9. Packaging:
SOLACHROME Integral Coloring Treatment for High-SR Concrete is packaged in five-gallon pails.
■ 10. Storage and Shelf Life:
Unopened and stored below 140°F (65°C), SOLACHROME Integral Coloring Treatment for High-SR Concrete has a shelf life of 2 years from date of manufacture.
■ 11. Cautions:
WARNING!
DO NOT TAKE INTERNALLY OR BREATH IN DUST. DO NOT EAT OR TAKE INTERNALLY. KEEP OUT OF THE REACH OF CHILDREN. Use with adequate ventilation. Wear NIOSH TC-84A approved dust particulate respirator, eye protecting goggles, and gloves when handling this product.
First Aid: Eyes — DO NOT RUB EYES. FLUSH IMMEDIATELY WITH WATER. Hold eyelids apart while flushing material out thoroughly with large amounts of water. Skin — Wash thoroughly with soap and water. Remove soiled clothing and footwear and wash before reuse. Inhalation — Move to fresh air. If symptoms develop or if ingested, get medical attention.
Wash thoroughly immediately after handling. Do not reuse empty container. Before using or handling, read the Material Safety Data Sheet and Warranty.
■ 12. Availability:
SOLACHROME Integral Coloring Treatment for High-SR Concrete is marketed internationally through strategically located dealers, and representatives. Scofield offers a complete line of engineered systems for coloring, texturing, and improving performance of architectural concrete. These include coloring admixtures, color hardeners, colored cementitious toppings, stains, curing compounds, sealers, coatings, repair products and texturing tools. Visit the Scofield website at www.scofield.com for further information. This product may be covered by one or more of the following patents: US 7,815,728; US 8,366,824; US 8,157,910, 8,632,631 or Patent Pending.
© L. M. Scofield Company 2017 – All rights reserved.
■ 13. Limited Warranty:
L. M. Scofield Company (Scofield) represents and warrants only that its products are of consistent quality and within manufacturing tolerances. NO OTHER ORAL OR WRITTEN REPRESENTATION OR STATEMENT OF ANY KIND, EXPRESS OR IMPLIED, NOW OR HEREAFTER MADE IS AUTHORIZED OR WARRANTED BY SCOFIELD, INCLUDING THOSE OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Liability for breach of contract, negligence, or on any other legal basis is limited to the lesser of refund or replacement of defective materials. SCOFIELD WILL NOT BE LIABLE FOR SPECIAL, INCIDENTAL OR CONSEQUENTIAL DAMAGES, INCLUDING FOR DELAYS OR LOST PROFITS. Communication of this warranty and its limitations to end users is not the responsibility of Scofield, but should be communicated by those in direct contract with the end user. Any claim regarding product defect must be received in writing within one year from the date of manufacture. No claim will be considered without such written notice or after the specified time interval. The end user shall determine the suitability of the products for the intended use, and assumes all risks and liability in connection therewith.
| SOLACHROME Color | SR Value with Gray Cement | SR Value with White Cement |
|---|---|---|
| SC4271 Quicksilver | 30 | 48 |
| SC4272 Cool Bimini | 32 | 68 |
| SC4273 Sago Palm | 30 | 46 |
| SC4274 Caribou | 29 | 46 |
| SC4275 Moonstone | 32 | 53 |
| SC4276 Cayman Dream | 34 | 57 |
| SC4277 Laguna Beach | 31 | 56 |
| SC4278 Amethyst Ice | 31 | 54 |
| SC4279 Rose Quartz | 28 | 51 |
| SC4280 Cool Brick | 28 | 47 |
| SC4281 Coco Bay | 27 | 48 |
| SC4282 Cool Canyon | 28 | 48 |
| SC4284 Cool Taupe | 27 | 48 |
Page 2 of 3
Suggested Short Form Specification for Coloring Concrete Flatwork:
All concrete designated as colored in the plans and specifications shall contain the proper portion of SOLACHROME ™ Integral Coloring Treatment for High-SR Concrete, color designation _____________ , manufactured by L. M. Scofield Company, (800) 800-9900, Los Angeles, CA, (323) 720-3020 and Atlanta, GA, (770) 920-6000. The color-conditioned admixture shall meet the requirements of ASTM C 979 and ACI 303.1. All SOLACHROME treated concrete shall be cured and sealed with SCOFIELD® Cureseal-W™ Concrete Curing Compound and Sealer.
SCOFIELD PRODUCTS ARE INTENDED FOR PROFESSIONAL USE ONLY
L. M. Scofield Company customer service: 1 800 800 9900
Western Headquarters: 6533 Bandini Blvd., Los Angeles, CA 90040voice: 323 720 3000fax: 323 720 3030
Eastern Headquarters: 4155 Scofield Road, Douglasville, GA 30134voice: 770 920 6000fax: 770 920 6060
Page 3 of 3
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Fabrication of Cylindrical Lenses by Combining Ultrashort Pulsed Laser and CO2 Laser
Simon Schwarz * and Ralf Hellmann
*
*Applied Laser and Photonics Group, University of Applied Sciences,
63743 Aschaffenburg, Germany E-mail: firstname.lastname@example.org
We report on the fabrication of cylindrical lenses by combining an ultrashort pulsed laser ablation process with a subsequent CO2 laser polishing step. Firstly, a 1030 nm ultrashort pulsed laser is used to ablate a designed geometry in fused silica in a layer-by-layer process. In a comprehensive parameter study, we find that the ablation height depends exponentially on the pulse-to-pulse distance and linear on both laser fluence and layer repetitions. This facilitates to precisely choose the step height of the multi-layer ablation process to about 1 µm, which allows maintaining a high contour accuracy for fabricating and shaping 3D objects. In a subsequent step, a defocused 10.6 µm CO2 laser is applied to solely polish the rough surface of the 3D objects, i.e. the CO2 laser does not shape the finally targeted object but rather fuses and thereby smoothens the surface. Microscopic measurements reveal an improvement of the surface roughness of about 0.6 µm after the ablation process by two orders of magnitude after the CO2 laser smoothing process. The functionality of thus fabricated cylindrical lenses is tested using a HeNe laser. A typical beam profile for cylindrical lenses, which remarkably corresponds to the intensity profile of a Gaussian beam, is observed. This photonic process chain paves the way towards an all optical 3D micro-shaping technology with a high degree of geometrical freedom for medium sized volume production to single component rapid prototyping.
Keywords: ultrashort pulsed laser, CO2 laser, laser ablation, laser polishing, fused silica, optic fab-
rication
DOI: 10.2961/jlmn.2017.02.0005
1. Introduction
In this contribution, we expand these all laser based approaches by differently employing the ultrashort pulsed laser for sole geometry definition and a defocussed CO2 laser for subsequent sole polishing. We exemplify the potential of this new approach, by fabricating cylindrical lenses and prove their optical imaging function by measuring a Helium-Neon laser with a CCD camera.
arrays. In a first step, the ultrashort pulsed laser generates geometrical preforms that are subsequently transformed into the desired optical component geometry. The required curvatures are introduced to the preforms by a focussed CO2 laser induced melting, which is accompanied by a surface polishing. Contrary to this approach, Heidrich et al. [9] used a CO2 laser to generate and polish the optical compound in a two-step process and, finally, employ an ultrashort pulsed laser in a third step to correct minor form deviations.
Bliedtner et al. [12] used an ultrashort pulsed laser to generate optical freeforms in different glass substrates, yet without generating optical quality surfaces. Pan et al. [1] fabricated micro-lens arrays using an ultrashort pulsed laser with a subsequent wet etching process. Choi et al. [2] combined a femtosecond and a CO2 laser to create micro optics and highlight its functionality by demonstrating micro lens
Opposite to Ref. 2, our new approach offers a higher degree of freedom in the generation of complex geometries and leads to a remarkably lower surface roughness. In addition, using a defocussed CO2 laser for polishing features the potential of a higher process efficiency. As compared to Ref. 9, the ability for tighter focussing of the ultrashort pulsed laser for the ablation step as compared to the CO2 laser offers the possibility to generate smaller structures with higher contour accuracy. Moreover, a third process step for form correction is not required, i.e. by reducing the number of process step again process efficiency is increased.
Micro-optical elements are widely used in numerous applications such as, e.g., optical communication, microopto-electro-mechanical systems, lab-on-a-chip devices and sensor applications [1-3]. Various microsystem technology based approaches are available for the fabrication of micro-optics on an industrial scale [4-6]. Recently, laser based processes such as laser direct writing [3, 7, 8] or a combination of laser and etching [1] as well as a combination of different lasers [2, 9] have also been reported. In particular, ultrashort pulsed lasers have gained interest in processing transparent materials. During the irradiation by means of the high intensity ultrashort pulsed laser, electrons are excited from the valance to the conduction band due to a) multi-photon absorption and b) avalanche ionization, which are further heated by the incident laser radiation, before the energy is transferred from the excited electrons to the lattice [10, 11]. This abrupt energy transfer causes ablation of the material without any heat transfer to the surrounding material, offering great advantage for contactless and thus gentle and wear-free optical fabrication with freely selectable geometry.
2. Experiment
The CO2 laser (Infinity, Iradion) is specified by an output power of 60 W and a beam diameter of 5 mm (1/e²) measured with a beam profiler (FocusMonitor, Primes), before focusing with a lens having a focal length of about 80 mm. Yet, for the smoothening step the CO2 laser is defocussed to ensure a flattish and homogeneous intensity across a larger area of ablated lines. The scanning strategy is also a hatch of parallel lines, realized by flying optics.
Two laser systems form the basis of the proposed new all optical 3D micro-shaping technology. An ultrashort pulsed laser initially forms the desired 3D geometry by laser ablation, whereas a CO2 laser subsequently fuses and thereby smoothens the generated surface. The Yb:KGW ultrashort pulsed laser (Pharos, Light Conversion) has a pulse duration of 222 fs (FWHM), an emission wavelength of 1030 nm, and a repetition rate of 50 kHz. Combined with a Galvo scanner (RTA AR800 2G+, Newson) mounted on an adjustable z-stage, the laser spot is scanned across the specimens surface. The f-θ-lens with a focal length of 100 mm leads to a focal beam diameter of 31 µm (1/e²) as being measured with a high resolution CCD camera (UI-1490SEM-GL, IDS). For the ablation process, a scanning strategy of hatched layers is used. For the generation of the 3D objects, the z-axis is adjusted after each layer to maintain the focal position on the respective surface.
To exemplarily demonstrate the potential of the proposed 3D micro-shaping approach, polished fused silica (GVB solutions in glass) is chosen due to its wide-ranging usage for optical components [13, 14]. A laser scanning microscope (LSM VK-X200, Keyence) is used to analyse the generated 3D structures and characterize the surface roughness.
3. Results and Discussion
To get acquainted with the ablation process and to determine the achievable ablation step height, we perform a comprehensive parameter study varying the applied laser fluence, pulse-to-pulse distance during scanning and the number of ablated layers, respectively. To ensure a comparable surface morphology during these experiments and the layer wise structuring process, particularly for the first ablated layer, we initially roughen the polished fused silica specimen. For this roughening, a fluence of 2.38 J/cm² and a pulse-to-pulse distance of 4 µm are used in both x and y
Figure 1a) shows the influence of the pulse-to-pulse distance on the ablated step height (generated after the aforementioned pre-roughening), while the fluence is kept to 2.38 J/cm². For this variation, the scanning speed and the line distance of the hatch was varied while the laser repetition rate remains constant. Apparently, the step height decreases exponentially with increasing pulse-to-pulse distance from 25.06 µm to 0.59 µm. A similar behavior has previously been reported by Bliedtner et al. during ablation of borosilicate glass [12]. A variation of the applied fluence between 1.75 J/cm² and 4.83 J/cm² (pulse-to-pulse distance of 4 µm) reveals a linear increase of the ablated step height between 5.97 µm and 15.12 µm with higher fluence leading to larger step heights (Fig. 1b)).
To generate an optical component with a total height of 300 µm requires the ablation of about 300 such layers. In order to maintain a stable ablation process with constant step heights throughout all layers, we have investigated the step height increase with the number of layer repetitions for the selected parameter combination of laser fluence 2.38 J/cm² and pulse-to-pulse distance of 12 µm. Figure 1c) depicts the increase of the step height for up to 20 layer repetitions. Also the accumulated step height of the layerwise material removal increases linearly with the number of layers with an average step height of 0.96 µm per layer (gradient of figure 1c)). Thus, the 3D micro-shaping approach can be well controlled by the number of repetitions. Such a linear dependence of the ablation depth allowed also the precise structuring of silicon carbide [15], aluminum nitride and alumina [16].
3.1 Ultrashort pulsed laser ablation
To demonstrate the abilities of the ablation process, a
direction, leading to a surface roughness of Ra = 0.63 µm. Please note, this roughening step does not contribute to the subsequent 3D structuring process and can be omitted if unpolished glasses are structured.
In order to generate surfaces with the ultrashort pulsed laser close to the desired geometry with high surface accuracy and smoothest transitions between adjacent ablation steps, we select a small step height of about 1 µm per ablation layer. This can be achieved by either using low fluence or high pulse-to-pulse distance. To guarantee high process efficiency, a higher pulse-to-pulse distance is preferable. As a compromise of accuracy and process time, a fluence of 2.38 J/cm² and a pulse-to-pulse distance of 12 µm are chosen, accordingly resulting in a step height of about 1.16 µm (Fig. 1a)).
cylindrical lens having a radius of 2 mm and a height of 300 µm is generated. For this purpose a negative of the lens is constructed with a CAD program and sliced into individual layers having a layer-to-layer distance of 0.96 µm. Figure 2a) depicts a LSM image of the thus generated component using the afore determined parameters (pulse-to-pulse distance 12 µm and fluence 2.38 J/cm²), representing the geometric form of a cylindrical lens with an excellent agreement of the achieved component height of 300 µm and overall curvature. This is highlighted in figure 2b), comparing a cross section of the generated cylindrical lens (LSM measurement, black line in Fig. 2b)) and a drawn circle with a radius of 2 mm.
The high shape accuracy while the layer-by-layer ablation process with step heights of about 1 µm offers the possibility for medium sized volume production with flat but also spherical geometries. Even complex shapes like freeform surfaces for optical use can be manufactured with this 3D micro-shaping process, overcoming conventional processing methods.
The surface roughness after the entire ablation step is determined on top of the cylindrical lens to Ra = 0.63 µm, which is about a factor of 7 superior to the roughness reported after femtosecond laser fabrication in Ref. 2. However, even this low Ra does not meet the surface requirements for optical components and excludes optical functionality. Consequently, a following polishing step is mandatory.
3.2 CO2 laser polishing
In order to achieve optical surface quality, a CO2 laser is used to polish the afore fabricated fused silica cylindrical lens. According to Ref. 9 and 17, we employed defocused laser polishing, which has been proven to be preferential for achieving smooth fused silica surfaces. By analyzing the effects of defocusing distance (difference between nominal focal length and set distance between focusing optics and specimen), scanning speed and laser power, we optimize the contour accuracy and surface roughness. As a result, we find for our machine setup a preferential process parameter set of 60 W laser power modulated with 13.3 Hz, 20.3 mm/min translation speed, and a hatch distance of 250 µm, respectively.
In terms of contour accuracy, it appears that the ablated sharp edge at the rim of the unpolished cylindrical lens (cf. left inset in Fig. 3) is flattened. Such a rounding during laser smoothing has also been observed by Wlodarczyk et al. [18], due to the transfer of the molten viscous layer from the top to the bottom of the structure. Against this background, the previously described reduced height can not be attributed to this behaviour because for df = 142 mm, no rounding is observed, while the total height is also reduced. In general, we find that this effect can be avoided by a further defocusing, yet with the drawback of a higher surface roughness, in turn limiting applicability in optics. For example, for df = 142 mm we maintain the original ablated contour (blue line in Fig. 3), however with Ra increasing to 54 nm at the top of the lens.
Figure 3 compares cross-sections of thus polished and unpolished cylindrical lenses for a distances of defocusing df of 127 mm (red line) and df of 142 mm (blue line). The resulting spot diameters increase to 8 mm (1/e²) for the 127 mm defocusing and 9 mm (1/e²) for the 142 mm defocusing. As a result of the laser polishing the overall height of the fabricated lens is reduced by about 5 µm, which we attribute to a partial evaporation of the material by excess energy deposition beyond the liquefaction. Nonetheless, the surface roughness is significantly reduced to, e.g., Ra = 6 nm at the top of the lens for df = 127 mm.
Fig. 3 LSFM cross-sections of generated 3D structures of an unpolished and two polished cylindrical lenses, enlargements highlight the form deviation.
3.3 Testing the fabricated lenses
To assess the functionality and quality of the finished optical component, a HeNe laser (HRR005S, Thorlabs) having a wavelength of 632.8 nm is imaged by the cylindrical lens with the beam profile being measured with a CCD camera (BC106N-VIS/M, Thorlabs). Figure 4 compares the beam profile of the HeNe laser without the lens a) and the resulting profile measured beyond the focal length of the cylindrical lens b) at the same position in the optical pass. We highlight the excellent imaging properties, namely the good consistency with the Gaussian beam profiles (red lines in x- and y-direction) and the homogeneity in the elliptically shaped beam profile of the fabricated optical component. The diameter of the HeNe laser at the entrance of the cylindrical lens measured to be about 725 µm (1/e²).
a) b)
4. Conclusion
We have demonstrated and optimized a new all laser based 3D micro-shaping process chain being capable to fabricate freeform optical components. Combining femtosecond laser ablation for basic geometry definition and subsequent CO2 laser polishing high quality optical components can be realized. The potential of this approach is exemplarily highlighted by generating a fused silica cylindrical lens with a high degree of contour accuracy after the ultrashort pulsed laser ablation process and a surface roughness as low as 6 nm after the subsequent polishing process. The functionality of the optical component is demonstrated by its basic imaging properties. Due to its high degree of geometrical freedom, form accuracy and optical quality, this 3D micro-shaping process chain has potentials for both individualized rapid prototyping of single components and midsized volume production.
References
[2] H. K. Choi, J. Ryu, C. Kim, Y. C. Noh, I. B. Sohn, and J. T. Kim: J. Laser Micro Nanoengin. 11 (2016), 341
[1] A. Pan, B. Gao, T. Chen, J. Si, C. Li, F. Chen, and X. Hou: Opt. Express 22 (2014), 15245
[3] C. H. Lin, L. Jiang, Y. H. Chai, H. Xiao, S. J. Chen, and H.-L. Tsai: Appl. Phys. A 97 (2009), 751
[5] P. Nussbaum, R. Völkel, H. P. Herzig, M. Eisner, and S. Haselbeck: Pure Appl. Opt. 6 (1997), 617
[4] M. B. Stern, and T. R. Jay: Opt. Eng. 33 (1994), 3547
[6] D. L. MacFarlane, V. Narayan, J. A. Tatum, W. R. Cox, T. Chen, and D. J. Hayes: IEEE Photon. Technol. Lett. 6 (1994), 1112
[7] Y. L. Zhang, Q. D. Chen, H. Xia, and H. B. Sun: Nano Today 5 (2010), 435
[8] D. Nieto, J. Arines, C. Gomez-Reino, G. M. O'Connor, and M. T. Flores-Arias: J. Appl. Phys. 110 (2011), 023108
[10] B. C. Stuart, M. D. Feit, A. M. Rubenchik, B. W. Shore, and M. D. Perry: Phys. Rev. Lett. 74 (1995), 2248
[9] S. Heidrich, E. Willenborg, and A. Richmann: Phys. Proc. 12 (2011), 519
[11] M. Lenzner, J. Krüger, S. Sartania, Z. Cheng, C. Spielmann, G. Mourou, W. Kautek, and F. Krausz: Phys. Rev. Lett. 18 (1998), 4076
Friedrich, and J. Giesecke: LTJ 5 (2016), 46
[12] J. Bliedtner, C. Schindler, M. Seiler, S. Wächter, M.
[13] H. Bach, and N. Neuroth: The Properties of Optical Glass, Springer Science & Business Media (2012)
[15] B. Adelmann, A. Hürner, G. L. Roth and R. Hellmann: J. Laser Micro Nanoengin. 10 (2015), 190
[14] M. J. Weber: Handbook of Optical Materials, CRC Press (2002)
[16] F. Preusch, B. Adelmann and R. Hellmann: Micromachines 5 (2014), 1051
[18] K. L. Wlodarczyk, E. Mendez, H. J. Baker, R. McBride, and D. R. Hall: Appl. Opt. 49 (2010), 1997
[17] C. Weingarten, A. Schmickler, E. Willenborg, K. Wissenbach, and R. Poprawe: J. of Laser App. 29 (2017), 011702
(Received: April 3, 2017, Accepted: June 27, 2017)
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Our Lady of Good Counsel
137 West Upper Ferry Road West Trenton, New Jersey 08628
26TH SUNDAY IN ORDINARY TIME OCTOBER 1, 2017
Rev. Michael Hall, Pastor Rev. Jason Parzynski, in Residence Deacon John Bonner Deacon Steven Szmutko Brenda O'Callaghan, CRE
MASSES Weekdays:
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Saturday Vigil
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8:30 AM & 10:30 AM
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Saturdays, 4:00 to 4:30 PM
ADORATION OF THE BLESSED SACRAMENT
Mondays, 8:00 AM to 7:00 PM
INFANT BAPTISM Baptisms are celebrated on Sundays at Noon with prior arrangements made at least three months in advance with the Infant Baptism Ministry. Parents are required to attend a parish preparation program. Godparents must be practicing Catholics in good standing with their local parish. See the ministry brochure in parish Literature Racks.
MARRIAGES Arrangements should be made at least one year in advance. Couples are required to participate in a parish marriage preparation program and to attend a pre-marital conference sponsored by the Diocese. Weddings must be scheduled before 2:00 PM on Saturdays.
MINISTRY TO THE SICK To arrange for the spiritual AND HOMEBOUND needs of the homebound or sick, contact the Rectory Office and see the ministry brochure in parish Literature Racks. Urgent sick calls at any time.
REGISTRATION All parishioners should be registered. Please contact the Rectory Office when entering or leaving the parish.
Parish Ministries & Services
PARISH RECTORY & OFFICE
609 882 3277
E-mail:
Office Hours: 9:00 AM to 3:00 PM Fax: 609 882 4375
Monday thru Friday
Website: olgcc.net
email@example.com
RELIGIOUS EDUCATION
Brenda O'Callaghan, CRE
883 9005
E-mail: firstname.lastname@example.org
ADORATION OF THE BLESSED SACRAMENT
Rosalie Brenna
Deacon John
771 8288
DULT
A F
AITH
F
ORMATION
Deacon Steve
ONSOLATION
C
M
INISTRY
Deacon John
OME
H B
OUND
O
UT
Rectory Office
INFANT BAPTISM Mary Szmutko
NIGHTS OF
K
C
OLUMBUS
Gary Vanderbilt, Church Director
Mike Narcowich, Grand Knight
L
ITURGICAL
M
INISTERS
Rectory Office
USIC
M M
INISTRY
Deirdre Hindley, Organist
RCIA
Deacon Steve
ENIOR
S '
S
C
LUB
Dolores Sebasto, Vice President
Mary Pat Voorhees, President
OCIAL
S S
ERVICES
Dan Morocco
James Gambino
OUTH
Y M
INISTRY
Deacon John
Darlene Wilson
W
EB ASTER
M
Maryanne Garcia
EACH
R
883 1792
947 0587
771 8288
882 3277
847 0796
558 2450
882 8474
882 3277
882 3215
947 0587
570 290 2373
882 5085
818 1708
882 0906
882 2996
771 8288
908 371 1150
Schedule for the Week
MASSES & SERVICES
READERS
th
EXTRAORDINARY MINISTERS
th
Saturday, October 7
5:00 PM Ginny Evans, Butch Kramer, & Michael Manion
Sunday, October 8
th
8:30 AM Vickey Aneser, Laura Shea, & Thomas Voorhees
10:00 AM PreferredCare Visits: Claude LeGall
10:30 AM Michael Lake, Tony Jones, & Darlene Wilson
Monday, October 9
th
, Adoration is cancelled.
SENIOR'S CLUB NEWS
Twenty-three members were present at the September meeting. All enjoyed an informative lecture by Gino Malone from Consumer Affairs regarding how to protect ourselves from fraud and scammers.
Refreshments for the October 4 th meeting will be provided by Suzane Venceller, Mary Pat Voorhees, and Fran Zenchak.
We are already planning our Christmas luncheon that will be held on December 6 th at the Blooming Grove Inn.
Any Seniors interested in joining the Club are welcome. Please remember to bring a non-perishable item for the Club food pantry.
God is good; all the time; God is good.
Saturday, October 7
th
Helen Marie Dolton th
Mary Anne LeGall
5:00 PM
8:30 AM
5:00 PM
8:30 AM
Sunday, October 8
10:30 AM James Barker
ALTAR SERVERS
Saturday, October 7
th
Marshall Barrett th
Nora Shea & James Gummel
Sunday, October 8
10:30 AM Chris Corban
PARISH EVENTS
September 30
th
AM. Novenas follow morning Mass.
: Morning Mass takes place at 8:00
Reconciliation will take place at 4:00 PM.
all Church doors this weekend.
Right to Life Raffle ticket sales will take place at st
th
Fall Adult Faith Formation sessions begin in the
October 1: 26 Sunday in Ordinary Time
Church Hall at 6:00 PM.
The West Trenton Garden Club will meet in the Church Hall at 7:00 PM.
October 2 nd : Adoration of the Blessed Sacrament will take place from 8:00 AM to 7:00 PM. The Rectory-side door of the Church will be open.
October 3 rd : The Knights of Columbus Council 3756 will sponsor a social night at the Incarnation / St. James Church Center at 7:30 PM. Everyone is welcome.
October 7 th : Morning Mass takes place at 8:00 AM. Novenas follow morning Mass.
October 4 th : The Senior's Club will meet in the Church Hall at 11:00 AM.
Our Parish Annual Blessing of the Animals will take place in the Church Parking Lot after morning Mass at 9:00 AM. All pets should be leashed or in animal carriers.
October 8
Reconciliation will take place at 4:00 PM.
th th
Fall Adult Faith Formation sessions will take
: 27
Sunday in Ordinary Time place in the Church Hall at 6:00 PM.
CONTRIBUTIONS
Registered Parishioners Parishioners using envelopes Envelope Contributions Average Contribution Loose Cash Contributions for September 24 th
780 families 242 $5,061.00 $20.91 $677.00 $5,738.00
Announcements
PARISH NEWS
ENTERING THE KINGDOM OF HEAVEN
Right to Life Raffle Our parish will again host a Right to Life Raffle ticket sale at all church doors on this weekend. Volunteers are needed to sell tickets at Church doors. For more details, call Marge Stanford at 882 6555.
Parish Halloween Party On Friday, October 27 th our parish will hold its annual Halloween Party from 6:30 to 8:00 PM in the Church Hall. All children are welcome.
Annual Blessing of the Animals Next Saturday, our Parish Annual Blessing of the Animals will take place in the Church Parking Lot after morning Mass at 9:00 AM. All pets should be leashed or in animal carriers.
If any Confirmation students would like to help out, this is a great way to obtain community service hours. Snack donations such as cookies, cupcakes, chips and so forth are also needed. If anyone is able to donate a treat or to volunteer, please contact Joyce Christensen at 651 0466.
TCA Open House Trenton Catholic Academy is hosting an Open House on Thursday, October 12 th from 6:00 to 8:00 PM. Students will have the opportunity to tour our facilities, meet the teachers and ask questions about our academic programs, curriculum and extra-curricular activities. All interested families are invited to attend. For more information, contact Ms. Rogers in the Admissions Office at 586 3705, X119.
Villa Victoria Open House New Jersey's oldest Catholic all-girls will hold an Open House on October 21 st from I:00 to 3:00 PM. Scholarship tests for incoming 9 th grade girls will take place on November 4 th at 8:45 AM. Preregistration is required. For more information, call the Admissions Office at 862 1700, X419 or visit www.villavictoria.org.
WE PRAY FOR OUR SICK
Bob Arcaidipane, Sharron Birch, Mason Brown, Rosemarie Buker, Mary DeFrancesco, Raymond Dietrich, Richard Gervasoni, Nick Gregorio, Sherri Hanlon, Maria Hegyi, Rose Jacobs, Sally Maida, Joe Maloney, Karen McCarthy, Dolores Megyesy, Marie Muscente, Angelika Niranjan, Kalie Palmer, Dolores Saliola, Linda Solinski, Roy Toler, Gary Vanderbilt, & Laura Varone . . . and, all parishioners who are either sick or homebound.
To pray for a family member or friend, just contact the Rectory Office.
In the parable in the Gospel, Jesus is talking about entering the kingdom of heaven. In this parable, a father says to one of his sons, Go to work in my vineyard, Son; and that son says, NO! Then the father says to his other son, Go to work in my vineyard, Son! And that son says, YES! Which of these sons is the good son? Which one enters the kingdom of heaven?
But this is not what Jesus says. He says that the NO-saying son is the one who did the will of his father. He is the one who entered the kingdom of heaven, and not the YESsaying son. Why would Jesus say this? Well, the son who says YES to his father doesn't actually do what his father wants him to do. It is the NO-saying son who actually goes to work in his father's vineyard. And so here is the thing for us to notice. What the NOsaying son says is contrary to God's will. But what he does is in accordance with it. It is just the other way around with the YES-saying son. The words of the YES-saying son are obedient to God's will, but his life is lived in opposition to it.
You might sensibly enough think that it is the son who says YES to his father. What the NO-saying son says is contrary to God's will. But what he does is in accordance with it. After all, what could be worse than saying NO to God the Father? Who would think that rebellious NO-sayers could be pleasing to God? Who would suppose that they could enter the kingdom of heaven? And so it seems clear that the YES-sayers are the ones who will enter the kingdom of heaven and those wretched NO-sayers will wind up in the other place.
The words of the YES-saying son are empty. His life, not his words, tell the real truth about his relationship to his father. The truth is that the YES-saying son rejects God's will, however much acceptance there is in his words. And so the Psalm gives us the right prayer to go with this parable: Lord, teach us your ways! Our ways need to be God's ways. It is good if our words say YES to God. But what is crucial is that our lives say YES to God. Unless they do, our words are worthless.
Eleonore Stump,
0533olgc
Professor of Philosophy, SLU
He emptied himself, taking the form of a slave, coming in human likeness; and found human in appearance, he humbled himself.
Thus says the LORD: You say, "The LORD'S way is not fair!" Hear now, house of Israel: Is it my way that is unfair, or rather, are not your ways unfair? When someone virtuous turns away from virtue to commit iniquity, and dies, it is because of the iniquity he committed that he must die. But if he turns from the wickedness he has committed, if he does what is right and just, he shall preserve his life; since he has turned away from all the sins that he has committed, he shall surely live, he shall not die.
Reflection
26 TH SUNDAY IN ORDINARY TIME
The second reading, taken from Saint Paul's Letter to the Philippians, heard this weekend at the Sunday masses is one of my favorites from Sacred Scripture. It is a magnificent exhortation to humility and service as Saint Paul encourages others to emulate Christ.
Have in you the same attitude that is also in Christ Jesus, who though he was in the form of God, did not regard equality with God something to be grasped. Rather, he emptied himself, taking the form of a slave, coming in human likeness; and found human in appearance, he humbled himself, becoming obedient to the point of death, even death on a cross.
The Letter to the Philippians was most likely composed when Paul was imprisoned in Rome in 61-62 AD. Philippi was a city in northern Greece, Macedonia and was primarily populated by Gentiles. When Paul established the church there, it became the first Christian community to be established on the mainland of Europe. He had visited Philippi on several occasions and remained in close contact with them. The letter, believed by some scholars to be a combination of several letters written within a short time of each other, encourages the followers of Christ to model themselves after Our Lord, whose perfect love, compassion, humility and service culminated in his sacrifice on Calvary. By that sacrifice, Christ, who emptied himself, was revealed in all his divinity:
Because of this, God greatly exalted him and bestowed on him the name which is above every name, that in the name of Jesus ever knee should bend, of those in heaven and on earth and under the earth, and every tongue confess that Jesus Christ is Lord, to the glory of God the Father.
These beautiful words have a special meaning to me as they are often recited at evening prayer in the Liturgy of the Hours. The hymn reminds us that we must adopt the attitude of Christ if we are to become his disciples. This oneness in faith is no more evident than when we partake in the Sacred Liturgy, the celebration of the Holy Eucharist. As Deacon and Minister of the Cup at Mass, I pray these words at the preparation of the chalice: By the mystery of this water and wine may we come to share in the divinity of Christ, who humbled himself to share in our humanity. I do not proclaim these words loudly; rather, I pray them softly . . . but each time I say them, I am reminded that, even in my human weakness, through the great sacrifice of Christ, the Messiah, the Son of God, I may, in imitation of him attain eternal life.
The words remind us that, while Our Lord calls us to pick up our cross and follow him, he asks for nothing from us that he himself did not experience. It is a great prayer, to be offered both aloud and in the silence of our hearts. For those who struggle with fear, doubt, and even despair, I encourage you to pray this reading and allow this meditative hymn to embrace your hearts and help to restore the peace and serenity that comes from our faith in the Lord.
Deacon Steve Szmutko
Announcements
|
Legal notice
This publication of the European Monitoring Centre for Drugs and Drug Addiction (EMCDDA) and the European School Survey Project on Alcohol and Other Drugs (ESPAD) is protected by copyright. The EMCDDA and ESPAD accept no responsibility or liability for any consequences arising from the use of the data contained in this document. The contents of this publication do not necessarily reflect the official opinions of the partners of the EMCDDA and ESPAD, any EU Member State or any agency or institution of the European Union.
Luxembourg: Publications Office of the European Union, 2021
Print ISBN 978-92-9497-589-8 doi:10.2810/464889 TD-02-21-506-EN-C
PDF ISBN 978-92-9497-587-4 doi:10.2810/046827 TD-02-21-506-EN-N
© European Monitoring Centre for Drugs and Drug Addiction, 2021 © European School Survey Project on Alcohol and Other Drugs, 2021
Reproduction is authorised provided the source is acknowledged.
Recommended citation: ESPAD Group (2021), ESPAD 2019 Methodology: Methodology of the 2019 European School Survey Project on Alcohol and other Drugs, EMCDDA Joint Publications, Publications Office of the European Union, Luxembourg.
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I
Contents
ESPAD 2019 Methodology
1
2
Authors
With contributions from
* This designation is without prejudice to positions on status, and is in line with UNSCR 1244/1999 and the ICJ Opinion on the Kosovo declaration of independence.
ESPAD 2019 Methodology
3
Introduction
The European School Survey Project on Alcohol and Other Drugs (ESPAD) has been collecting comparable data on risk behaviours and substance use among adolescent students for almost 25 years, in order to monitor trends in and between countries.
The study is conducted in each participating country as a school survey for students reaching the age of 16 years during the year of the data collection, and following a common methodology. A handbook describing the methodology and reporting procedures drives the implementation of the study in the participating countries, thus facilitating the collection of comprehensive and comparable data.
ESPAD surveys have been performed every 4 years since 1995. The seventh round of data collection was performed in 2019, and therefore results covering a 24-year period are now available. In the past 4 years, thanks to huge efforts on the part of both the coordination team and ESPAD principal investigators (PIs), all ESPAD data for 1995–2019 have been collated and are now available in an integrated data set called the ESPAD Trend Database.
Until 2011, the results and methodological information of each round of ESPAD data collection were presented in an extensive report. Following the example of 2015, in 2019 the main findings were presented in a shorter report (ESPAD Group, 2020a). A comprehensive set of additional result tables was presented separately, in both pdf (ESPAD Group, 2020b) and editable formats. Furthermore, this report provided all the relevant methodological information concerning the survey wave. All these materials are available on the ESPAD website (www.espad.org), together with the ESPAD master questionnaires for all years.
4
Countries participating in the 1995–2019 ESPAD data collection
In the seventh study wave, conducted in 2019, a total of 35 countries took part (Austria, Bulgaria, Croatia, Cyprus, Czechia, Denmark, Estonia, the Faroes, Finland, France, Georgia, Germany, Greece, Hungary, Iceland, Ireland, Italy, Kosovo (under United Nations Security Council Resolution 1244), Latvia, Lithuania, Malta, Monaco, Montenegro, the Netherlands, North Macedonia, Norway, Poland, Portugal, Romania, Serbia, Slovakia, Slovenia, Spain, Sweden and Ukraine). Spain participated in the project for the first time in 2019. National research teams, as well as funding agencies and organisations that provide support for ESPAD 2019, are listed in the acknowledgements in the annex. The 1995 ESPAD data collection covered 23 countries, and the report also included data from three more European countries with similar data (Hibell et al., 1997). In 1999, data were collected in 30 countries (Hibell et al., 2000), and in 2003 the number had increased to 35 (Hibell et al., 2004). The 2007 report also included 35 countries (Hibell et al., 2009), and five additional countries collected ESPAD data in 2008. The number of countries that contributed results to the 2011 report was 36 (Hibell et al., 2012), and three more countries collected data in the autumn of 2011; these data were presented in a digital supplement (Hibell and Guttormsson, 2013). The 2015 data collection covered 35 countries, and the report also included data from two non-ESPAD countries (ESPAD Group, 2016a).
In total, 49 countries (or entities) have participated in at least one of the data collection waves (see Table 1). Twenty-one countries have collected data in all seven consecutive waves.
Table 1. Countries participating in the 1995–2019 ESPAD data collection
ESPAD 2019 Methodology
5
( a ) Data collected in the autumn.
(
b
) Data collected in the previous autumn.
( c ) Data collected in spring 2008.
( d ) Data collected in spring 2018. ( e ) Data collected but not delivered.
NB: FBiH, Federation of Bosnia and Herzegovina; RS, Republika Srpska.
6
ESPAD 2019 reporting
Indicators used
Testing of statistical significance
In the 2019 ESPAD report, all percentages were calculated on the basis of valid responses for each variable. Therefore, non-responses were deducted from the denominator. Internal non-response rates (for each individual question) were given separately in the results tables.
In addition to providing country estimates, all the results tables and graphs provide an ESPAD average, which makes it possible to compare countries not only with each other but also with an average European value. The ESPAD average, based on all the participating countries, is computed as a simple 'average of averages', which in practice involves assigning each country the same weighting of 1. This means that each country influences the average to the same extent, regardless of whether it is a small or a large country. There are other methods that could be used that are currently being discussed, for example taking account of the size of the target population in each participating country (weighted averages).
Since ESPAD averages calculated as a simple 'average of averages' have been used in all previous ESPAD reports, this practice has been followed in presenting the 2019 data. However, in the near future, a methodology working group will analyse the different options available and choose the most effective one.
ESPAD 2019 Methodology
In the 2019 ESPAD report, gender differences in selected indicators were tested using either simple linear regression for quasi-continuous frequency measures or logistic regression for prevalence, with gender as the only predictor. A 95 % confidence level was used to test statistical significance.
Trends for selected indicators were calculated using the 1995–2019 ESPAD Trend Database, which includes data from all of the national survey waves since the inception of ESPAD. Country-specific temporal trends were estimated based on the 1995–2019 ESPAD Trend Database using analysis of variance to test for significant changes, with the survey year as the independent variable in the model. The test was carried out only for countries with at least three valid data points for 1995–2019. Post hoc tests (Tukey or Games-Howell, depending on whether or not the variances were homogeneous) were used to assess which years were responsible for changes in prevalence. In the 2019 ESPAD report, national trends were illustrated graphically, with statistically significant decreases between successive surveys indicated in green, statistically significant increases in red and unchanged situations in yellow.
Some countries did not use a sample but instead included all students in the survey. Although it can be argued that testing for significance in such a case is unnecessary, for conformity reasons it was decided that it would be done anyway.
7
Methodological considerations in relation to ESPAD 2019
Since its inception, the major objective of ESPAD has been to create a cross-sectional survey that, taking account of the specificities of the national contexts, uses a common methodology in order to make the data comparable between countries and across years. This mainly means basing the implementation of the survey in each country on standardised procedures, including with regard to the target population, the questionnaire, the sampling procedure, the way in which data are collected and data cleaning methods of national databases (e.g. missing values, imputation). The common methodological guidelines for each survey wave are provided in the ESPAD handbook for all participating countries. Besides providing an overview of different methodological aspects related to the data collection, the ESPAD methodology reports, produced to describe the 2015 and 2019 data collections, end with a short summary of the most important methodological considerations in relation to the data quality in each country. Therefore, the 2019 survey wave took into account and tried to address the methodological challenges faced by each country in the 2015 data collection (ESPAD Group, 2016b) in order to increase the quality of the study. The information provided in this text is based on the results of the student questionnaire, classroom reports filled in by the survey leaders and the standardised country reports provided by each national team.
Use of school surveys
Knowledge of levels of alcohol and drug use can be obtained in different ways, depending on the main point of interest. In many countries, household surveys are conducted to measure substance use habits among the general population. School surveys are also often performed, either as a complement to other investigations or as the only investigative measure.
One problem with surveys is that they usually fail to reach some segments of the population, such as problematic users, homeless people or school dropouts. School dropouts are a group of young people who are vulnerable to substance use.
The main rationale for carrying out school surveys is that students are at an age when onset of the use of different substances is likely to occur, and its monitoring is therefore
8
important. Another reason is ease of access: students, by definition, are to be found in the school system, which reduces the cost of locating and reaching them. Yet another advantage is that the response rates are usually high. It is unusual for students who are present in the classroom to refuse to take part in surveys.
When students are the target group of a survey, using groupadministered anonymous questionnaires in a classroom setting, in which data are collected under the same conditions as a test, is a well-accepted method. Although it is true that experiences of using school surveys to collect information on substance use may differ across countries, there is usually no other realistic way of collecting data from students than by administering questionnaires to a group in a school, usually in a classroom.
Cultural context
The standardisation of survey methodology is the cornerstone of ESPAD. However, it should be stressed that standardisation alone does not ensure that data are directly comparable between countries. It is not possible to control for everything, and indeed some influences are not even possible to pinpoint. The cultural contexts in which the students responded vary, and formally identical measures may have different meanings in different contexts. As part of the preparations for the 1999 ESPAD data collection exercise, a methodological study was conducted to better ascertain the role of cultural context in different countries (Hibell et al., 2000). Data were collected in countries in different parts of Europe: two northern European countries (Denmark and Sweden), two Mediterranean countries (Cyprus and Malta) and three countries in central and eastern Europe (Lithuania, Slovakia and Ukraine). The study showed that both the level of reliability and the level of validity were high in all seven countries, even though there were some minor differences. This indicated that the influence of the cultural context seemed to be rather limited in these seven countries, but even so it is important to keep this aspect in mind when comparing results from a large number of countries.
One of the important long-term goals of ESPAD is to track changes in adolescent substance use over time. Although cultural context may affect the validity of responses to
formally standardised measures, changes in such responses over time may be relatively less affected by the cultural context (which can be expected to be reasonably stable over time in a given country). In other words, even if the proportions of adolescents using a particular substance might not be fully comparable between two countries, it is still possible to compare those countries with regard to the extent of increases or decreases over time in those proportions (trends).
Questionnaire changes
To keep up with the emergence of new risk behaviours among young people throughout Europe, the ESPAD questionnaire is constantly adapted to include new topics while maintaining a set of core questions to track key long-term trends. For each round of data collection, some changes were made to the master questionnaire to take account of realities that did not exist in the past.
In 2019, new core sections were added on the use of electronic nicotine delivery systems, social media and gaming, and some other sections were expanded to investigate specific topics more thoroughly. Specifically, following the emergence of non-controlled drugs on the European drugs market, the questionnaire included new specific questions to investigate the use of new psychoactive substances (NPS). Moreover, new questions about gambling for money were added. Finally, screening instruments were included to assess the riskier patterns of cannabis use and money gambling, as well as self-perceived problems with the use of social media and gaming, based on the recognition that students who engage in these behaviours have different levels of risk.
Questions about problems experienced during the past 12 months that occurred because of the student's or someone else's drinking were partly excluded and partly changed to optional questions.
Lastly, the number of answer options for questions on the frequency of use of illegal substances other than cannabis was reduced to 3 (0, 1–2, 3 or more occasions).
In 2015, questions about harm from other people's drinking, use of NPS, money gambling and internet use were added to the core section of the questionnaire. To make room, questions related to alcohol purchases, drinking locations and expected consequences of alcohol consumption were removed. Another change that occurred was that the questions on use of amphetamines, cocaine and crack were removed from the list of various illicit substances used and introduced as separate questions. In addition, a separate question on methamphetamines was introduced. In 2007,
ESPAD 2019 Methodology
several structural changes were made to the questionnaire, and for some of the substance use measures specific questions were altered. In order to evaluate the comparability of estimates based on the old and new versions of the questionnaire, a methodological study based on a split-half methodology was conducted in 2006 in eight countries (Hibell and Bjarnason, 2008). Overall, it was found that the changes to the instrument did not affect the key indicators used to track changes in adolescent substance use over time. The estimates that turned out to have been significantly affected by the changes were primarily those that were based on problematic measures and had therefore been purposely changed in order to obtain better estimates. They included measures of the availability of different substances, the frequency of intoxication, the amount of alcohol consumed during the most recent drinking day and spirit consumption during the past 30 days. For these variables, comparisons thus cannot be made with data from 1995– 2003, which is indicated in the relevant tables. Please refer to the previous ESPAD reports to find out more about historical questionnaire changes. There was no such split-half study performed in relation to the changes to the 2015 and 2019 questionnaires. It could, however, be stated that the changes made in the master questionnaire led to changes in the numbers of core items, from 173 in 2011 to 213 in 2015 and 179 in 2019. All master ESPAD questionnaires from 1995 to 2019 are available online (http://www.espad.org).
Ethical aspects
In recent years, at both European and country level, new regulations have been approved introducing new and more restrictive ethical rules to protect personal data, and some of them apply to research activities. Differences still exist at national level, thus requiring some ESPAD PIs to obtain the approval of an ethics committee or the consent of parents for the implementation of the study, whereas in some other countries this is not the case. Moreover, some countries that were interested in ESPAD could not participate because of several constraints related to the lack of support from policymakers (e.g. Albania and Russia).
According to Table 2, the approval of an ethics committee was asked for and obtained in 22 countries in 2019.
The ESPAD guidelines emphasise that ESPAD surveys should be confidential and anonymous. It is also important for students to be aware that answering the questionnaire is voluntary. In addition, it is the responsibility of each research team to comply with all national laws, regulations and guidelines concerning research ethics. According to Table 2, all countries stated that they followed their data protection legislation when collecting the data.
9
In 24 countries, it was necessary to obtain some form of parental consent. Passive consent was usually sufficient, but for six countries active parental consent was required, for one country active consent was used in some schools, and for three countries both active and passive consent were needed, depending on the schools' requirements. According to Table 3, 1.4 % (range: 0.0–4.7 %) of the students could not take part in the study because of parental refusal in countries where only passive consent was needed.
In Cyprus, Georgia, Germany, Greece, Portugal and Romania, active parental consent was demanded, which on average seemed to be correlated with refusal rates. On average, 1.6 % (0.0–12 %) of the students present in the classrooms refused to take part in the survey.
Table 2. Ethical aspects (ESPAD 2019)
10
Table 3. Refusals, discarded questionnaires and number of valid questionnaires for students born in 2003 (ESPAD 2019)
ESPAD 2019 Methodology
11
Data cleaning
Since 2007, the ESPAD national databases have been subject to a central cleaning process, with raw national data delivered and merged into a joint database and thereafter cleaned by the ESPAD coordination team. This improves the comparability of data. Before the central cleaning, national research teams have the opportunity to highlight, but not to discard, any questionnaires that they consider of bad quality. Those questionnaires are assigned a special code and are included in the national data sets sent for centralised data cleaning. It has previously been concluded that the shift to a standardised common cleaning approach did not result in any major problems with comparability of data from previous ESPAD surveys, even though there might conceivably have been a minor effect on low-prevalence (about 1 %) behaviours (Hibell et al., 2012). Only students reaching the age of 16 years during the year of data collection are considered for inclusion in the ESPAD data set (those cases in which the year of birth is missing are excluded). The standard cleaning procedure performed on the ESPAD data set involves two phases: the logical substitution of missing values and the deletion of unusable cases. In 2019, as in previous years, logical substitution of missing values was performed in a rather conservative way. In cases in which students indicated that they had never used a specific substance and did not respond to other questions about such use, any missing values were substituted with no use for that particular substance. However, no substitutions were made if any contradictory indications of use were reported. All cases in which information about gender was missing were then excluded from the database. The other major reason for questionnaire exclusion was poor data quality. All questionnaires with responses to less than half of the core items were discarded, as were all questionnaires in which the respondent appeared to have followed patterns involving repeated marking of extreme values.
Across all ESPAD countries, an average of 1.3 % (0.1–4.3 %) of the questionnaires were excluded because of poor data quality or missing information on gender (Table 3). Relatively large proportions of the questionnaires from Cyprus and Sweden were excluded (4.2 % and 4.3 %, respectively). In the case of Sweden, this was primarily due to the question of gender, as Sweden had a third option: 'Other gender identity'.
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Just over half of the countries used this opportunity to indicate questionnaires considered of low quality. On average, 46 % of those questionnaires were later removed in the central cleaning process.
Table 4 shows the impact on the results due to the discarding of low-quality questionnaires for eight different measures of lifetime substance use, including the fake drug 'relevin' (countries may use another name, instead of relevin, for the dummy drug if there is a risk that the students may confuse it with a national drug street name for any existing substance). For seven measures, the prevalence rates were reduced. This reduction was, however, very limited and ranged between 0.0 % and 1.1 %. Greece, Monaco and Bulgaria are the three countries where the discarding of questionnaires had the most visible impact in terms of percentage points. According to Table 3, reported lifetime relevin use dropped by more than one third when bad data were discarded. This means that the standardised syntax deleting questionnaires targeted students with less trustworthy responses relatively well. Table 5 presents information about the non-response rates before the logical substitution of missing values and the substitution impact on the non-response rates. For the seven substance use variables shown in Table 5, the average reduction in the nonresponse rates was rather small, ranging from 0.1 % to 0.3 %. The reduction was relatively limited for all seven variables in most countries. Kosovo was the country where the logical substitution of missing values had the biggest impact. However, such low reductions in the non-response rates hardly had any effect at all on the final prevalence estimates. On the whole, the standardised data-cleaning process did not greatly influence the lifetime prevalence figures.
Table 4. Changes in lifetime prevalence of different substances due to deletion of bad data ( a ) for students born in 2003 ( b ) (%) (ESPAD 2019)
( a ) Questionnaires with missing gender information, more than 50 % of core items unanswered or repeated extreme responses were deleted.
( b ) Results are based on cleaned unweighted data for students born only in 2003.
NB: LTP, lifetime prevalence.
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Table 5. Non-response rates before logical substitution of missing values and the substitution impact (reduction) for seven prevalence measures ( a ) for students born in 2003 only ( b ) (ESPAD 2019 )
( a ) The results are based on unweighted raw data, first without logical substitution of missing values and then with logical substitution.
( b ) When multiple responses are given to a single choice question, they should be coded –2 instead of –1 (no response). For the purpose of this anal ysis, all –2 values have been treated as –1.
NB: LTP, lifetime prevalence.
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Fieldwork
According to the ESPAD handbook, data collection should be performed during spring. In 2019, data were mainly collected between February and June, with the majority of data collection exercises conducted from March to May (Table 6) and with the exception of two countries: the French survey was carried out 1 year in advance, between April and June 2018, and the Netherlands collected data during the autumn of 2019 (October–November).
In ESPAD, survey leaders (who can be teachers or research assistants) are responsible for data collection in the classrooms. In about half of the countries, teachers or other school staff administered the data collection, while research assistants did so in the remaining countries (Table 6).
To preserve the anonymity and confidentiality of the survey, the use of individual envelopes for each student to put his or her questionnaire in and then seal is recommended.
Individual envelopes were used in 22 countries (Table 6). In the remaining countries, other measures were taken that were judged as fulfilling the same purpose. Examples include the use of large class envelopes, which were sealed in front of the students, and a closed box in which the students put their forms. In Austria, Denmark, France, Iceland, the Netherlands and Norway, the ESPAD survey was administered online. The Faroes (in only three schools) and Italy adopted a mixed administration mode (paper and pencil and web based).
There are, of course, several advantages to carrying out online surveys, such as cost-effectiveness and more rapid data collection. Comparability between traditional paperand-pencil and computerised administration modes was assessed in a methodological study conducted in Italy; no significant mode effect in the reporting of sensitive information was detected, and comparability was considered satisfactory (Colasante et al., 2019).
Table 6. Characteristics of the data collection (ESPAD 2019)
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( a ) Web-based administration was used in three schools.
NB: CASI, computer-assisted self-interviewing; OCR, optical character recognition.
Representativeness
The ESPAD target population is defined as students who reach the age of 16 years in the calendar year of the survey and who are present in the classroom on the day of the survey. Students who were enrolled in regular, vocational, general or academic studies were included; those who were enrolled in either special schools or special classes for students with learning disorders or severe physical disabilities were excluded. As a matter of principle, data can be representative only of those groups that are included in the sampling frame.
South Ossetia were excluded), Germany (only the federal state of Bavaria was included) and Kosovo (less than 4 % of the target population enrolled in schools in Northern Kosovo under the parallel structures and working with the plans of the Ministry of Education of Serbia was excluded). Moreover, in Finland the Åland Islands were not covered by the sampling frame, and in Ukraine the Autonomous Republic of Crimea was not included in the survey, nor were the territories of Donetsk and Luhansk, which are not controlled by the Ukrainian government. It is important to keep in mind that the results for these countries are representative only of the populations from which the samples were drawn, according to the geographical limitations mentioned above.
In ESPAD, the representativeness of the national surveys is assessed against several indicators, including geographical coverage, sampling, the exclusion of grades or school categories and the level of interest shown by schools and students in participating in the data collection.
Geographical coverage
All samples had national geographical coverage, except for those from Cyprus (only government-controlled areas were included), Georgia (the occupied territories of Abkhazia and
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Sampling strategies
Sampling in ESPAD is based on school classes being the final sampling unit. This is vastly more economical than sampling individual students, and it also has some desirable methodological properties. In particular, the sampling of entire classes can be expected to increase students' confidence in their anonymity. Sampling individual students and asking them to fill in a questionnaire individually, by contrast, could affect the truthfulness of their answers and
therefore bias the results of the study. An overview of the sampling procedure in each country is provided in Table 7. The study was carried out on a representative sample of the target population in all participating countries except the Faroes, Iceland, Malta, Monaco and Montenegro, where all 2003-born target students were included. The number of students born in 2003 in the Faroes, Iceland, Malta and Monaco was close to, or below, the number of students to be sampled according to the ESPAD guidelines (1 200 per gender). Therefore, in these countries all students were surveyed.
In most countries, a two-stage sample was performed, with the class being the final sampling unit.
Some countries did not consider what might be called the 'problem of small and large schools and classes. In some countries, all schools/classes had the same probability of being sampled, regardless of the size of each class and school. In practice, this means that students belonging to small classes or attending small schools are overrepresented in the samples. If students in these classes or schools have different substance use habits from students in large classes or schools, the data will not be entirely representative of the population. In many countries where this problem might have occurred, however, a stratified sample was used, and it seems reasonable to assume that the sizes of schools and classes are rather similar within each stratum. Furthermore, class size is fairly standard in many countries, and the classes in a school usually do not vary greatly in size. On the whole, the 'problem of small and large schools and classes' is not considered to be a major problem in the context of ESPAD as a whole. In countries where non-proportionate stratification was used for sampling, the data were weighted (in 2019 weights were used in 11 countries and included in the database).
Weights were usually calculated to account for gender (two countries) and geographical distribution of the target population (six countries), type and size of schools (seven countries) and immigrant background (Finland collected data in schools in which at least 30 % of students had an immigrant background; therefore, a sampling weight was applied to balance the final sample).
ESPAD 2019 Methodology
Birth cohort representativeness
Differences in the extent to which the 2003 birth cohort is attending regular school exist between ESPAD countries. In some countries, schooling is compulsory until the age of 16 years. In other countries, this is the age when students enrol in upper secondary school, start vocational training or enter the labour market. On average, 87 % of the 2003 birth cohort was enrolled in regular school at the time of data collection (students with special needs who attend special schools/classes are not a part of the ESPAD target population) (Table 7). For 12 countries, the proportion was below 90 %. Such differences may have a certain impact on the results, since it could be the case that individuals who have already left school may have different substance use patterns from their peers in school. However, one should not forget that the ESPAD study is actually intended to be representative only of students, not of entire birth cohorts.
Student representativeness
The ESPAD target population is students who reach the age of 16 years during the year of data collection. For the 2019 study, this means students born in 2003. In some countries, the vast majority of students born in 2003 were enrolled in a single grade. In other countries, large proportions of them were to be found in two or more grades. The recommendation given for the second scenario, subject to the availability of the necessary resources, was to include as many grades as possible in which 2003-born students were to be found, or at least all grades in which 10 % or more of the target population was enrolled. If all grades with students in the target age group are not included in the data collection exercise, the sample is representative only of 2003-born students in the grade(s) chosen. In 30 countries, no more than two grades were surveyed. Three or more grades were covered in Italy, Kosovo, Latvia, Monaco and Portugal.
The proportion of ESPAD target students covered by the sampling frame was high on average (96 %), with 32 countries reaching 90 % or more of the students born in 2003. The lowest rates, however, which were rather high in general, were reported in Serbia (86 %) and Germany (88 %).
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Table 7. Characteristics of the national samples (ESPAD 2019)
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( a ) Proportion of the ESPAD birth cohort still enrolled in regular school (not in schools/classes for students with special needs, etc).
( b ) Proportion of ESPAD target students covered by the sampling frame.
( c ) Only government-controlled areas were covered by the sampling frame.
( d ) Estimations by the PI.
( e ) The Åland Islands were not covered by the sampling frame.
( f ) Data collected in spring 2018.
( g ) The occupied territories of Abkhazia and South Ossetia were not covered by the sampling frame.
( h ) The sampling frame covered only the federal state of Bavaria.
( i ) 4 % of the target population enrolled in schools in Northern Kosovo and/or functioning under the parallel structures of the Ministry of Education of Serbia within the other Serbian municipalities were not covered by the sampling frame.
( j ) Data collected in autumn instead of spring.
( k ) The sampling unit was the school, and classes included in the survey were selected randomly by assistants in the last step of selection at the schools before the survey.
( l ) The Autonomous Republic of Crimea was not included in the survey, nor were the territories of Donetsk and Luhansk, which are not controlled by the Ukrainian government.
School cooperation
The school participation rate (share of selected schools taking part in the survey) and the class participation rate (share of selected classes participating in the survey) were generally high, and refusals by schools were a relatively limited problem in the majority of the countries (Table 8). On average, about 82 % of the sampled schools and 84 % of the sampled classes took part in the survey. There is great variability across countries in the proportion of schools that refused to participate. In about half of the countries, more than 90 % of all sampled schools took part in the survey. In most other countries, the proportions were also relatively
ESPAD 2019 Methodology
high (more than 80 %). The reasons given for not taking part were usually lack of time, examinations or other factors related to schoolwork, and sometimes a general perception of being over-surveyed. In three countries (Austria, Denmark and the Netherlands), less than half of the sampled schools took part in the study. Those countries have also previously belonged to the group of countries with a low rate of school participation.
In Austria, the percentage of school cooperation was low compared with other countries (30 %) but higher than that in the previous survey. Moreover, weightings were introduced for different school types, in order to adjust for a selection
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bias due to school non-participation. In Denmark, although the participation rate was low (21 %), there was no indication that non-responses should be strongly associated with school type or gender. Furthermore, the data were weighted considering geographical area.
Table 8. Participating schools and classes and students' presence rates (%) (ESPAD 2019)
( a ) Participant rates for schools and classes are independent of each other.
( b ) All students in participating classes regardless of birth year.
( c ) School participation rate (class participant rate unknown).
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In the Netherlands, school refusals have been a growing problem throughout the country, but the Dutch team found no reason to believe that non-participation was selective. However, school type was considered when the weightings were computed.
Student response rates
The proportions of students present in the classroom during the data collection are shown in Table 8. The proportions have been calculated on the basis of the classroom reports, in which the fieldworkers indicated (1) the total number of students belonging to a participating class and (2) the number of students who were present when the survey was performed. The proportions of students in participating classes who were present on the day of the survey and who answered the questionnaire were high. The average was 86 %, and in 23 of the 35 countries 85 % or more of the students were present in the classroom. Poland reported the lowest proportion of students present (73 %); nevertheless, this is not considered to be a major deviation. No country reported any major methodological problems in connection with absent students. Iceland and Norway did not collect classroom questionnaires, and the student presence rates remain unknown.
According to the standard instructions, the students are informed that the study is voluntary. Refusal by students to participate was rare in nearly all countries (Table 3). On average, 1.6 % (0.0–12 %) of the students present in the classroom refused to take part in the survey. In Greece, Ireland, Latvia, Lithuania, Portugal, Slovenia and Ukraine these rates were about 1 % or slightly above, and in Georgia, Germany and Kosovo they were above 5 %. Cyprus reported the highest student refusal percentage (12 %). Some form of parental consent was asked for in more than half of the countries (Table 2). For six countries active parental consent was requested, for one country active consent was used only in some schools, and for three either active and passive consent were required. According to Table 3, 1.4 % (0.0–4.7 %) of the students were refused permission by their parents to take part in the study in countries where only passive consent was needed. In four countries where active consent was requested, refusal rates were higher: Cyprus (12 %), Portugal (11 %), Greece (5.7 %) and Romania (4.8 %). Although it cannot be decided whether such refusal had any influence on the substance use estimates, it ought to be kept in mind when interpreting the results. High rates of sampled students not taking part in the study increases the risk that the net sample might be biased. The response rates are, however, deemed to be satisfactory overall, even when the refusal rates are considered.
Number of participating students
To ensure that a satisfactory level of precision can be obtained in the estimates for various subgroups of the population, the ESPAD guidelines recommend sampling enough classes to obtain 1 200 participating students of each gender. In countries with fewer than 2 800 students in the target population, it is recommended that the total population be included.
This was the case in the countries with the smallest sample sizes: the Faroes (511 students with valid questionnaires) and Monaco (428) (Table 3). The sampling frames also included the total population of the somewhat larger countries of Iceland (2 534 students with valid questionnaires), Malta (3 043) and Montenegro (5 700). Seven countries did not fully meet the target of 2 400 students, and in five of these the net samples comprised fewer than 2 000 students: Cyprus, Germany, Ireland, Kosovo and the Netherlands. Germany and the Netherlands had relatively high rates of non-participating schools, which were reflected in lower numbers of students included in the net samples. It also has to be taken into account that Germany participated in the survey with only one federal state (Bavaria). In the five countries mentioned above, the number of participating students ranged between 1 224 and 1 940. Although these figures are low, the numbers of valid questionnaires have been deemed enough to enable international comparisons, though not without caution.
Reliability
Reliability is the extent to which repeated measurements made under the same conditions produce the same results, and it is considered a necessary condition for validity. For many substances, the ESPAD questionnaire contains questions about lifetime use and also age at first use. The questions referring to the latter indicator include the response option 'never', which makes it possible to compare rates of lifetime prevalence for each substance according to these two sets of questions. As an indication of reliability, inconsistency in relation to lifetime use of five substances is shown in Table 9. For three of these substances (ecstasy, inhalants and tranquillisers), questions about age at first use were optional in 2019, and about 10 countries did not include them in the questionnaire. In addition, reported lifetime alcohol intoxication has also been compared with reported lifetime use of alcohol.
The lowest inconsistency figures were found for intoxication, cannabis and ecstasy use, with averages of less than 1 %, meaning that 99–100 % gave consistent answers about their consumption of these substances. The average inconsistency figures were also relatively low (1.9 %) for
ESPAD 2019 Methodology
use of tranquillisers and sedatives without a doctor's prescription, and for all the countries the rates were less than 5 %. For the use of cigarettes, the average inconsistency rate was 2.9 %. Most countries had relatively low figures, with only two countries exceeding 5 %: Kosovo (9.7 %) and North Macedonia (5.2 %).
Inhalants were the substance with the highest national rates of inconsistency. The average rate was 3.4 %. The top countries were Croatia (7.5 %), Latvia (7.2 %) and Ukraine (7.1 %).
It should be recognised, however, that there were some technical differences between the two types of measures of use (lifetime use and age at first use) that might have contributed to inconsistency. One difference was that the question about age at first use did not include a 'do not remember' response category. A student who had used a substance but did not remember how old he or she was at first use could have conceivably decided to answer 'never' instead of guessing an age, especially if he or she had used that substance only once or a few times. Another factor contributing to inconsistency might have been that students were ambivalent when answering the question about age at first use of a substance. If a student had used a substance only once or twice and did not define himself or herself as a 'user', it might not have seemed appropriate to give an age at first use. These students might have answered 'never', since they thought of their consumption as an experiment rather than the beginning of 'real' use. Most controlled substances in Table 9 were probably relatively familiar to the students, in the sense that they would have heard about them. If a substance was familiar and mentioned in several questions, the students ought to have used the same definition consistently. However, inhalants might be an exception in this respect. The definition includes many different agents that can be inhaled. If all relevant agents are not consistently given as examples in the questions that are being compared, there is a risk that the students' frame of reference will not be the same when they answer the two questions, which may explain the lower consistency rates found for inhalants.
In summary, it can be said that inconsistency figures for all controlled variables are relatively low in nearly all countries, indicating good reliability. With the exception of inhalant use, there are just two cases in which the inconsistency rate is above 5 % (Kosovo and North Macedonia for cigarette use), and no country scored among the highest for all variables. On the whole, inconsistency rates are not seen as reflecting any major reliability problems.
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Table 9. Some aspects of reliability: inconsistency between two questions in a single administration, with students reporting substance use for one question but not another ( a ) (%) (ESPAD 2019)
( a ) One question is about lifetime prevalence, whereas the other is about age at first use.
NB: LTP, lifetime prevalence.
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Validity
In ESPAD terms, validity could be said to be the degree to which the survey (including its methods of data collection) measures those aspects of students' consumption of different substances that we intend to measure. The validity of the answers is a major concern in survey-based research, particularly in surveys of sensitive behaviours, such as substance use. The validity of the ESPAD survey was thoroughly discussed, and the conclusion, based on relevant available research, was that the level of validity could be considered high (Hibell et al., 2012). One factor that was pointed out as particularly important was that the students trusted that their responses were anonymous when filling out the questionnaire. Below is a number of topics that are important to the validity presented in relation to the 2019 data collection.
Translation of the questionnaire
The comparability of the actual questionnaire across countries is of vital importance in any multinational survey project. Establishing consistency in the translations of the questions into the various languages is therefore an important aspect of measuring validity. The ESPAD master questionnaire is presented in English. In non-Englishspeaking countries, the questionnaire should be translated into the national language(s) and then back-translated into English by another translator. The original version and the back-translated version should then be compared to identify possible anomalies. However, the consistency of the questionnaires is not purely a matter of literal translation. It is also a matter of understanding. Each question should be understood in the same way in all countries, irrespective of the original wording in the master questionnaire. When necessary, the questions have been culturally adjusted to suit the situation in individual countries. For instance, the slang words for the different substances mentioned in the questionnaire should be adjusted to the cultural context of each country. If this is not done properly, comparability with other countries may be undermined. No major problems with the translations were reported or detected. On the whole, it seems reasonable to assume that the translation of the questionnaire was not a major methodological problem and did not jeopardise the comparability of the results between the ESPAD countries.
Student cooperation
The primary prerequisites for obtaining any data at all are that students in selected classes actually receive the questionnaire and that they are willing to fill it in. In previous sections, it has been shown that, in nearly all countries,
ESPAD 2019 Methodology
very few students were reported to have declined taking part (Table 3). It has also been shown that, in the majority of the ESPAD countries, some form of parental consent was requested (Table 2), and that, in the four countries where active consent was needed, refusal rates were higher. Despite the fact that the reasons for parental refusal are not known, it seems reasonable to assume that parents refusing to allow their children to participate in the ESPAD study are not a significant methodological problem that influences comparisons between countries to a large degree. However, in the countries with the highest figures, it implies some measure of uncertainty.
As described previously, all data were centrally cleaned in a standardised way. With a few exceptions, only a relatively small fraction of the questionnaires was discarded during the cleaning process. The greater proportions displayed by a few countries, including Cyprus (4.2 %) and Sweden (4.3 %), may be an indication that the situation was not as good regarding student cooperation.
In the classroom report, the survey leaders were asked to report (1) disturbances in the classroom during the data collection, (2) the extent to which the students had worked seriously and (3) whether the students seemed to have had difficulties in understanding the questions (Table 10). On average, 74 % of the survey leaders reported that there were no disturbances during data collection. In only five countries (Slovakia, Kosovo, Germany, Ukraine and the Netherlands), the percentages were less than 60 %, and the lowest value was registered in Slovakia (31 %). However, it should be noted that research assistants or survey leaders other than school staff were responsible for the data collection in four of those countries in which disturbances were more frequently reported. These individuals were likely to be less used to the normal level of disturbance in a classroom than teachers and thus more likely to report disturbances. In most of the countries, the majority of the survey leaders (59 %) reported that 'all' students had worked seriously, and an additional 39 % indicated that 'the majority' had done so. However, 2.1 % of the survey leaders reported that less than the majority had worked seriously. These levels were somewhat higher (4.2–5.3 %) in Germany, North Macedonia, Monaco and Slovakia. In Kosovo, this rate reached 17 %. Although the proportions were relatively low, this may be an indication of a setting that is possibly not as good as that in the average ESPAD country.
In summary, most countries did not report problems with many students declining participation. The proportion of discarded questionnaires was low in nearly all countries, with an average of 1.3 %. When there were disturbances during data collection, they rarely involved more than a few students. Even when fairly high levels of disturbances were reported in some countries, they seemed to have very rarely
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had a negative effect on student cooperation. In fact, most survey leaders reported that all / the majority of students had worked seriously. In the case of countries with lower rates, those responsible for data collection were almost always non-school staff who were most probably less familiar with the normal noise level in a classroom. Therefore, student cooperation seems to have been good in nearly all participating countries.
Although overall student cooperation seems to have been satisfactory, a remark that needs to be made in this respect is the fact that Iceland and Norway did not collect classroom information, so the circumstances regarding the data collection in these countries remain unknown.
Table 10. Opinions of survey leaders: class-level information (%) (ESPAD 2019)
( a ) Proportion of survey leaders answering 'Rather difficult' or 'Very difficult'.
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Student answering time and comprehension
As shown in Table 11, all countries asked all or nearly all of the core questions from the ESPAD master questionnaire. Furthermore, the optional module about performance enhancers as well as several of the optional questions were included in 15 countries. Most countries also included at least some national questions. The total number of questions in the national questionnaires varied across countries. The average number of items (with each subquestion of a question being counted as an item) was 295, with the smallest number being 186 in the Netherlands and the largest being 479 in Portugal. Naturally, the length of the questionnaire has an effect on the time taken to complete it. In addition, differences in students' experiences of participating in studies of this type may also affect the completion time. For these reasons and other reasons, it is not surprising that the time taken to respond to the questionnaire varied across countries. The average response time was 37 minutes. The highest figure (54 minutes) was reported in Greece. A rather long average completion time was also reported in Czechia (48 minutes) and in the Faroes (45 minutes).
In a few countries, more than 10 % of the survey leaders thought that the students had had some difficulties in responding to the questionnaire (average 5.5 %). The highest proportion was found in Ireland (21 %) (Table 10). Overall, student comprehension seems to have been satisfactory in most participating countries. However, the longer the questionnaire and therefore the longer the time needed to fill it in, the greater the risk that some students may become tired towards the end and start giving less reliable answers. Although this might have happened in some countries, it should be kept in mind that the ESPAD core questions were at the beginning of the questionnaire and thus less affected by possible fatigue due to the length of the questionnaire.
Table 11. Number of used items and average completion time (ESPAD 2019)
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Anonymity
In surveys on hidden behaviours, such as ESPAD, it is of the utmost importance that the students understand that the survey is anonymous and that they are confident that reporting such behaviours will not entail any negative consequences. Several measures were taken to ensure perceived and actual anonymity. The ESPAD handbook recommends that an individual envelope be distributed along with the questionnaire. This gives the students the possibility of sealing the questionnaire right after completion. In 22 ESPAD countries these individual envelopes were used (Table 6). Countries that did not use individual envelopes used other methods to ensure that the students felt that their anonymity was safeguarded. These methods included a closed box and a joint envelope for the entire class, which was often sealed in front of the class before being sent to the research institute. If the data collection was performed online, the data were stored on a central server, to which only the research team had access. The survey leader could be either a teacher or a research assistant. The decision as to the most suitable survey leader was taken by each country. The basis for this decision should, of course, have been that the person most trusted by the students was chosen. In about half of the ESPAD countries, teachers or other members of school staff functioned as survey leaders, while the remaining countries chose research assistants or other people from outside the school (Table 6). The survey leaders were asked to stress the issue of anonymity and to refrain from walking around the classroom while the questionnaires were being completed. The students were instructed, verbally and in writing on the first page of the questionnaire, that they should not put their names on the questionnaire or the envelope. No country reported any serious doubts among the students regarding anonymity issues. Overall, anonymity seems to have been handled satisfactorily in all participating countries.
Data entry and rates of missing data
Twenty-two countries entered the data manually, while seven used optical scanning. In six countries, data collection
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was performed using a web-based questionnaire; thus, no data entry process was necessary (Table 6). All countries performed quality checks of the entered data. No particular problems due to such checks were reported. In the instructions given to the students, it was stressed that it was important for them to answer each question as thoughtfully and frankly as possible. Since participation in the study was voluntary, students might have skipped questions they found objectionable. The rates of missing data on substance use questions may indicate the respondents' willingness to report such use. The proportion of unanswered questions was low for all substances (Table 5). There were no alarmingly high numbers of unanswered questions on lifetime substance use in any country. The highest rates were found for alcohol in Kosovo (around 5 %), and for ecstasy, inhalants and tranquillisers or sedatives without a doctor's prescription (4.1–5.1%) in Norway. Non-response to single (sensitive) questions is thereby not judged as being a significant methodological problem in the 2019 ESPAD data collection.
Logical consistency
Logical consistency is a measure closely related to the inconsistency discussed in Section 3.14. In the ESPAD questionnaire, this indicator is detectable for sets of substance use questions measuring use during three time frames: lifetime, the past 12 months and the past 30 days. Logically, the figure for prevalence in the past 12 months cannot exceed lifetime prevalence, and the 30-day prevalence cannot exceed either the 12-month prevalence or the lifetime prevalence. Table 12 presents some information on the proportion of inconsistent answers relating to these three time frames for three variables: alcohol use, having been intoxicated and cannabis use. For ecstasy use and use of inhalants, only lifetime use and 12-month use have been compared. In nearly all countries and for all five variables, the proportions of inconsistent answers were relatively low. In other words, the proportions giving logically consistent answers across the three (or two) time frames can be considered sufficient. Fairly high proportions of inconsistent
answers were found in a few countries. To a large extent, they related to alcohol use. Inconsistent answers about alcohol use were given by 6.0–9.3 % of the students in Georgia, Kosovo, Bulgaria, Romania and Cyprus. Across the five variables, Cyprus, Bulgaria and Georgia tended to display an overall lower level of consistency, indicating a somewhat lower level of data quality in relation to this aspect. Despite the exceptions mentioned, logical consistency seemed to be relatively high in the participating countries.
Table 12. Some aspects of validity: inconsistent answers, unwillingness to admit cannabis use and reported use of the dummy drug 'relevin' (%) (ESPAD 2019)
( a ) For each substance, the inconsistent response pattern is defined as one in which any of the following has been found: (1) past 30-day frequency is higher than past 12-month frequency; (2) past 30-day frequency is higher than lifetime frequency; or (3) past 12-month frequency is higher than lifetime frequency. For ecstasy and inhalants, only lifetime frequency and past 12-month frequency have been compared.
( b ) Students answering 'Definitely not' to the question 'If you had ever used cannabis, do you think that you would have said so in this questionnaire?'
( c ) Instead of relevin, some countries used national alternatives as a dummy drug.
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Under-reporting
The tendency of respondents to give answers that they believe will show them in a good light is a significant methodological problem in surveys about undesirable social behaviours. This factor is particularly important in surveys covering illicit substance use. At the end of the core part of the questionnaire used in the 2019 ESPAD survey, students were asked about their hypothetical willingness to admit cannabis use. The question was worded: 'If you had ever used cannabis, do you think that you would have said so in this questionnaire?'. The response options were 'I already said that I have used it', 'Definitely yes', 'Probably yes', 'Probably not' and 'Definitely not'. The proportions of students reporting that they would definitely not report cannabis use are shown in Table 12.
The ESPAD average of students responding that they would definitely not report cannabis use was 10 %. In more than two thirds of the countries, less than 15 % of the students responded that they were definitely unwilling to admit cannabis consumption if they had used it. Among these, particularly low rates (about 5 % or less) were found in Norway, Germany, Spain, Slovenia, Finland, the Faroes, Monaco, Portugal and Denmark.
In Georgia, Iceland, Lithuania, Kosovo, North Macedonia and Croatia, the values ranged between 15 % and 21 %. The highest figure was reported in Serbia (46 %). A higher proportion of students replying that they would not be willing to admit cannabis use might signal problems with validity, but this is not necessarily the case. In fact, students who have never used illicit drugs may tend to be rather strongly opposed to their use, and this opposition may in part be reflected in their answers to this question. It should also be borne in mind that the question is hypothetical. The figures for the unwillingness to admit cannabis use were rather high in some countries and much lower in others, indicating that the level of under-reporting may vary across countries.
It can be concluded that surveys most probably underestimate the prevalence of illicit substance use, that under-reporting probably differs somewhat across countries and that under-reporting of illicit drug use might be higher in the seven countries mentioned in the previous paragraph. There is, however, no reason to believe that such differences would undermine the overall conclusions of the study. Therefore, low-prevalence countries would most likely remain low-prevalence countries even if all students who had taken illicit drugs admitted their use.
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Over-reporting
In addition to the risk of under-reporting substance use, there is also the risk of respondents exaggerating their substance use experience, which may also threaten the validity of the results. To test this, the fake drug 'relevin' was included among a list of existing substances in the questionnaire. Countries may use another name instead of relevin for the dummy drug if there is a risk that the students may confuse it with a national drug street name for any existing substance. The average across all ESPAD countries for reported relevin use was 0.5 % (Table 12). In Bulgaria and Cyprus, however, the proportion of students reporting use of the dummy drug was higher than 1 %. With the exception of those countries, few students reported any use of the dummy drug, indicating that students do not routinely exaggerate their substance use. It seems reasonable to assume that high prevalence rates for drug use are, in practice, nearly unaffected by a possible general tendency to exaggerate drug use. However, these findings also underline the need for caution in interpreting the prevalence of less-common drugs, such as heroin and lysergic acid diethylamide (LSD). For each country, the proportion of students reporting use of the dummy drug could serve as a baseline for plausibility – meaning that if, say, 0.5 % of students in a country claim to have used the dummy drug, then the first 0.5 % of students reporting use of a real drug should be interpreted with caution.
Some methodological issues to be addressed in future
In all countries, classes (groups of students as an organisational unit) were sampled using a more or less complex procedure. Since the final sampling unit was the school/class, not the student, it will be important to consider in the future cluster effects in statistical calculations. This is because a group of students who make up a class (cluster) are more likely to have similar habits than a group containing the same number of students but made up of students who are spread across classes and schools. This could affect the precision of the estimates in each country but – provided that the ESPAD guidelines are followed – in principle it should not bias the point estimate itself.
Country-specific methodology remarks
The most notable methodological considerations for countries where problems have been detected are summarised below, followed by a short overall methodological summary and some final remarks.
Deviations from the common ESPAD methodology and methodological problems that are deemed important when interpreting the results are listed for individual countries.
Austria. The data collection was performed online (instead of using pencil and paper). The school participation rate was low (30 %) compared with other countries but higher than that in the previous survey. No serious sample bias was detected, and weightings were introduced for school types in order to adjust for a selection bias due to school nonparticipation.
Bulgaria. Compared with other countries a relatively high level of inconsistent answers and a slightly higher level of 'relevin' use was noted, indicating a somewhat lower level of data validity than average.
Cyprus. Only government-controlled areas were included in the sample. Active parental consent was demanded, which resulted in higher refusal rates. Cyprus also reported the highest student refusal percentage (12 %) and a relatively small net sample (1 224 students). Moreover, a relatively large proportion of the questionnaires was discarded during the central data-cleaning process (4.2 %). This may indicate that the quality of the data collected in this country tended to be not as good as the quality of the data of the average ESPAD country. Moreover, compared with other countries, a relatively high level of inconsistent answers and a slightly higher level of 'relevin' use was noted, indicating a somewhat lower level of data validity than average.
Denmark. The data collection was performed online (instead of using pencil and paper). Less than half of the sampled schools took part in the study (like the previous survey). Although the participation rate was low (21 %), there was no indication that non-responses should be strongly associated with school type or gender. Furthermore, the data were weighted considering geographical area.
France. The data collection was performed in the framework of a single project called EnCLASS that took place in spring 2018, which matched the ESPAD and Health Behaviour in School-aged Children surveys. The data collection was performed online. Not all ESPAD core questions were included in the survey: only questions about drug use were retained, while those on gaming and gambling were excluded. No optional questions were included. Although generally high, the school participation rate was lower than
ESPAD 2019 Methodology
in 2015 (88 % versus 94 % in 2015), probably because of the late start to the survey (May) and oversampling of vocational schools. Despite the differences mentioned above from the ESPAD methodology, the French team found no significant signs that these deviations had compromised representativeness for young people in France or comparability with the ESPAD data of the other countries.
Georgia. The occupied territories of Abkhazia and South Ossetia were excluded from the sample. A relatively high student refusal rate was reported.
Germany. Only the federal state of Bavaria was included in the sample. A relatively high student refusal rate was reported.
Iceland. The data collection was performed online (instead of using pencil and paper). Standard classroom report information was not collected, which has caused uncertainties about student participation rates and the classroom situation during data collection.
Ireland. A relatively small net sample (1 940 students) was reported.
Kosovo. Schools in Northern Kosovo under the parallel structures and working with plans of the Ministry of Education of Serbia were excluded (including less than 4 % of the target population). A relatively high student refusal rate and a relatively small net sample (1 756 students) were reported.
Inconsistency measurements related to reliability and validity indicate that the collected data may be of a somewhat lower quality than the data of the average ESPAD country.
The Netherlands. The data collection was performed online (instead of using pencil and paper) and carried out during the autumn of 2019 (October to November). The target population was redefined to give an average age in line with other participating countries. Less than half of the sampled schools took part in the study (like the previous survey), but the Dutch team found no reason to believe that non-participation was selective. However, school type was considered when the weightings were computed. There were low school participation rates, which in turn led to a small net sample (1 288 students).
North Macedonia. Inconsistency measurements related to reliability indicate that the collected data may be of a somewhat lower quality than the data of the average ESPAD country.
Norway. The data collection was performed online (instead of using pencil and paper). Standard classroom
29
report information was not collected, which has caused uncertainties about student participation rates and the classroom situation during data collection. The necessary data for the response rate were collected via e-mail before the survey.
Serbia. The proportion of Serbian students answering that they would have been unwilling to admit to cannabis use is very high (46 %). This is the highest figure found in the 2019 ESPAD survey (the ESPAD average is 10 %). Although the question included in the ESPAD questionnaire was hypothetical in nature, the high figure for this country gives rise to some uncertainty and may indicate that underreporting of drug consumption is higher in Serbia than in most other ESPAD countries.
Sweden. A relatively large proportion of the questionnaires was excluded (4.3 %). Sweden included a third option for the question on gender ('Other gender identity'). Discarded questionnaires included those of students selecting this option (2.4 %).
Ukraine. Autonomous Republic of Crimea was not included in the survey, nor were the territories of Donetsk and Luhansk, which are not controlled by the Ukrainian government.
30
References
Colasante, E., Benedetti, E., Fortunato, L., Scalese, M., Potente, R., Cutilli, A. and Molinaro, S. (2019a), 'Paper-and-pencil versus com puterized administration mode: comparison of data quality and risk behavior prevalence estimates in the European School Survey Project on Alcohol and other Drugs (ESPAD)', PLOS One, Vol. 14, No 11, e0225140. doi:10.1371/journal.pone.0225140.
ESPAD Group (2016a), ESPAD Report 2015: Results from the European School Survey Project on Alcohol and Other Drugs, EMCDDA joint publication, Publications Office of the European Union, Luxembourg.
ESPAD Group (2016b), ESPAD 2015 Methodology, EMCDDA joint publication, Publications Office of the European Union, Luxembourg.
ESPAD Group (2020a), ESPAD Report 2019 – Results from the European School Survey Project on Alcohol and Other Drugs, EMCDDA joint publication, Publications Office of the European Union, Luxembourg.
ESPAD Group (2020b), ESPAD Report 2019 – Additional tables, EMCDDA joint publication, Publications Office of the European Union, Luxembourg.
Hibell, B. and Guttormsson, U. (2013), A Supplement to the 2011 ESPAD Report: Additional data from Bosnia and Herzegovina (Federation of Bosnia and Herzegovina), Kosovo and the Netherlands, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
ESPAD 2019 Methodology
Hibell, B., Andersson, B., Bjarnason, T., Kokkevi, A., Morgan, M. and Narusk, A. (1997), The 1995 ESPAD Report – Alcohol and other drug use among students in 26 European countries, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
Hibell, B., Andersson, B., Ahlström, S., Balakireva, O., Bjarnason, T., Kokkevi, A. and Morgan, M. (2000), The 1999 ESPAD Report – Alcohol and other drug use among students in 30 European coun tries, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
Hibell, B., Andersson, B., Bjarnason, T., Ahlström, S., Balakireva, O., Kokkevi, A. and Morgan, M. (2004), The ESPAD Report 2003 – Alcohol and other drug use among students in 35 European coun tries, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
Hibell, B. and Bjarnason, T. (2008), Report from the ESPAD 07 ques tionnaire test, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
Hibell, B., Guttormsson, U., Ahlström, S., Balakireva, O., Bjarnason, T., Kokkevi, A. and Kraus, L. (2009), The 2007 ESPAD Report – Substance use among students in 35 European countries, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
Hibell, B., Guttormsson, U., Ahlström, S., Balakireva, O., Bjarnason, T., Kokkevi, A. and Kraus, L. (2012), The 2011 ESPAD Report – Substance use among students in 36 European countries, Swedish Council for Information on Alcohol and Other Drugs, Stockholm.
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Acknowledgements
The planning and implementation of the 2019 ESPAD study was a collaborative effort between the ESPAD coordination team and the research teams in each participating country. The importance of the ESPAD researchers and their supporting research groups and institutions cannot be underestimated. Since the project cannot provide funding for the data collection in the participating countries, it relies on the ability of each PI and ESPAD associate researcher to obtain the necessary resources.
The international coordination was supported by the Italian National Research Council (CNR), with co-funding from the European Monitoring Centre for Drugs and Drug Addiction (EMCDDA). Furthermore, the CNR provided the resources for the harmonisation of the national databases and construction of the international 2019 database. The EMCDDA supported the ESPAD study throughout the 2016–2020 cycle by co-funding and actively participating in the international coordination, supporting preparatory work, including funding the regional seminars and different meetings, funding or co-funding data collection in Bulgaria, Georgia, Germany (Bavaria), Greece, Kosovo, Montenegro, Moldova, North Macedonia, Serbia and Ukraine, and, finally, undertaking the editorial production work of the 2019 ESPAD report and this methodological report.
The Pompidou Group at the Council of Europe has supported the project ever since the first project meeting in 1994. In particular, during the 2016–2020 wave, the financial support of the Pompidou Group enabled some researchers from eastern and central parts of Europe to participate in meetings.
The ESPAD coordination team, consisting of Sabrina Molinaro (Italy) and Julian Vicente (EMCDDA), supported by the Italian ESPAD coordination team, coordinated the project from 2016 to 2019. The steering committee, appointed by the ESPAD researchers at the Assembly meetings, worked together with the coordination team. All important decisions relating to the planning of ESPAD meetings and the 2019 study were made jointly with the steering committee. Together with the two members of the coordination committee, the steering committee consists of Sharon Arpa (Malta), Pavla Chomynová (Czechia), Ludwig Kraus (Germany), Håkan Leifman (resigned, Sweden), Karin Monshouwer (the Netherlands) and Stanislas Spilka (France).
The Italian ESPAD coordination team at the CNR Institute of Clinical Physiology (CNR-IFC) was responsible for coordinating the national data collections, collecting country reports and data sets, and constructing the 2019
32
international database. The team also produced results tables and text for the 2019 ESPAD methodology report besides the full online version of the 2019 ESPAD report (main report and statistical supplement).
The Italian ESPAD coordination team consists of Elisa Benedetti, Sonia Cerrai, Emanuela Colasante, Rodolfo Cotichini, Loredana Fortunato and Sabrina Molinaro. Federica and Pierpaolo Ciullo contributed their work to the drafting of this report.
The people at the EMCDDA supporting the ESPAD study and its coordination are Julian Vicente, Jane Mounteney, Paul Griffiths, Katerina Skarupova, Sandrine Sleiman, Peter Fay, Katarzyna Natoniewska, David Penny and Rosemary Martin de Sousa.
Each country was represented in the project by a PI or ESPAD associate researcher, who is a contributing author of this report (see title page). In addition, a number of other people carried out important work in the context of the 2019 ESPAD study. The main people from the national research teams in the 35 countries that participated in the 2019 data collection are listed below, followed by a list of important funding agencies and supporting organisations.
Collaborating persons
For each of the 35 countries that participated in the 2019 data collection, the most important collaborators are listed below, beginning with the PIs.
Austria
Julian Strizek (PI); Markus Hojni; Jennifer Delcour; and Alfred Uhl
Bulgaria
Anina Chileva (PI); Sophia Kandilarova-Georgieva; Alexander Panayotov; Plamen Dimitrov; and Juliya Andjekarska
Croatia
Martina Markelić (PI); Ljiljana Muslić; Iva Pejnović Franelić; Sanja Musić Milanović; Ivana Pavić Šimetin; Mario Hemen; Diana Mayer; Diana Jovičić Burić; and Nikola Lanščak
Cyprus
Kyriakos Veresies (PI); Ioanna Yiasemi (associated researcher); Stelios Stylianou; and Soula Ioannou
Czechia
Pavla Chomynová (PI); Ladislav Csémy; and Viktor Mravčík
Denmark
Ola Ekholm (PI); Heidi Amalie Rosendahl Jensen; Stine Rosenwein Vork; and Camilla Øst Cloos
Estonia
Sigrid Vorobjov (PI)
The Faroes
Pál Weihe (PI); and the staff of the Department of Occupational Medicine and Public Health
Finland
Kirsimarja Raitasalo (PI); and Janne Härkönen
France
Stanislas Spilka (PI); Olivier Le Nézet; and Eric Janssen
Georgia
Lela Sturua (PI); Natia Kakutia; Lela Kvachantiradze; and Levan Baramidze
Germany
Ludwig Kraus (PI); and Nicki-Nils Seitz
Greece
Anna Kokkevi (PI); Anastasios Fotiou; Eleftheria Kanavou; Myrto Stavrou; and Clive Richardson
Hungary
Zsuzsanna Elekes (PI); Tamás Domokos; Zsolt Demetrovics; Vanda Pózner; Zita Szűcsné Kovács; and Tamás Kosztolnyik
Iceland
Ársæll Már Arnarsson (PI); Ingibjörg Kjartansdóttir; and Kristin Hardardottir
ESPAD 2019 Methodology
Ireland
Luke Clancy (PI); Sheila Keogan; Salome Sunday; Joan Hanafin; Hannah Byrne; Mark Ward; Zubair Kabir; and Helen McAvoy
Italy
Sabrina Molinaro (PI); ESPAD coordination team: Elisa Benedetti, Sonia Cerrai, Emanuela Colasante, Rodolfo Cotichini and Loredana Fortunato; Italian ESPAD study group: Arianna Cutilli, Francesca Denoth, Daniele Di Simone, Antonella Pardini, Roberta Potente, Chiara Sbrana, Marco Scalese and Rita Taccini
Kosovo
Zamira Hyseni Duraku (PI); Kaltrina Kelmendi; and Eurisa Rukovci
Latvia
Diāna Vanaga – Arāja (PI); Laura Isajeva; and Oksana Žabko
Lithuania
Liudmila Rupšienė (PI); Sandra Valantiejienė; Regina Saveljeva; and Algimantas Šimaitis
Malta
Sharon Arpa (PI); Petra Borg; Kay Xuereb; Sandra Cortis; Franceanne Borg Orland; Karl Coleiro; Marjoe Abela; Lawrence Bonello; Emily Chircop; Roslyn Spiteri; Ruth Stivala; Audrey Schembri; Antoine Saliba; Daniela Bugeja; Shaun Bartolo; Gabrielle Bartoli; Christiana Bajada; and Isabelle Anastasi
Monaco
Stanislas Spilka (PI); Julie Marty; Sophie Vincent; and Olivier Le Nézet
Montenegro
Tatijana Đurišić (PI); Ljiljana Golubović; and Boban Mugoša
The Netherlands
Karin Monshouwer (PI), Marieke Rombouts, Saskia van Dorsselaer; and Marlous Tuithof
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North Macedonia
Silvana Oncheva (PI); Elena Kosevska; Shaban Memeti; Vladimir Mikik; Sanja Prosheva; Florije Fejzula; Daniela Dukovska; Vesna Zafirovska; Jovanka Trpkovska; Jasmina Tahiri; Jasma Shakiri; Nadica Totic; Stanislava Najdovska; Nadezda Lisinac; Marija Vrckovska; Toda Krsteska; Petar Pecev; Aksinja Garbeska Kebakoska; Vaska Kaleeva; Daniela Cingovska; Zagorka Josifova; Radmila Maksimovska Simonovska; Marjan Denkovki; Eftim Dimitriev; Viktorija Jordanova; Florija Hamid; Katarina Vidoeska; and Marija Postolovska
Norway
Elin Kristin Bye (PI)
Poland
Janusz Sierosławski (PI); Łukasz Wieczorek; and Katarzyna Dąbrowska
Portugal
Elsa Lavado (PI); Vasco Calado; Fernanda Feijão; Nuno Rodrigues; Rui Lima; Suzete Frias; and Nelson Carvalho
Romania
Silvia Florescu (PI); Ruxanda Iliescu; Milica Georgescu; Cătălina Chendea; and Constanta Mihaescu-Pintia
Serbia
Biljana Kilibarda (PI); Nadezda Nikolic; Jelena Gudelj Rakic; Verica Jovanovic; and Mirjana Tosic
Slovakia
Alojz Nociar (PI); Alena Kopanyiova; Jana Hamade; and Maria Slovikova
Slovenia
Tanja Urdih Lazar (PI); Eva Stergar; Metoda Dodič Fikfak; Katja Draksler; and Nataša Dernovšček Hafner
Spain
Begoña Brime Beteta (PI); Marta Molina Olivas; and Noelia Llorens Aleixandre
Sweden
Johan Svensson (PI); Håkan Leifman; Ulf Guttormsson; Anna Englund; Isabella Gripe; and Siri Thor
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Ukraine
Olga Balakireva (PI); Daria Pavlova; Tetiana Bondar; Dmytro Dmytruk; Lidia Romanovska; Nam-Mykhailo Nguien; and Nataliia Yermolenko
Funding agencies and supporting organisations
For each of the 35 countries that participated in the 2019 data collection, the most important organisations and funding agencies that were involved are listed below.
Austria
Gesundheit Österreich GmbH; Federal Ministry of Labour, Social Affairs, Health, and Consumer Protection; Federal Ministry of Education, Science and Research
Bulgaria
National Center of Public Health and Analyses with the support of the EMCDDA; National Center for Drug Addictions; Ministry of Education and Science of Bulgaria; Centre for Providing Information about Education
Croatia
Croatian Institute of Public Health (CIPH); Ministry of Health; Ministry of Science and Education
Cyprus
Cyprus National Addictions Authority; Centre for Education About Drugs and Treatment of Drug Addicted Persons; Ministry of Education and Culture
Czechia
Czech National Monitoring Centre for Drugs and Addictions, Office of the Government of the Czech Republic (NMC); National Institute of Mental Health (NIMH)
Denmark
National Institute of Public Health, University of Southern Denmark; Danish Health Authority; Ministry of Health
Estonia
National Institute for Health Development; Estonian Ministry of Social Affairs
The Faroes
Ministry of Education, Research and Culture
Finland
Finnish Institute for Health and Welfare
France
French Monitoring Centre for Drugs and Drug Addiction (OFDT); Ministry of National Education; Management of Programming and Development (DEPP) of the Ministry of National Education; Ministry of Agriculture and Food; French National Institute of Health and Medical Research (Inserm)
Georgia
National Center for Disease Control and Public Health with the support of the EMCDDA; Ministry of Education, Science, Culture and Sport of Georgia
Germany
IFT Institut für Therapieforschung with the support of the Bayerisches Staatsministerium für Gesundheit und Pflege and the EMCDDA
Greece
Athens University Mental Health, Neurosciences and Precision Medicine Research Institute (UMHRI) with the support of the EMCDDA; Greek Organization Against Drugs (OKANA); Drug Prevention Centres (OKANA/local authorities); Ministry of Health; Ministry of Education (Directorate of Secondary Education); Greek national focal point of the EMCDDA
Hungary
National Research, Development and Innovation Office: K 127947; Department of Development Sociology, Kodolanyi Janos University; Reitox Hungarian national focal point; Corvinus University of Budapest
Iceland
Icelandic Directorate of Health; University of Iceland
Ireland
TobaccoFree Research Institute Ireland; TU Dublin; Focas Research Institute; Department of Health; Institute of Public Health in Ireland (IPH)
ESPAD 2019 Methodology
Italy
National Research Council, Institute of Clinical Physiology (CNR-IFC)
Kosovo
Department of Psychology, Faculty of Philosophy, University of Prishtina 'Hasan Prishtina' with the support of the EMCDDA; Ministry of Education, Science, Technology and Innovation of Kosovo; Municipal Education Directorate; Center for Global Health
Latvia
Centre for Disease Prevention and Control; Baltic Institute of Social Sciences (BISS)
Lithuania
Ministry of Education, Science and Sport of the Republic of Lithuania; Lithuanian National Agency for Education; Lithuanian Educational Research Association
Malta
Aġenzija Sedqa (National Agency against Drug and Alcohol Abuse and Compulsive Gambling), Foundation for Social Welfare Services; National School Support Services, Directorate for Educational Services; Secretariat for Catholic Education; Independent Schools Association and the participating independent schools
Monaco
French Monitoring Center for Drugs and Drug Addiction (OFDT); Monaco Statistics (Monegasque Institute of Statistics and Economic Studies — IMSEE); Department of Education, Youth and Sport of Monaco (DENJS)
Montenegro
Public Health Institute of Montenegro with the support of the EMCDDA; Ministry of Education of Montenegro; Ministry of Health of Montenegro
Netherlands
Ministry of Health, Welfare and Sport; Regional Health Services; Trimbos Institute
North Macedonia
Institute of Public Health with the support of the EMCDDA; Ministry of Education and Science; Ministry of Health; Centers for Public Health: Skopje, Kumanovo, Štip, Strumica, Veles, Prilep, Bitola, Ohrid, Tetovo/Gostivar and Kočani
35
Norway
Norwegian Institute of Public Health (NIPH)
Poland
National Bureau for Drug Prevention (KBPN); State Agency for the Prevention of Alcohol-Related Problems (PARPA); Institute of Psychiatry and Neurology (IPiN); Agency of Research and Social Initiatives (PBIS); regional authorities of Dolnośląskie, Kujawsko-Pomorskie, Lubelskie, Małopolskie, Mazowieckie, Śląskie, Świętokrzyskie and Wielkopolskie regions; municipal authorities of Bydgoszcz, Częstochowa, Płock, Kalisz, Sopot, Szczecinek and Wrocław cities; Ministry of National Education
Portugal
General-Directorate for Intervention on Addictive Behaviours and Dependencies (SICAD-Ministry of Health); GeneralDirectorates of Education Statistics and Education (Ministry of Education); Regional Directorates for Prevention and Control of Dependencies and Education and Culture of Azores Islands; Regional Secretaries of Health and Education of Madeira Islands
Romania
National Anti-drug Agency; Ministry of National Education; National School of Public Health, Management and Professional Development
Serbia
Ministry of Health of the Republic of Serbia; Institute of Public Health of Serbia; Ministry of Education, Science and Technological Development with the support of the EMCDDA
36
Slovakia
Research Institute for Child Psychology and Pathopsychology; Office of Public Health of the Slovak Republic; St Elizabeth College of Health and Social Work; Slovak Centre of Scientific and Technical Information; National Monitoring Centre for Drugs
Slovenia
University Medical Centre Ljubljana, Institute of Occupational, Traffic and Sports Medicine; Ministry of Education, Science and Sport
Spain
Spanish Observatory on Drugs and Addictions; Government Delegation for the National Plan on Drugs; Ministry of Health
Sweden
Ministry of Health and Social Affairs; Swedish Council for Information on Alcohol and Other Drugs (CAN)
Ukraine
Ukrainian Institute for Social Research after Oleksandr Yaremenko (UISR); Institute for Economics and Forecasting, National Academy of Sciences of Ukraine (IEF NASU), with the support of the EMCDDA; Social Monitoring Center (SMC); Ministry of Education and Science of Ukraine; Center for Public Health, Ministry of Health of Ukraine; United Nations Children's Fund (UNICEF) in Ukraine
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November 2010 Volume 16 Issue 11
Shag Rag
Election Edition
Dedicated to the Preservation of the Carolina Shag and Beach Music Northern Virginia Shag Club/ Marcia Conway, President
PRESIDENT'S MESSAGE by Marcia Conway
A fun and great time was had by all the shaggers and guests who attended the Fall Dance/Workshop at Ft. Myer on Saturday, October 16. It was a pleasure having Gene and Nancy Pope as our guest pro instructors! The workshop was great with such new classic steps that one could easily
incorporate into one's shag dancing. The exhibition by the Popes was classic and enjoyable. Great music was supplied by Gary Barnes, our guest DJ from Virginia Beach. Thanks to Nancy and David Guilliams for organizing the food and for the fall decorations and to Jason and Jeanne Potter who took care of the sodas, water and ice. Many, many thanks to all the members who stepped in to be bartenders, and to Pam Barnes (our guest DJ's wife), for also volunteering as one of the bartenders. It just shows that when a situation comes up, there are always members to step up to the plate. What a great shag club!!!!
The next party will be the annual Holiday dinner/dance on Saturday, December 4 at the Kingstowne's Snyder Community Center from 7:30 – 11:30PM. It will also be the time when members are asked to bring an unwrapped toy for "Toys for Tots". It is SO important to support the Toys for Tots organization this holiday season as the present state of the economy is getting harder on many less fortunate families providing toys for their children. Two US Marines will be our guests and will be there to collect the toys. Thanks to Gary Mann for making the arrangement for the Marines to come to our holiday event. See attached flier in this Shag Rag for more information.
Our annual election night will be on Wednesday, November 17 at Rene's. NVSC members may vote by absentee ballot (included in this Shag Rag), or vote in person on Wednesday, November 17. Your membership must be current to be able to vote. Absentee ballot must be signed. Ballots provided on election night by members of the election committee do not need to be signed before they are dropped into the ballot box. My thanks to Dick Prosser, chairman, and the nominating committee members for volunteering their time in contacting members and providing a slate for the 2011 Board. The members of the committee are Nancy Guilliams, Gary Mann, Kathy Norris, David Rapson, Jean TeeleJennings and Sam Wray.
Upcoming Events
November 14—Fast Eddie's from 4 until 7pm November 17—ELECTIONS December 4
th
TH
—Holiday Dance, Kingstowne
WE WILL NOT DANCE AT RENE'S NOV 24 DUE TO THANKSGIVING HOLIDAY
WE WILL NOT DANCE AT RENE'S DEC 22 DUE TO CHRISTMAS HOLIDAY
ND
NVSC COMMITTEES/CHAIRS—2010
Nancy Guilliams, Sandra Traylor, Sam Wray
Audit Cris Gaines
Birthday Cakes Robbie Mann/Donna Romito
Capital Shag Classic 10 Sue Young and Marcia Conway
Charity Fundraising Kathy Miller/Nancy Cox
Dance Joan McKinney,email@example.com
Hello Shaggers Valerie Swiger
Historian Liz Kestler
Membership Valerie Swiger, firstname.lastname@example.org
Music Fran Mong
Newsletter Liz Kestler
Nominating & Elections To be selected in September
Photographer John Romito, email@example.com
Public Relations Barry Newman, firstname.lastname@example.org
Shag-a-thon Jo-An Hitzemann/Judy Anderson
Social/Hospitality Cris Gaines, Dick and Marion Prosser, David and
Sunshine Maryann Lesnick, email@example.com
Web Site John Romito
NVSC OFFICERS & DIRECTORS—BOARD MEMBERS—2010
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 (so that we may be able to accommodate your attendance). Copies of Board Meeting Minutes are available on the www.nvshag.org website, or you may request copy(s) from the Club Secretary.
JASON & HOLLY CLASSIC REVIEW-ON DVDs NOW--$10
Practice and review Holly and Jason's Classic Workshop Steps--All proceeds from the sale of DVD's will be donated to Hall of Fame Foundation as requested by Jason and Holly Cagle. Contact any Board member or Dance Committee member for your order. For those that have ordered the DVD's, they're here! See Joan McKinney at Rene's on Wednesday nights for payment and delivery!
2011 SOS Cards are Here!
Contact Dave Bushey, our club Treasurer, for purchase at Rene's, or mail your check, payable to NVSC, PO Box 5522, McLean, VA 22103 and include a self addressed, stamped envelope. They are only $30. If you wait and purchase at the beach, they are $35. If you plan to go to Mid Winters or Spring/Fall SOS in 2011, you will need this card.
DEEJAY SCHEDULE FOR NOVEMBER*
*subject to change
November 3 – Craig Jennings.
November 10 – Eddie O.
November 17 - Dennis Gehley
NOVEMBER BIRTHDAYS
24th
25th
29th
__________
2010 SUNDAY SOCIAL DANCE PARTIES
NOVEMBER 14 (from 4—7 p.m.); No Dance At Fast Eddie's in DECEMBER
GATHER, SOCIALIZE, DANCE AT FAST EDDIE'S SPORTS GRILL
14114 LEE HIGHWAY, CENTREVILLE, VA 20120 PHONE 703-256-8888
HERE'S A PLACE TO DANCE ON FRIDAY NIGHTS
Friday Night Dancing atTOMMY'S PLACE 8910 Mathis Ave, Manassas, VA (703) 368-6500
How many remember Friday nights down at Legends in Manassas? Here's a treat for all shag dancers: Beginning Friday night, August 6 th , Gene Griffin (who used to DJ at Legends) will DJ from 6:30 until closing. Like before, from 6:30 until around 9:30, Gene will play Shag/Beach Music (CD's provided by Gary Salpini and others). Enjoy the food, the management, the prices, the seating arrangements, the dance floor, and NO COVER! THIS VENUE is encouraged for all shag friends to join together for a few drinks, dinner, and dancing on Friday nights.
WE HAVE OUR SLATE OF OFFICERS AND DIRECTORS FOR 2011
OFFICER DUTIES ARE:
* President. The President is the principal executive officer of the Club and presides at all meetings of the Board and meetings of the members at which he or she is present. The President must attend all five (5) required annual meetings of Association of Carolina Shag Clubs (ACSC) or ensure that the Club is represented at required ACSC meetings. The President names the Chairpersons of Standing Committees and the Newsletter Editor and Capital Shag Classic Coordinator. The President also exercises general supervision over the affairs of the Club.
* Secretary. The Secretary keeps the minutes for the meetings of the Board and members, sees to it that all required notices are duly given, and keeps a current roster of the membership of the Club.
* Vice President. The Vice President assists the President and performs the duties of the President in the event of the President's unavailability.
* Treasurer. The Treasurer is responsible for all funds of the Club, makes a report on the financial status of the Club at every regular meeting of the Board, makes available to the Board, all books and financial records of the Club for audits and verifications, and files all documents and returns required by federal and state tax codes
OFFICER NOMINEES ARE:
TIM FARRIS – NOMINEE FOR PRESIDENT
Tim hales from Albany, GA., spent most of his formative years in Columbus, GA before moving to the DC area in 1977. He retired earlier this year after 31+ years with the Federal Government. He began shagging with the Northern Virginia Shag Club at Nick's in 2000…..and still doesn't have a decent boogie walk!
SUE YOUNG – NOMINEE FOR VICE PRESIDENT
I am running for Vice President because I have enjoyed being a Board member for the past year and am ready for a new responsibility. I feel that being on the Board is a great opportunity to get more involved with the club and I hope to encourage more members to become active in our club activities. NVSC has come a long way and I think we have a good thing going so I'm doing my part to keep the ball rolling and growing.
SANDRA TRAYLOR – NOMINEE FOR SECRETARY
I have spent most of my life here in Northern Virginia. I graduated from George Mason University with a Masters Degree in Sociology and work for the Department of Defense. During my leisure time I enjoy walking, traveling, reading, attending wine festivals, going to the beach and movies, listening to Beach Music and Jazz, and trying different ethnic restaurants. I have been a member of NVSC since June, 2001 and served on the Board in 2009, as Secretary and look forward to serving again.
KATHY NORRIS – NOMINEE FOR TREASURER
I'm relatively new to Shag – I've only been a member of the club for a year and a half, but I've been an avid dancer for over 20 years. I love the grace and style of shag dancing, and especially the fellowship that the club provides. A native of Northern Virginia, I've lived in the area most of my life. I retired recently from a career as a manager in the budget and finance field at the International Monetary Fund. I'm hoping the skills of team leadership, strategic planning, and consensus building gained in my career will be useful to the Board. I remember what it feels like to be a new club member, and will try to represent the interests of newer members, as well as
Director duties are:
* To attend all regular and special meetings of the Board. Regular Board meetings are held monthly. A Director who misses four or more regular meetings without a good reason can be removed.
* To serve as the Chairperson of a Standing Committee or as the Board's liaison to a Standing Committee. The Standing Committees are the Nominations and Elections Committee, Audit Committee, Dance Committee, Music Committee, Social and Hospitality Committee, Charity and Fund Raising Committee, Membership Committee and Public Relations Committee. Liaisons are appointed where the Chairperson of a Standing Committee is not a member of the Board. Liaisons communicate Board policies and decisions to the Standing Committees and report to the Board on the work of the Standing Committees.
* To support Club projects and attend a reasonable number of Club functions, to personally help conduct Club projects and functions, and to recruit volunteers to help conduct projects and functions.
* To preserve and give to their successors all records and documents received in the course of the Club's business.
* To provide viewpoints during the policy discussions of the Board.
DIRECTOR-AT-LARGE NOMINEES ARE AS FOLLOWS:
JEANNE M. POTTER – NOMINEE FOR DIRECTOR-AT-LARGE
Jeanne was born in Queens, New York, and relocated to Virginia in 1972. She has worked as a legal secretary for the Fairfax based firm of Surovell Markle Isaacs & Levy PLC for the past 23 years, with a concentration in the areas of Business Planning/Formation, Commercial Transactions, and Estate Planning. Jeanne and her husband Jason joined the Club in 2009. They live in Fairfax, and have two adult daughters.
KATHY MILLER – NOMINEE FOR DIRECTOR-AT-LARGE
I have been an active member since 2006. I am retired from the government and now working as a community manager. Member of the Hospitality Committee in 2007, Co-Chair of the Charity Fundraising (Logo Merchandise Sales) Committee since 2007, and Board Member-At-Large 2009 and 2010. My goal is to work toward continued membership growth in order to share the enjoyment of Carolina Shag music and dance.
DICK PROSSER – NOMINEE FOR DIRECTOR-AT-LARGE
I have been a member of the Northern Virginia Shag Club since 2008 and a member of the Board in 2010, as a Director-at-Large. Marion and I enjoy the Shag dance and the fellowship we experience through the NVSC. I would like to continue making a contribution to the Club by serving on the Board another year in 2011 and want to thank everyone who volunteered and contributed to the Club's success in 2010.
MARCIA CONWAY – NOMINEE FOR DIRECTOR-AT-LARGE
I have been a member of the Northern Virginia Shag Club since 1996. During that time, I have been on the board for seven years as director- at- large for two years, as the Vice President for two years and President of the club for 2008, 2009 and 2010. I would like to serve on the board another year as a director-at-large to give support to the 2011 Board. Thank you for the support you have given me for the past seven years and I would appreciate your vote for the 2011 Board.
BARRY NEWMAN – NOMINEE FOR DIRECTOR-AT-LARGE
Member of NVSC for close to fifteen years. Served two years as Board At Large member 2009-10. Retired from Dept of Homeland Security where I presented training programs to border station officers and many other audiences on major business applications. Active on Boards/councils in my community civic organizations. My platform aims are to improve: 1) Board governance and 2) membership communication
PLEASE TAKE THE OPPORTUNITY TO THANK OUR NOMINATING COMMITTEE CHAIRMAN AND MEMBERS…THEY DID AN OUTSTNDING JOB!! THEY ARE AS FOLLOWS:
Dick Prosser-Chairman
Nancy Guilliams; Gary Mann; Kathy Norris; Dave Rapson;
Jean Teele-Jennings; & Sam Wray
THANK YOU FOR YOUR HARD WORK!
MEMBERS—PLEASE FILL OUT THE FOLLOWING ELECTION BALLOT AND MAIL TO OUR P.O. BOX FOR DELIVERY on/or BEFORE NOVEMBER 12TH OR COME TO RENE'S TO DROP OFF YOUR BALLOT ON NOVEMBER 17 TH ONLY ABSENTEE BALLOTS MUST BE SIGNED. YOU MUST BE A MEMBER OF NVSC TO VOTE.
NORTHERN VIRGINIA SHAG CLUB ELECTION BALLOT
You may vote for only one nominee for each 2011 Board officer position. Please indicate your choice by circling the name.
PRESIDENT:
SECRETARY:
Tim Farris
Sandra Traylor
VICE PRESIDENT:
TREASURER:
Sue Young Kathy Norris
You may vote for up to five (5) nominees for 2011 Director-at-Large positions. Please indicate your choices by circling the names.
DIRECTORS-AT-LARGE:
Marcia Conway Jeanne Potter
Kathy Miller
Dick Prosser
Barry Newman
For an ABSENTEE BALLOT to be validated, a signature and printed name are required. Ballots cast in person do not require a signature or printed name.
VOTER'S SIGNATURE: __________________________________
VOTER'S NAME: __________________________________
Please print
Mail to NVSC, P.O. Box 5522, McLean, VA 22103 for delivery on or before November 15 th , 2010
FOR OFFICIAL USE ONLY BALLOT VALIDATION: _________________________________________
NVSC Logo Merchandise and Other Info
Members Kathy Miller and Nancy Cox are the contacts for NVSC logo merchandise. They have the following items:
BORROWING SHAG VIDEOS.....
is easy at NVSC!!!
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 FULLY refundable $25 deposit.
See SUE YOUNG on Wednesday nights to borrow a DVD or video!!!
Learn from the pros by watching their instructional DVD's. See Sue Young for details and availability of rentals
SCHEDULED NVSC EVENTS FOR 2010
The Northern Virginia Shag Club planned and held many FUN EVENTS for 2010. In addition to our weekly LESSONS and SHAG DANCES at RENE'S, we offered other planned activities, which provided members and guests the opportunity to SHAG. See remaining 2010 event below:
DANCE AT FAST EDDIE’S NVSC HOLIDAY PARTY
NOVEMBER 14 DECEMBER 4
Holiday Party December 4 th
Pot Luck Dinner/Dance
Kingstowne's Snyder Community Center
6450 South Van Dorn, Alexandria, VA 22315 7:30 to 11:30 PM
This is a BYOB Event!! NVSC will supply set ups.
NVSC will provide: Ham, Turkey and Rolls
Cost: FREE for NVSC Members!! $10 for Non-Members
FREE to Junior Shaggers with Adult!!
What to Bring
Side Dish, Appetizer or Dessert An Unwrapped Toy for
"Toys for Tots"
GUEST DEEJAY IS JERRY HARDY
Jerry regularly deejays for the Colonial Shag Club and played at the Virginia Clubs Party at SOS this past fall.
Direction s from the Fairfax County Parkway:
Go east until you reach Beulah Street, cross Beulah and the road changes names to Manchester Blvd. Continue down Manchester (it Becomes Kingstown Blvd) for 7 traffic signals. At the 7 th traffic signal, turn left on to South Van Dorn Street. At the 2 nd traffic signal, turn left onto Lake Village Drive. Take an immediate left and the Community Center will be a few buildings down on your right.
Directions from the Beltway:
Exit the Beltway at South Van Dorn St and proceed south on South Van Dorn Street. Cross over Franconia Road, where you will enter Kingstown, after crossing Franconia Road, continue on South Van Dorn and turn right at the firs traffic signal, on to Lake Village Drive. Then take an immediate left and you will see the Community Center a few building down on your right. Parking lots are on both sides of the street.
NOVEMBER DANCE LESSONS AT RENE'S-WEDNESDAYS
Reminder--beginner lessons are free to non-members but membership is required for the Novice and Intermediate classes.
Lessons Begin at 7:30 p.m.
INTERMEDIATE LEVEL SHAG STEPS
Nov. 3 –Side-to-Side Basic, Handshake Wrap Pivot
Nov. 10 – Leg Up Basic, Lean
Nov. 17 -- Stutter Basic, Sugarfoot w/Lean
No Dance at Rene's November 24th
NOVICE LEVEL SHAG STEPS
Nov 3 -- Double Kick Basic, Applejack
Nov. 10 -- Behind Sailor Shuffle, Front Walk-Up
Nov. 17 -- Hesitation Basic, Hug Pivot
No Dance at Rene's November 24th
BEGINNER LEVEL SHAG STEPS
Nov. 3 -- Basic, Start, Female Turn
Nov. 10 -- Half Turn, Male Turn
Nov. 17 -- Kick Basic, Side Pass
No Dance at Rene's November 24th
PLEASE REMEMBER TO ASK NEW MEMBERS AND RED-DOT BEGINNER DANCERS TO DANCE. ALL IT TAKES IS PRACTICE, PRACTICE, AND MORE PRACTICE TO BECOME A BETTER DANCER!
SHAG ETIQUETTE
Asking a partner. It is equally permissible for a woman to ask a man as it is for a man to ask a woman to dance. Take your partner's hand onto the dance floor and at the end of the dance thank your partner.
(Written by Kevin Twohig, Charleston Area Shag Club of West Virginia)
|
#2002-01 January 2002
Adding Assisted Living Services To Subsidized Housing: Serving Frail Older Persons With Low Incomes
by Robert Wilden and Donald L. Redfoot
The AARP Public Policy Institute, formed in 1985, is part of the Policy and Strategy Group at AARP. One of the missions of the Institute is to foster research and analysis on public policy issues of importance to mid-life and older Americans. This publication represents part of that effort.
The views expressed herein are for information, debate, and discussion, and do not necessarily represent official policies of AARP.
2002, AARP.
Reprinting with permission only.
AARP, 601 E Street, N.W., Washington, DC 20049
ACKNOWLEDGMENTS
The authors thank the contact persons listed in Appendix B, without whose cooperation and timely assistance, this study would not have been possible. These individuals invested a significant amount of time filling out the Project Interview Schedule, meeting with the lead author, and reviewing draft material.
Andrew Kochera of the AARP Public Policy Institute (PPI) staff provided important technical assistance, including estimates of the number of older persons living in federally subsidized housing and of the disability levels of older renters in subsidized housing. Patricia Forsythe did extensive copy editing that greatly improved the organization and readability of the report. Sheel M. Pandya of the PPI staff provided valuable assistance in the final "cleaning up" of the report.
Finally, the authors also thank the anonymous reviewers for their comments and recommendations, which have immensely improved the final version of this report.
TABLE OF CONTENTS
FOREWORD
This report coincides with a sea change in policy discussions regarding federal housing programs for older persons. Once the bastion of a "bricks and mortar" approach that narrowly defined the role of housing programs as providing a place to live, the Department of Housing and Urban Development (HUD) has begun to chart a new focus of providing supportive services to enable frail older residents to "age in place" longer. As a recent HUD report noted (HUD, 1999):
Public, private, and nonprofit owners of HUD-assisted elderly housing have worked hard to bring supportive services into their conventional multifamily housing models through the use of service coordinators, for example. Nonetheless, there is mounting evidence that many of their increasingly frail residents have more comprehensive assistance needs which demand supportive environments such as assisted living. Without extending such options to lower income seniors, the number of households forced prematurely into institutional living will certainly increase.
Congress has also focused on adding the supportive services that are typically available in assisted living facilities to traditional subsidized housing projects for older persons. The past two HUD appropriations from Congress (FY 2000 and 2001) have included funds to retrofit subsidized elderly housing projects for use as assisted living. In addition, Congress has authorized and funded a "Commission on Affordable Housing and Health Care Facility Needs in the 21 st Century." The Commission is charged with conducting a study that:
Identifies and analyzes methods of promoting a more comprehensive approach to dealing with housing and supportive service issues involved in aging and the multiple governmental agencies involved in such issues….
To explore some promising new models of service delivery, Robert Wilden, past national director of elderly housing at the HUD, and I have examined the current state of assisted living services in federally subsidized housing. The report that follows is but a first step in identifying residents' needs and examining issues that arise when assisted living services are added to subsidized housing for older persons. Further research is especially needed on the long-term quality outcomes of such services and programs.
This report can be useful to policy decisionmakers, practitioners, housing providers, and consumer advocates as they search for ways to promote the independence and dignity of frail older persons with modest means. We believe the report will be especially timely in light of the work of the National Commission and recent Congressional efforts to make federal housing programs a major setting for such efforts in the future.
Donald L. Redfoot Senior Policy Advisor Public Policy Institute, AARP
EXECUTIVE SUMMARY
I. INTRODUCTION
Assisted living has grown rapidly as a supportive housing arrangement for many frail individuals who need help with activities of daily living but do not need constant skilled nursing. Because costs are high and public reimbursements are scarce, older persons with modest means have had limited access to assisted living. Policy decisionmakers have looked with increasing interest to the possibility of offering assisted living services in federally subsidized housing because of the concentration of frail older persons with low incomes who live in those settings.
II. PURPOSES
This study has two main purposes:
(1) To examine research on the potential demand for assisted living services in subsidized housing and on the current capacity to provide such services; and
(2) To report on case studies of subsidized housing projects that have developed assisted living services and on the issues that frequently arise with such programs.
III. METHODOLOGY
The study was conducted using two different approaches to the issues related to assisted living services in subsidized housing. The first approach examines the existing research on the potential demand for assisted living services among older residents in federally subsidized housing and the capacity to deliver such services. Because the policy goals of providing such services are to promote independence and prevent unnecessary institutionalization, this section compares risk factors for receiving nursing home services with the characteristics of the older residents in subsidized housing. In particular, similarities and differences in age, gender, income, disability, and informal family supports are described. Finally, the section examines the sparse research on the supportive services provided in subsidized housing, specifically, the service coordinator program and the federal Congregate Housing Services Program (CHSP). Although these programs generally do not provide a full regimen of assisted living services, they have played important roles in laying the groundwork for expanding to assisted living. A summary of this existing research appears in the Findings section below and in Section IV of the full report.
The second approach uses a case study method to explore important policy and management issues raised by providing assisted living services in subsidized housing. Seventeen sponsors of subsidized housing for older persons located in nine states participated in this research. The sponsors included in this study were those suggested by various housing experts or other sponsors. Efforts were made to include sponsors from states that provide substantial Medicaid funding for such services (e.g., New Jersey and North Carolina) as well as states that provide no Medicaid funding for assisted living in subsidized housing (e.g., Connecticut). Some sponsors were also selected because of their substantial experience with state (e.g., Maryland) or federal (e.g., New Hampshire) Congregate Housing Services Programs. Finally, the selection criteria
included both public housing and private not-for-profit sponsors. Because of the nonrandom method of selection, these results should be viewed as exploratory rather than representative of the limited universe of subsidized housing projects offering assisted living services.
Between October 1999 and January 2000, the lead author visited eleven sponsors located in seven states (CN, KY, MD, NJ, NH, NC, and VA). Interviews with six other sponsors were conducted by telephone or by mail. A Project Interview Schedule (Appendix A) was mailed to sponsors to obtain relevant data before the interviews. Major findings of that empirical research are summarized below and in Section V of the full report. Details from each of the case studies are reported in Section VI of the full report.
IV. FINDINGS
A. THE POTENTIAL DEMAND FOR ASSISTED LIVING SERVICES IN SUBSIDIZED HOUSING: A RESEARCH REVIEW
Almost no research directly addresses the issue of providing assisted living services in federally subsidized housing. Research does, however, indicate that federally subsidized housing has efficiently, if inadvertently, targeted older persons at risk of receiving nursing home services especially those at risk of receiving Medicaid assistance for such services. Information from federal surveys and other studies shows that current residents of subsidized housing for older persons are similar in many respects to individuals living in nursing homes or to those deemed at high risk of entering nursing homes. Subsidized housing residents are overwhelming female; report more disabilities than older persons who do not live in subsidized housing; have very low incomes; and tend to have no one to turn to if they become sick or disabled.
The research review also indicates that capacity to provide assisted living services in subsidized housing depends on three factors: (1) characteristics of the physical plant; (2) the presence of services coordinators; and (3) previous experience with service provision. The federal CHSP, enacted in 1978, has been a major source of funding for both service coordinators and some supportive services. The federal CHSP has also been used as a model for a number of state programs that have, in some cases, provided the basis for expanding services to include assisted living in subsidized housing.
B. FINDINGS FROM CASE STUDIES
While each project was unique, the following findings describe the important issues confronted by sponsors of subsidized housing for older persons who are offering assisted living services.
1. FINANCIAL ISSUES
* Finding funding sources for assisted living services is one of the most difficult issues faced by sponsors. Limited funding often requires developing multiple funding sources and can result in low staff pay and high turnover.
* On the plus side, assisted living services can sometimes help troubled housing projects and may result in overall cost savings compared to costs in a nursing home or a market-rate assisted living facility.
2. SERVICE DELIVERY ISSUES
* Projects offering assisted living have retained a residential environment, and most provide services to residents throughout the building rather than grouping those who need services into one location.
* Most sponsors provide services à la carte and contract out at least some of their assisted living services.
* Smaller sponsors and those without mandatory meals programs may have more difficulty developing meal programs for assisted living residents.
3. LEVEL OF EFFORT AND TYPE OF HOUSING
* States can greatly facilitate the expansion of assisted living programs in subsidized housing by developing statewide strategies and funding mechanisms.
* Public housing authorities and private nonprofit sponsors bring different strengths and resources to assisted living programs.
4. MANAGEMENT ISSUES
* An effective assisted living program requires housing and services professionals to think and operate differently from how they might in a more traditional environment. Effective coordination, both within the building and with external service providers, can eliminate overlapping services, confusion, and potential conflicts.
* The assisted living programs have enhanced access to services by residents, whether or not they needed full assisted living services, with no evidence that providing such services has increased liability or insurance costs for the sponsors interviewed.
5. OTHER ISSUES
* States vary widely as to how they regulate assisted living programs.
* Many facilities would benefit from modifications to accommodate assisted living programs and residents.
C. CONCLUSIONS FROM CASE STUDIES
* The case studies in this report demonstrate that assisted living services can be successfully integrated into subsidized housing projects for older persons.
* The major obstacles to implementing assisted living services in subsidized housing are funding for services and training and coordination of housing and services staff.
* States that funded such programs have greatly facilitated the development of assisted living services in subsidized housing.
* State efforts to develop regulations and monitoring efforts specific to assisted living services in subsidized housing are in their nascent stages. If such services become more common, states will have to develop more effective ways to monitor and enforce quality.
* Research is needed to develop models and strategies for expanding assisted living services in subsidized housing nationwide and improving their quality.
Adding Assisted Living Services To Subsidized Housing: Serving Frail Older Persons With Low Incomes
I. INTRODUCTION
Assisted living has grown rapidly as a supportive housing arrangement for many frail individuals who need help with activities of daily living but do not need constant skilled nursing. Because costs are high and public reimbursements are scarce, older persons with modest means have had limited access to assisted living. Policy decisionmakers have looked with increasing interest to the possibility of offering assisted living services in federally subsidized housing because of the concentration of frail older persons with low incomes who live in those settings.
Although few subsidized housing projects offer assisted living, 1 both federal and state governments have taken steps to promote affordable assisted living in these environments. The past two appropriations (fiscal years 2000 and 2001) for the Department of Housing and Urban Development (HUD) have included $50 million for converting elderly housing facilities to assisted living. The FY 2001 bill also included an additional $50 million under the Section 202 program (the major federal program still producing housing for older persons) to develop new subsidized assisted living facilities.
Offering assisted living services in subsidized housing addresses issues related both to future directions for long-term care and to future missions for subsidized housing. Substantial numbers of frail older residents live in subsidized housing, the result of program targeting and resident aging-in-place. Most of these residents would prefer to stay in the familiar setting of their current homes with supports that enable them to remain independent. Many housing managers feel ill-equipped to handle the range of management responsibilities that have come about from having large numbers of frail tenants in their buildings (Stewart, 2000; American Association of Homes and Services for the Aging, 1997).
From the perspective of long-term care policy, substantial cost increases for skilled nursing care have created pressure to explore a wider range of options for older persons who need public support. In particular, pressure has mounted to provide assisted living services that are affordable to older persons with low incomes when such services can prevent or delay more costly nursing home care (Mollica, 2000). 2
1 Only 5.1 percent of Section 202 facilities reported offering assisted living services in a 1999 survey (Heumann, Winter-Nelson, and Anderson, 2001). One out of four (24.6 percent) reported offering full or partial congregate services.
2 Mollica (2000) contains a very useful discussion on increasing state efforts to provide Medicaid funding for assisted living.
The aging and frailty of the residents of federally subsidized housing, which many housing sponsors experience as management problems, may represent an opportunity for expanding long-term care options for older persons with modest means. Targeting supportive services to residents in subsidized housing for older persons could be an efficient way to save Medicaid dollars that now go to nursing home care while promoting the independence of frail older persons (Crystal, Kurland, and Rosenthal, 1996).
II. PURPOSES
This report has two main purposes:
(1) To examine research on the potential demand for assisted living services in subsidized housing and on the current capacity to provide such services; and
(2) To report on case studies of subsidized housing projects that have developed assisted living services and on the issues that frequently arise with such programs.
III. METHODOLOGY
The study was conducted using two different approaches to the issues related to assisted living services in subsidized housing. The first approach examined the existing research on the potential demand for assisted living services among older residents in federally subsidized housing and the capacity to deliver such services. Because the policy goals of providing such services are to promote independence and prevent unnecessary institutionalization, this section compares risk factors for receiving nursing home services with the characteristics of the older residents in subsidized housing. In particular, similarities and differences in age, gender, income, disability, and informal family supports are described.
The research review examined the sparse research on the supportive services provided in subsidized housing, specifically, the service coordinator program and the federal Congregate Housing Services Program (CHSP). Although these programs generally do not provide a full regimen of assisted living services, they have often laid the groundwork for expanding to assisted living. A summary of this existing research appears in the Findings section below and in Section IV of the full report.
The second approach used a case study method to explore important policy and management issues raised by providing assisted living services in subsidized housing. Seventeen sponsors located in nine states participated in this research. The sponsors included in this study were those suggested by various housing experts or other sponsors. Efforts were made to include sponsors from states that provide substantial Medicaid funding for such services (e.g., New Jersey and North Carolina) as well as states that provide none (e.g., Connecticut). Some sponsors were also selected because of their substantial experience with state (e.g., Maryland and New Jersey) or federal (e.g., New Hampshire) Congregate Housing Services Programs.
Finally, the selection criteria included both public housing and private not-for-profit sponsors. Public housing authorities used public housing, Section 8, and Low Income Housing Tax Credits to finance the housing. The nonprofit corporations used Section 236 and Section 202 funds. (See Table 1 below for a summary of funding sources used by participating projects in this study and the glossary in Appendix C for descriptions of these federal programs.)
Between October 1999 and January 2000, the lead author visited eleven sponsors located in seven states (CN, KY, MD, NJ, NH, NC, and VA). Logistical problems made site visits impossible for two sponsors in New Jersey, one in North Carolina, one in Washington State, and two in Minnesota. In most cases where site visits were not possible, a contact person for the sponsor filled out the Project Interview Schedule. In a couple of cases, the lead author interviewed contact persons by telephone to obtain this information. A Project Interview Schedule (see Appendix A) was sent in advance of an in-person or telephone interview in order to allow sponsors to prepare for the interview and to find requested data. Major findings of that empirical research are summarized in Section V below. Details from each of the case studies are reported in Section VI.
Due to the open-ended nature of the interviews and the different ways project owners or managers collect, retain, and retrieve data, the available information varied considerably among the projects described in this report. (See Appendix B for a list of the contact persons providing information.) Because of the nonrandom method of selection, these results should be viewed as exploratory rather than representative of the limited universe of subsidized housing projects offering assisted living services.
Table 1: Housing Funding Sources for Sponsors
| | Public Housing | Section 236 | Section 202 | Section 202/8 | Section 202/PRAC | Section 8 | Tax Credit |
|---|---|---|---|---|---|---|---|
| Immanuel House (CT) | | X | | | | | |
| Tower One/ Tower East (CT) | | | X | X | | | |
| Christian Church Homes (KY) | | X | | X | | | |
| Springvale Terrace (MD) | | | X | | | | |
| Cedar Lane Apts. (MD) | | X | | X | | | |
| Homecrest House (MD) | | | | X | | | |
| Minneapolis PHA (MN) | X | | | | | | |
| St. Paul PHA (MN) | X | | | | | | |
| Stafford House (NH) | | | | | | X | X |
| Asbury Tower (NJ) | | X | | | | | |
| Bernard Dubin House (NJ) | | | | X | | | |
| VNA Central Jersey (NJ) | | | | | | X | |
| Koinonia Apts. (NC) | | | | X | | | |
| Preiss-Steele Place (NC) | | | | | | | X |
| Astor Dowdy Place (NC) | X | | | | | | |
| Culpepper Garden (VA) | | X | | X | X | | |
| Housing Authority Vancouver (WA) | X | | | | | X | |
| TOTAL* | 4 | 5 | 2 | 7 | 1 | 3 | 2 |
* Several sponsors have projects funded under more than one federal program, so the total project number is more than 17.
"Assisted living" lacks the precise definition that other terms such as "skilled nursing care" have. As used in this report, "assisted living" describes supports for activities of daily living (ADLs) and instrumental activities of daily living (IADLs). ADL assistance includes such services as bathing, dressing, toileting, transferring, and eating. IADL assistance includes such services as escort help for outside appointments, medication monitoring and cueing, bill paying, and health status monitoring. Most sponsors provide 24-hour supervision and medication management.
Not all of the projects in this report provide all of the services described in the above definition. Moreover, some projects use terms other than "assisted living" to describe the services provided. Indeed, some sponsors were reluctant to use the term "assisted living" to describe their services, in part because state laws vary significantly with regard to how they define and regulate assisted living. Nevertheless, all the projects described have one thing in common: they all focus on older people's increasing need for assistance as they age, and they are all committed to making sure that supportive services are available to those who need them.
Although the case studies are exploratory in nature, they demonstrate a wide variety of approaches to providing assisted living to residents of subsidized housing. They include projects large and small; housing authorities with many projects in a given community; private, nonprofit owners of just one project; and sponsors who manage only housing as well as those who operate a whole spectrum of projects, including independent living, congregate, assisted living, and skilled nursing facilities.
The assisted living programs are as diverse as the sponsors and projects themselves; they include a variety of service packages with a mix of public and private financial support and use a diverse array of service provision models. Some sponsors have significant fundraising capacity and thus have been able to subsidize the services provided to residents. Others do not have such resources and have had to explore local and state agencies to find services that could be delivered at little or no cost to residents. Many programs have worked with state and local governments to improve regulatory oversight for assisted living, obtain Medicaid waivers, achieve better coordination among providers, and create new sources of funding for such services. The wide variety of projects, services packages, and financing illustrates how assisted living services can be successfully integrated into subsidized housing under a variety of circumstances.
The descriptions of the 17 sponsors were based on information from the Project Interview Schedule, telephone conversations, and, where possible, site visits. In each case, the contact person who was interviewed or who filled out the Project Interview Schedule was given the opportunity to review the information included in this report for accuracy. Some sponsors did not provide complete information. As a result, a few case studies omit information on some topics.
IV. THE POTENTIAL DEMAND FOR ASSISTED LIVING SERVICES IN SUBSIDIZED HOUSING: A RESEARCH REVIEW
Few housing sponsors offer assisted living, and almost no research directly addresses the issue of providing such services in federally subsidized housing. The following review focuses, therefore, on the potential demand for assisted living services and the capacity for meeting that demand. Because a major public policy goal of providing such services is to prevent premature institutionalization, the review focuses on the correspondence between risk factors for nursing home admission and characteristics of older residents in subsidized housing.
A. FEDERALLY SUBSIDIZED HOUSING FOR OLDER PERSONS
The federal government has made a substantial investment in a network of housing for older persons that reaches nearly every community in the country, providing a potentially efficient base for adding affordable assisted living services. As shown in Table 2, the nation's housing subsidy programs serve more than 1.7 million older households or roughly 1.9 million older residents, 3 which exceeds the 1.4 million older persons in the nation's nursing homes (National Center for Health Statistics, 2000).
Table 2: Estimated Older Households Served by Various Federal Housing Programs, 1999 4
| | Total |
|---|---|
| HUD Programs | |
| Public Housing | 1,120,000 |
| Section 202 | 319,502 |
| Section 221(d)(3) | 109,861 |
| Section 236 | 429,567 |
| Section 8 new/rehab | 744,889 |
| Tenant Based Section 8 | 1,420,000 |
| Rural Housing Service | |
| Section 515 | 453,275 |
| Federal Incentives via State Agencies | |
| Low Income Housing Tax Credit | 433,427 |
| HOME | 125,100 |
| Total | 5,155,621 |
3 The number of individuals is derived by multiplying the number of households by 1.1, a standard multiplier used by HUD to estimate individuals living in housing for older persons.
4 Data in this table come from Kochera 2001.
B. TARGETING TO THOSE IN NEED
Housing programs serving older persons have efficiently, if inadvertently, targeted those at risk of receiving nursing home services. A 1989 Urban Institute study estimated that one-third of older residents in federally subsidized housing had some degree of frailty and that seven percent were at substantial risk of needing institutional care (Struyk, et al., 1989). Those numbers have almost certainly risen since that report was written, given the aging-in-place of many residents with increased levels of frailty. The past decade has also seen some increase in the availability of supportive services.
The risk of needing nursing home care is linked to a number of factors: age, disability level, income, gender, and availability of informal support from family and friends. For each of these factors, tenants in federally subsidized housing for older persons are at much higher risk than the general older population. Moreover, because of the incomeeligibility criteria for subsidized housing, most residents are either currently eligible for Medicaid assistance or would soon become eligible if they had costly health problems.
1. AGE
Because of the greater risk of severe disability and greater use of institutional care for older persons with disabilities, the risk of nursing home use goes up dramatically with advancing age. The likelihood of severe disability increases from 1 in 30 for those aged 65 to 74 to 1 in 10 for those aged 75 to 84 to 1 in 3 for those aged 85 and older (Stucki and Mulvey, 2000). According to the 1997 National Nursing Home Survey, there were 10.8 nursing home residents per thousand population aged 65 to 74, 45.5 per thousand aged 75 to 84, and 192.0 per thousand aged 85 and older (National Center for Health Statistics, 2000). Among persons aged 95 and older, 43.1 percent are receiving institutional care (Spector, et al., 2000).
The relationship between nursing home risk and age takes on added significance in the context of federally subsidized housing for older people where the average resident age has been steadily rising. In three waves of national surveys of the Section 202 Elderly Housing Program, the average age of residents rose from 72.0 years in 1983 to 73.6 years in 1988 to 75.0 years in 1999. The oldest projects also had the oldest residents. Among projects built before 1974, the average age of residents was 78.1 years, with 38.6 percent of residents older than 80 years (Heumann, Winter-Nelson, and Anderson, 2001).
Section 202 housing managers were asked in the 1999 survey to name the primary reasons applicants seek their housing. As Table 3 indicates, support with frailties was cited much more frequently as the primary reason for seeking elderly housing among applicants 80 years and older.
Table 3: Needs Influencing the Decision to Move to Section 202 Housing by Age of the Applicant 5
| Age of the applicant | Financial assistance | Support with frailties | Increased social contacts | Improved housing quality |
|---|---|---|---|---|
| Under 62 | 64.8% | 9.4% | 2.7% | 20.0% |
| 62-69 | 64.0% | 2.7% | 9.1% | 16.0% |
| 70-79 | 51.7% | 7.7% | 11.6% | 13.8% |
| Over 80 | 48.1% | 20.3% | 4.3% | 10.4% |
2. GENDER
Older women are more at risk of entering a nursing home than older men, partly because women have higher disability rates and because they tend to live longer than their husbands and, therefore, have less support when they need it. Among persons aged 85 and older, 24.2 percent of men have severe disabilities compared to 38.2 percent of women (Stucki and Mulvey, 2000). Women are consequently much more likely than men to enter a nursing home – 52 percent vs. 33 percent (Kemper and Murtaugh, 1991). Nursing home stays are also much longer for women. The average length of stay for women is 319 days compared to 201 days for men, and women are twice as likely as men to stay for five years or longer. As a result, women outnumber men in nursing homes by roughly three to one (74.6 percent to 25.4 percent) (National Center for Health Statistics, 2000).
The predominance of older women in subsidized housing for older persons is strikingly similar to that in nursing homes, even given the gender imbalance among the general population of older persons. The 1999 Section 202 survey found that women outnumbered men by a ratio of more than three to one – 77.6 percent to 22.4 percent (Heumann, Winter-Nelson, and Anderson, 2001). Similar gender ratios are also to be found in other types of subsidized housing for older persons.
3. INCOME
Eligibility for housing assistance varies somewhat, depending upon the funding program and the location of the housing. In general, housing assistance is limited to those who have incomes below 50 percent of the local median income. In 1997, the median income for older households in public housing was $7,451; for project-based Section 8, it was $8,227; and for other programs, it was $10,669 (Department of Housing and Urban Development, 1999).
Average incomes at these levels mean that many subsidized housing residents are currently eligible for Medicaid assistance and others would soon be eligible if they needed care. Medicaid eligibility is generally tied to eligibility for the Supplemental
5 Heumann, Winter-Nelson, and Anderson 2001.
Security Income (SSI) program, which was set at under $6,000 in income and under $2,000 in assets in 1999. If an individual is not eligible for SSI, in many states he or she may use incurred medial expenses to "spend down" income to the state's Medicaid income cut-off. Some states do not let a person spend down. Instead, his or her income must be under 300 percent of the SSI federal benefit level (Kassner and Shirley, 2000).
4. DISABILITY
The most obvious risk factor contributing to institutionalization of frail older persons is level of disability. According to data from the both the Survey of Income and Program Participation (SIPP) and the American Housing Survey (AHS), older tenants in subsidized housing report much higher levels of disability than other older renters or homeowners. Although the two surveys used somewhat different lists of ADLs and IADLs to measure disability and worded questions somewhat differently, the pattern from each survey was very similar, as shown in Table 4.
Table 4: Percent of Older Persons Reporting Disabilities by Housing Tenure 6
| | Older Homeowners | Older Unsubsidized Renters |
|---|---|---|
| Some difficulty with an ADL or IADL (1994-1995 SIPP) | 18.8 | 28.1 |
| Need help with an ADL or IADL (1995 AHS) | 16.2 | 18.8 |
IADL limitations have been shown to be directly related to increased risk of nursing home placement among public housing residents (Black, Rabins, and German, 1999). The relatively high level of self-reported disability among older subsidized renters is in line with managers' estimates of disabilities as reported in the 1999 survey of Section 202 housing. In that survey, managers estimated that 22.3 percent of their residents were frail, compared to the 13 percent estimated in the 1988 survey. Much more dramatic were the increases in specific disabilities reported by these managers. (See Table 5.)
6 Survey of Income and Program Participation, 1994-1995 (U.S. Census Bureau, 1995), and the American Housing Survey, (Department of Housing and Urban Development, 1995); Analysis by AARP Public Policy Institute. These data are the most recent collected that allow for analysis of disability levels for older persons with differing housing tenure (i.e., owner or renter).
Table 5: Percent of Residents Having Difficulty Performing Various Activities, as Reported by Manager 7
5. FAMILY SUPPORT
Family support is a very strong predictor of nursing home placement. According to the National Academy on Aging, only seven percent of older persons with long-term care needs who have family supports are living in nursing homes compared to 50 percent of those who have no family supports (Stone, 2000). Having a spouse present is generally the first line of support, followed by adult children living in close proximity. Older renters in subsidized housing are far less likely to have a spouse present than older homeowners or other older renters, as indicated in Table 6.
Table 6: Older Household Type (Aged 65 and Older) by Housing Tenure
8
| Married, Spouse Present | 66.2% | 36.0% |
|---|---|---|
| Living Alone | 23.0% | 48.2% |
| Other | 10.8% | 15.8% |
7 Heumann, Winter-Nelson, and Anderson, 2001.
8 Survey of Income and Program Participation, 1994-1995 (U.S Census Bureau, 1995); Analysis by AARP Public Policy Institute.
Data have not been collected on the numbers of relatives or friends who are available to provide informal support to residents in subsidized housing, though some studies suggest that such support is weak. An evaluation of participants in the federal Congregate Housing Services Program (CHSP), a program that provides supportive services to frail residents, found that one in three participants (32 percent) had no living children (U.S. House of Representatives, 1987). In a more recent survey of 573 older residents in subsidized housing in Florida, one-third of the respondents (34 percent) replied that they had no one to turn to for help in the event they were sick or disabled (Golant, 1999).
C. CAPACITY TO DELIVER SERVICES
The capacity to provide assisted-living-level supportive services to frail older residents varies enormously, depending on: (1) characteristics of the physical plant, (2) the presence or absence of service coordinators on staff; and (3) previous experience with service provision.
1. CHARACTERISTICS OF THE PHYSICAL PLANTS
Some housing facilities are more capable of providing assisted living than others by virtue of their physical plants. Larger facilities with commercial kitchens, dining areas, and other common spaces may be able to add assisted living services with relatively little retrofitting. Smaller facilities with limited common spaces may be ill equipped to provide such services without having to make major alterations to the physical plant.
As federal funding for housing to meet the needs of older persons has declined in recent years, smaller facilities with fewer amenities have been built. Moreover, costcontainment measures instituted in the mid-1980s severely limited common spaces for services. More than 60 percent of Section 202 facilities occupied before 1984 provided congregate dining compared to half that many projects (29 percent) occupied in the mid1980s (Heumann, Winter-Nelson, and Anderson, 2001).
2. CONGREGATE SERVICES AND SERVICE COORDINATORS
An important precursor to assisted living for residents of subsidized housing has been the federal CHSP. Enacted in 1978, the CHSP funds congregate services in approximately 100 subsidized housing projects. Most funds go toward service coordination and meals; however, the CHSP has been effective in leveraging other supportive services such as housekeeping, transportation, and personal care (U.S. House of Representatives, 1987).
Although the CHSP is small, its impact has been significant. Until the housing acts of 1990 (42 U.S.C. 8012) 9 and 1992 (12 U.S.C. 1701(q)(g)), 10 housing sponsors were forbidden to include any social services staff in their budget requests except for the few projects participating in the CHSP. Since the authorization and subsequent funding of
9 42 USC 8012 amended the National Housing Act of 1959 to allow service coordinators in Section 202 housing.
10 12 USC 1701(q)(g) added authority for service coordinators in other public and assisted housing serving older persons or persons with disabilities.
service coordinators that began in fiscal year 1993, the number of service coordinators has grown dramatically. The 1999 National Survey of Section 202 found that 37.4 percent of elderly housing projects now have service coordinators on staff (Heumann, Winter-Nelson, and Anderson, 2001). Although comparable survey data do not exist on other housing programs, a 1998 report estimated that 3,700 resident service coordinators were employed in federally subsidized housing nationwide (Mokkler and Monks, 1998).
Few service coordinators are able to offer full assisted living programs, but they are able to connect frail residents with many services that are frequently included in assisted living programs. The 1998 report on service coordinators found that the services most frequently used by their clients were housekeeping (85.0 percent), home healthcare (83.7 percent), and personal care assistance (79.0 percent) (Mokkler and Monks, 1998). In a HUD evaluation, coordinators agreed that the program was effective in "improving the quality of life for the residents, linking residents with the services they need to continue living independently, and assessing and monitoring residents' needs for and use of services" (Department of Housing and Urban Development, 1996).
3. SERVICES EXPERIENCE
Subsidized housing projects vary enormously in the services they offer. Reflecting the greater need as well as the larger size and greater physical capacity of the older projects, the 1999 survey of Section 202 housing found that older projects were far more likely to offer supportive services than newer projects. Fifty-nine percent of projects occupied before 1974 offered meals or housekeeping services compared to less than 20 percent for the periods since the mid-80s (Heumann, Winter-Nelson, and Anderson, 2001).
In addition to laying the foundation for the service coordinator program, the federal CHSP has also served as a model for a number of state programs. The state and federal CHSP programs have provided the basis in some states for expanding services still further to include assisted living in subsidized housing. For example, New Hampshire expanded its federally funded CHSP program to housing authorities throughout the state, using Medicaid waivers to provide health-related services beyond the basic CHSP model in subsidized housing projects (Martin and Salloway, 1997). Maryland has a similar state-funded CHSP that provides assisted living services in several projects.
New Jersey has the most extensive program for using its statewide CHSP as a base for expanding to assisted living services in subsidized projects. The state developed a new licensing category specifically to encourage assisted living programs in subsidized housing projects (Crystal, Kurland, and Rosenthal, 1996). Fourteen services providers are currently licensed in the state to provide assisted living programs in 37 different subsidized housing projects throughout the state. New Jersey uses Medicaid waivers to provide support for both the CHSP and assisted living programs and is seeking state funding for residents who are not eligible for Medicaid.
Similarly, Maine now includes its CHSP as one of three "assisted living" licensure categories – along with adult family care homes and residential care facilities. The state's Bureau of Elder and Adult Services characterizes congregate housing services as "Maine's preferred type of assisted living" because the regulations require private apartments with individual bathroom and food preparation areas. More than 300 individuals are served by congregate "assisted living" (State of Maine, 2001).
D. CONCLUSIONS FROM THE RESEARCH REVIEW
The network of federally subsidized housing has enormous potential to promote the independence of frail older persons with low incomes by providing assisted living services. Characteristics of older residents in subsidized housing mirror the risk characteristics of those needing nursing home care in terms of age, gender, income, disability level, and informal supports. Many sponsors have the capacity to provide assisted living because of building facilities, service coordination staffing, and experience providing limited supportive services. Although limited in size, the federal CHSP has spawned similar state programs that have become the basis for efforts to subsidize assisted living for residents with low incomes.
E. REFERENCES FOR RESEARCH REVIEW
AAHSA (American Association of Homes and Services for the Aging). 1997. Affordable Assisted Living: Options for Converting or Expanding Housing to Assisted Living. Washington, DC: American Association of Homes and Services for the Aging.
Bishop, Christine E. 1999. "Where Are the Missing Elders? The Decline in Nursing Home Use, 1985 and 1995." Health Affairs, July/August, pp. 146-155.
Black, Betty Smith, Peter V. Rabins, and Pearl S, German. 1999. "Predictors of Nursing Home Placement Among Elderly Public Housing Residents." The Gerontologist, vol. 39, no. 5, pp. 559-568.
Crystal, Stephen, Carol H. Kurland, and Lila Rosenthal. 1996. Expanded Services for Frail Elderly Tenants. New Brunswick, NJ: Rutgers University, Institute for Health, Health Care Policy, and Aging Research.
Department of Housing and Urban Development. 1999. Housing Our Elders: A Report Card on the Housing Conditions and Needs of Older Americans. Washington, DC: U.S. Department of Housing and Urban Development.
Department of Housing and Urban Development). 1996. Evaluation of the Service Coordinator Program. HUD Report No. 1613-PDR. Washington, DC: U.S. Department of Housing and Urban Development.
Department of Housing and Urban Development. 1995. American Housing Survey. 1995. Washington, DC: U.S. Department of Housing and Urban Development.
Golant, Stephen M. 1999. The CASERA Project: Creating Affordable and Supportive Elder Renter Accommodations. Gainesville: University of Florida.
Heumann, Leonard, Karen Winter-Nelson, and James Anderson. 2001. The 1999 National Survey of Section 202 Housing for the Elderly. AARP Public Policy Report #2001-02. Washington, DC: AARP.
Kassner, Enid, and Lee Shirley. 2000. Medicaid Financial Eligibility for Older People: State Variations in Access to Home and Community-Based Waiver and Nursing Home Services. Washington, DC: AARP.
Kemper, Peter, and Christopher M. Murtaugh. 1991. "Lifetime Use of Nursing Home Care." New England Journal of Medicine, February 28, pp. 595-600.
Kochera, Andrew. 2001. "A Summary of Federal Rental Housing Programs." Public Policy Institute Fact Sheet # 85. Washington, DC: AARP.
Martin, Tamara A. and Jeffrey Salloway. 1997. Evaluation, The Tavern Alternative Housing Program: Providing Alternative Housing for Low-Income Seniors. Concord, NH: The New Hampshire Health Care Transition Program.
Mokkler, Pamela M., and Janice C. Monks. 1998. "National Resident Service Coordinators' Perceptions Study: The Role of Service Coordination in Independent Housing Communities." Quality Aging Solutions Report.
Mollica, Robert. 2000. State Assisted Living Policy: 2000. Portland, ME: National Academy for State Health Policy.
National Center for Health Statistics. 2000. The National Nursing Home Survey: 1997 Summary. Washington, DC: U.S. Department of Health and Human Resources, National Center for Health Statistics.
Rhodes, Jeffrey A., and Nancy Krauss. 1999. Nursing Home Trends, 1987 and 1996, Publication No. 99-0032. Rockville, MD: Agency for Healthcare Policy and Research.
Spector, William D., John A. Fleishman, Liliana E. Pezzin, and Brenda C. Spillman. 2000. The Characteristics of Long-Term Care Users. Publication No. 00-0049. Rockville, MD: Agency for Healthcare Policy and Research.
State of Maine, Bureau of Elder and Adult Services. 2001. "Overview of Maine's Assisted Living Programs." Presented at the "Coming Home" program sponsored by the Robert Wood Johnson Foundation and the National Cooperative Bank.
Stewart, Julie Masker. 2000. "Aging in Place: The Impact on Public and Affordable Housing," Housing and Community Revitalization Strategies, Summer, vol.# 2, issue 2.
Stone, Robyn. 2000. "Long-Term Care for the Elderly with Disabilities: Current Policy, Emerging Trends, and Implications for the Twenty-First Century." Milbank Memorial Fund.
Struyk, Raymond J., Douglas B. Page, Sandra Newman, Marcia Carroll, Makiko Ueno, Barbara Cohen, and Paul Wright. 1989. Providing Supportive Services to the Frail Elderly in Federally Assisted Housing, Report 89-2. Washington, DC: The Urban Institute.
Stucki, Barbara, and Janemarie Mulvey. 2000. Can Aging Baby Boomers Avoid the Nursing Home? Washington, DC: American Council on Life Insurance.
U.S. Census Bureau. 1995. Survey of Income and Program Participation 1994-1995. Washington, DC: U.S. Census Bureau.
U.S. House of Representatives, Select Committee on Aging. 1987. Dignity, Independence, and Cost-Effectiveness: The Success of the Congregate Housing Services Program. Report No. 100-650.
STATUTES CITED
42 U.S.C. 8012
12 U.S.C. 1701(q)(g)
V. ADDING ASSISTED LIVING SERVICES TO SUBSIDIZED HOUSING: FINDINGS FROM CASE STUDIES
The following section summarizes major issues that emerged from case studies of 17 projects that provide assisted living services to frail older residents. Section VI provides more detailed descriptions of the programs in these projects. Each project has confronted problems such as service availability, staffing, and building limitations. As a hybrid between housing and services, subsidized housing projects often have to deal with unique issues that are different from purpose-built assisted living. Limited resources and experience sometimes force compromises that restrict services. The problems these innovative projects have confronted and the solutions they have devised can be very instructive to policy decisionmakers, housing sponsors, and services providers.
A. FINANCIAL ISSUES
1. FUNDING
Finding funding sources for assisted living services is one of the most difficult issues faced by sponsors. They typically find it necessary to develop several funding sources.
Given the expense of assisted living services and the limited resources of residents, sponsors have had to be creative in finding funding sources for services to frail residents. Typically, sponsors arrange services through an array of public and private sources. Seven sponsors reported three funding sources, five sponsors had four funding sources, and one sponsor reported five funding sources. Table 7 shows the services funding sources for the 17 sponsors.
Table 7: Funding Sources for Services with 17 Subsidized Housing Sponsors
| | Resident | Medicaid | OAA Title IIIB | Fed/ State CHSP | HUD Grant | State | County | Comm. Action Prog. |
|---|---|---|---|---|---|---|---|---|
| Immanuel House (CT) | X | | | | X | | | |
| Tower One/ Tower East (CT) | X | | | | X | | | |
| Christian Church Homes (KY) | X | X | | | | X | | |
| Springvale Terrace (MD) | X | | | X | | | X | |
| Cedar Lanes Apts. (MD) | X | | | | X | | | |
| Homecrest House (MD) | X | | | | | X | X | |
| Minneapolis PHA (MN) | | | | | | X | X | |
| St. Paul PHA (MN) | X | X | | | | | | |
| Stafford House (NH) | X | X | | | | X | | |
| Asbury Tower (NJ) | X | X | | X | | | | |
| Bernard Dubin House (NJ) | X | X | | X | | | | |
| VNA Cent. Jersey (NJ) | X | X | | X | | | | |
| Koinonia Apts. (NC) | X | | X | | | | X | X |
| Preiss-Steele House (NC) | X | X | X | | | | | |
| Astor Dowdy Pl. (NC) | X | X | X | X | X | | | |
| Culpepper Garden (VA) | X | | | | | X | X | |
| Housing Authority Vancouver (WA) | X | X | | | | | | |
| TOTALS | 16 | 9 | 3 | 5 | 4 | 5 | 5 | 1 |
Sponsors vary in the degree to which services are funded from private contributions or from publicly subsidized sources. Sixteen sponsors require at least some resident payments for services. Residents pay virtually the full cost at Cedar Lane Apartments (MD). Because public subsidies are lacking, several owners also have developed substantial fundraising capacity and fund their programs primarily from resident payments and private fundraising. Immanuel House and Tower One/Tower East (CN), 11 Christian Church Homes (KY), and Homecrest House (MD) fall into this category.
Nine sponsors have residents who benefit from Medicaid home and community-based waivers but they use a variety of approaches. For example, Stafford House (NH) received its initial funding from a special state account set aside from Medicaid funds. The housing authority worked with the state to develop a Medicaid waiver proposal to provide more stable funding.
CHSP programs are also significant sources of public funding for a limited number of projects. Five sponsors receive federal or state CHSP funding. Local public resources are also often tapped to provide services. For example, Preiss-Steele Place (NC) convinced the county to provide one of its social workers on-site each week to do case management at no cost to either the project or the residents. In the Minneapolis Public Housing Authority, all services are paid for by state or county programs.
2. CONTROLLING COSTS VS. REASONABLE PAY FOR WORKERS
Funding limitations result in relatively low staff pay that can result in high staff turnover.
Owners are strongly motivated to keep assisted living costs as low as possible in order to make services affordable. In cases like Cedar Lane Apartments (MD), where the residents pay the full cost of services, the cost issue is particularly acute. Nurses aides or assistants are the core staff for providing personal care. Many of these people are paid at or near minimum wage. Paying at this level may keep costs down but makes it difficult to develop a loyal and committed staff, which often results in high staff turnover.
3. IMPACT OF ASSISTED LIVING ON TROUBLED PROJECTS
Assisted living services can help troubled housing projects financially by making otherwise hard-to-rent efficiency units marketable to assisted living residents.
Assisted living can benefit a project economically and contribute to the well-being of residents. Efficiency apartments are often in less demand because consumers want a separate bedroom. Projects with such units can sometimes benefit from converting efficiency apartments to assisted living units.
11 Because Connecticut does not make extensive use of Medicaid waivers, both Tower One/Tower East in New Haven and Immanuel House in Hartford have created nonprofit fundraising bodies, have brought services available within their communities into their facilities at no cost to the facility, and have provided some services to residents on a fee-for-service basis.
Springvale Terrace (MD) had a cluster of efficiency apartments that were very difficult to rent because of their location, which required a trip on two separate elevators to reach the central dining room. By adding a nursing station and a small dining room as well as upgrading the units, it became possible to rent them to persons requiring enhanced personal care. Cedar Lane Apartments (MD) includes 22 efficiency units without kitchens. After the facility was licensed for assisted living, these units were marketed to applicants requiring enhanced personal care for whom kitchens were less important.
An assisted living program may not have as dramatic an impact on the economics of other projects as in the two described above. However, of the eleven sponsors visited by the lead author, none showed adverse economic impacts as a result of providing assisted living services, and most showed at least a modest positive impact. Immanuel House (CN) is in a highly competitive market and has no waiting list but has only seven vacancies out of 201 units. The administrator believes that vacancies would be higher if the project did not provide the rich menu of resident services that it does. Tower One/Tower East (CN) is also in a competitive market with no waiting list, and only five out of its 365 units are vacant. The administrator believes that safety features, as well as the extensive services available, have been essential to keeping the buildings full.
In projects with long waiting lists, such as Culpepper Garden (VA) and Bernard Dubin House (NJ), it is more difficult to assess the impact of the assisted living program on the economics of the projects. It may be that their waiting lists are long because they offer desirable services and their turnover rates are low because residents stay who without supportive services would otherwise have to move.
4. COST DATA FOR ASSISTED LIVING PROGRAMS
The limited data available suggest that providing assisted living services in subsidized housing may result in overall cost savings compared to costs in a nursing home or a market-rate assisted living facility.
Cost data were insufficient to make conclusive comparisons among assisted living programs or between assisted living in subsidized housing versus private assisted living projects or nursing homes. Projects vary in the services that they offer (as do private assisted living projects) and the information that they gather. Among projects that kept relatively complete cost data, the cost of assisted living services in subsidized housing was substantially less than most market-rate assisted living or skilled nursing facilities. Table 8 shows the average monthly cost of services in those projects for which data were available.
Table 8: Selected Characteristics of 17 Assisted Living Services Sponsors
| | Average Monthly Cost (Exclusive of Rent) | Scattered Units (Yes/No) | Services Provided: Directly (D) Contracted (C) Mixed (M) | Average Age: All Residents |
|---|---|---|---|---|
| Immanuel Tower (CT) | NA | Y | C | 78 |
| Tower One/ Tower East (CT) | NA | Y | M | 86 |
| Christian Church Homes (KY) | $1,414 | N | D | 82 |
| Springvale Terrace (MD) | $1,109 (1) | Y & N | D | 85 |
| Cedar Lane Apts. (MD) | $1,225 (2) | Y | D | 83 |
| Homecrest House (MD) | $886 (3) | N | M | 83 |
| Minneapolis PHA (MN) | $800 | Y & N | C | NA |
| St. Paul PHA (MN) | $1,117 | Y | C | NA |
| Stafford House (NH) | $588 | Y | M | 76 |
| Asbury Tower (NJ) | $407 (4) | Y | M | 77 |
| Bernard Dubin House (NJ) | NA | Y | M | 84 |
| VNA Central Jersey (NJ) | NA | Y | C | NA |
| Koinonia Apts. (NC) | NA | Y | C | 79 |
| Preiss-Steele Place (NC) | NA | Y | C | 68 |
| Astor Dowdy Place (NC) | $424 | Y | M | 68 |
| Culpepper Garden (VA) | $1,100 (5) | N | D | 80 |
| Housing Authority Vancouver (WA) | $1,500- $1,800 (6) | Y | C | NA |
(1) Monthly charge to enhanced personal care residents; may not reflect total cost of services
(2) Monthly charge to resident receiving intensive services
(3) Monthly charge to resident; may not reflect the total cost of services
(4) Includes cost of both CHSP and Expanded Services Program (ESP) funded by Medicaid
(5) Projected charge to resident (facility not yet open at time of interview)
(6) Covers both rent and services; $1,500 is for the lowest level of care and $1,800 is for the highest
Among those projects that keep relatively complete cost information is Christian Church Homes (KY). The total monthly services cost per assisted living resident is $1,414, which includes $329 for meals (three meals, seven days a week), $38 for housekeeping, and $1,047 for personal care. In addition, the rent for an efficiency apartment is $570 per month for a total cost of $1,984. Few, if any, residents pay this amount, because HUD provides housing subsidies, and the sponsor provides service subsidies. Furthermore, most residents are Medicaid-eligible and benefit from state supplemental funds.
A private assisted living provider manages the program for the Housing Authority of Vancouver (WA). The assisted living provider receives tenants' contributions as well as a reimbursement (primarily Medicaid) of $1,500 to $1,800 per resident per month, depending on the level of care required. The provider pays the housing authority for the rent and contracts for services under an arrangement worked out between the state Medicaid program and the assisted living provider.
Most sponsors did not include rent as part of their cost reports. The Amherst H. Wilder Foundation, which funds assisted living services in several housing projects in St. Paul, Minnesota, reports an average monthly cost per resident of $1,117, which includes food and services but not rent. In New Jersey, the Asbury Park project was a pilot project for assisted living in subsidized housing and was closely monitored and evaluated by Rutgers University. The average cost for a Medicaid-eligible participant was $6,548 per year excluding rent. The market rent for an efficiency apartment was $530 per month or $6,360 per year. The total of $12,908 fell well below the average Medicaid cost for skilled nursing care of $36,000 in 1996 in New Jersey. The average monthly cost shown in Table 9 for Asbury Park is significantly lower than $6,548 per year because most residents did not require the full array of assisted living services.
B. SERVICE DELIVERY ISSUES
1. SCATTERED VS. CONCENTRATED ASSISTED LIVING UNITS
Assisted living residents in most projects are scattered throughout the building rather than grouped in one location.
Although some projects have located all residents receiving assisted living services in one area, most provide the services to persons throughout the building (See Table 9 above). Sponsors who have located all service recipients in one area argue that such an approach creates cost savings due to economies of scale and the savings of staff time. On the other hand, sponsors who have assisted living residents scattered throughout the building argue that this arrangement ensures that these residents are not set apart or stigmatized in relation to other residents of the project, and it also allows residents to obtain assisted living services without having to move.
State policy and a project's physical configuration can dictate choices. New Jersey regulations prohibit requiring residents to move to a special section in the building to receive services. Dealing with a peculiar physical plant, Springvale Terrace (MD) had a cluster of efficiency units that were very difficult to rent because of their location and size. However, such units lend themselves to providing assisted living services. The location of the unit dictated a solution of offering assisted living services in a segregated section of the building. On the other hand, the 22 efficiency units without kitchens in the Cedar Lane Apartments (MD) were scattered throughout the project. Under that configuration, scattered unit services were necessary.
Twelve of the 17 sponsors described have assisted living residents scattered throughout their buildings. Three sponsors have clustered the residents receiving assisted living services into one area or one building. Culpepper Garden (VA) has a Section 202 PRAC (Project Rental Assistance Contract) project licensed as an Adult Care Residence. Residents requiring assisted living services must relocate into this recently built assisted living wing. Christian Church Homes (KY) has received licensing to operate 61 efficiency units on three floors as a personal care facility. Homecrest House (MD) had its third project, Homecrest III, certified as a state CHSP provider and places residents needing assisted living services in this building.
Two sponsors have both concentrated and scattered assisted living residents. Springvale Terrace (MD) has 40 residents receiving personal care scattered throughout the building and another 36 residents receiving personal care in a designated section of the building. The Minneapolis Public Housing Authority has three projects with assisted living residents scattered throughout the buildings and one project of 42 units in which all residents receive assisted living services.
2. RESIDENTIAL VS. INSTITUTIONAL ENVIRONMENT
All of the sponsors visited by the lead author have retained a residential environment while implementing an assisted living program.
A number of architectural and staffing factors determine the environment in a project. None of the sponsors visited by the lead author appeared institutional in the sense that a nursing home is institutional (no locks on doors, open nursing stations, wide corridors, semi-private rooms, uniformed nurses, medication carts), although some of the projects had more institution-like features then others. For example, the Christian Church Homes (KY) Section 202/8 project was built with ten-foot-wide corridors and four-foot-wide apartment front doors. Springvale Terrace (MD) has an open nursing station in the area providing enhanced personal care. These features are not typical for most housing projects.
On the other hand, all of the visited sponsors had taken steps to reduce the institutional appearance and enhance the residential nature of the environment. For example, service providers wear street clothes rather than uniforms. In Asbury Tower (NJ), service providers carry medications in briefcases rather than on traditional medicine carts. In most projects, nursing services were run out of offices rather than nursing stations in the corridors. In all cases, the assisted living residents had private apartments with full baths and, in most cases, kitchens or kitchenettes.
3. PROVIDING SERVICES DIRECTLY VS. CONTRACTING
Most sponsors contract out at least some of their assisted living services.
Owners who provide most services directly argue that this approach can save money and provide the owner with control over the assisted living program. Those who contract the services to outside agencies argue that many owners lack the skills necessary to administer an assisted living program. They also note that contracting out, particularly for personal care services, may provide some liability protection to the owner in the event of a mistake made by the assisted living staff.
Four sponsors provide all assisted living services through their own staff. In Cedar Lane Apartments (MD), all service-providing staff members are project employees. The administrator believes that this arrangement is less costly to residents, who pay the full cost of all services. Six sponsors provide some services through their own staff and contract out other services. For example, Stafford House (NH) employs housekeepers but contracts out personal care to a local Visiting Nurses Association.
Seven sponsors provide all assisted living services through outside providers. Two sponsors in North CarolinaPreiss-Steele Place and Koinonia Apartmentsprovide residents with a list of agencies through which services can be obtained. For the most part, these two sponsors neither provide services nor contract for services but instead assist residents in contracting with appropriate local providers.
4. A LA CARTE VS. BUNDLED SERVICE PROGRAMS
Most sponsors in this study provide à la carte services; those providing bundled services tend to be the larger projects that provide services directly through project staff.
Owners who provide or arrange for à la carte services argue that doing so supports resident independence and responsibility by keeping the locus of decision-making with the resident. They claim that when the resident has decision-making power, particularly when fees are involved, residents stay focused on what they need and are discouraged from becoming overly dependent. A la carte services are provided in a number of projects, including Immanuel House and Tower One/Tower East, both in Connecticut. Culpepper Garden (VA) offers housekeeping services to any resident for a fee, and a private home health care agency subsidized by the county offers personal care for a fee.
Owners providing packaged services (whether directly or by an outside contractor) point out that it is much easier to structure such a program and to maintain a simple billing system. When services for individual residents can be billed in increments of as little as five minutes, accounting can quickly become complex and unwieldy. Thus, a number of sponsors have opted to bundle service programs and charge the resident a flat rate. Among them are Christian Church Homes (KY) and the three sponsors in Maryland.
5. MANDATORY VS. VOLUNTARY MEALS PROGRAMS
Smaller sponsors and those without mandatory meals programs may have more difficulty developing meal programs for assisted living residents.
Some older Section 202 and Section 236 projects have mandatory meals programs, requiring residents to take one meal per day as a condition of occupancy. This policy was permitted in the early days of Section 202 as a way of creating the "critical mass" necessary to provide a cost-effective meals program. For these projects, providing two or three meals per day to assisted living residents has generally been easy to do, because they already have the capacity to provide meals. Newer Section 202 projects have not been permitted to make meals mandatory because of a change of policy by Congress in the 1980s. In addition, newer projects tend to be smaller and may not have the space for a commercial kitchen or a central dining room.
Six sponsors have mandatory meals programs for all residents. In the Tower One/Tower East project (CN), Tower One has a mandatory meals program, but Tower East, which is a newer Section 202 project, does not. All three of the sponsors in Maryland have mandatory meals programs in their projects. Other sponsors have succeeded in making optional meals programs available to all residents, regardless of whether they are in the assisted living program. Immanuel House (CN) has a memorandum of understanding with a local hospital that provides an optional onsite meals program.
Public housing projects do not have mandatory meals programs and frequently provide meals for assisted living residents through outside contractors. The Minneapolis Public Housing Authority has a contract with Volunteers of America to provide meals for assisted living residents in four projects. The St. Paul Housing Authority provides meals for assisted living residents through a contract with the Wilder Foundation, which also provides other assisted living services. Participants receive breakfast in their apartments and the other two meals in the central dining room.
6. COORDINATION WITH LOCAL SERVICE PROVIDERS
Effective coordination eliminates overlapping services, confusion, and potential conflicts.
Some participants in assisted living programs may already be receiving in-home services from hospitals and other local agencies. Because these services may overlap with assisted living services provided by the project, coordination with such groups is essential in order to prevent resident and staff confusion. Coordination can also mitigate potential opposition to the project's assisted living program by agencies that may perceive themselves as competitors.
HUD funding for service coordinators often provides a critical link between frail residents and needed services. For example, in Tower One/Tower East (CN) the service coordinators maintain contact with a wide range of public and private service providers. They also coordinate the provision of assisted living services by their contractor as well as by a number of home health care agencies that provide services to one or more residents.
The Laconia Housing Authority (NH), which developed Stafford House, uses its Professional Assessment Committee (PAC) not only for resident assessment but also as a way to coordinate services between local agencies and build local support for its program. The PAC consists of a social worker from a county nursing home, representatives from the state Department of Health and Human Services and its Elderly and Adult Services Division, and representatives from three county agencies, including the agency for the mentally disabled, the mental health agency, and the county long-term care coordinator.
C. LEVEL OF EFFORT AND TYPE OF HOUSING
1. STATEWIDE EFFORTS VS. INDIVIDUAL PROJECT APPROACH
States can greatly facilitate the expansion of assisted living programs in subsidized housing by developing statewide strategies and funding mechanisms.
Sponsors in this study from two states have benefited from statewide efforts to provide assisted living in subsidized projects. The availability of Medicaid funds in a special demonstration account allowed New Hampshire to develop a pilot program based on the state's experience with the federal CHSP. The Laconia Housing Authority received funding for a pilot assisted living program in Stafford House, which it manages. The
housing authority and its consultant worked with the state in developing its Medicaid waiver to cover assisted living in subsidized projects. Now, the pilot is receiving funds through the Medicaid waiver, and other subsidized projects are also eligible to set up assisted living programs and receive funding through the Medicaid waiver.
New Jersey provides assisted living programs in 37 public housing and privately owned subsidized projects, based on its experience with a state CHSP. In 1994, the state received a grant from the federal Administration on Aging and used the funds to operate a two-year pilot assisted living program at Asbury Tower. Rutgers University conducted a study of the pilot program. Based on the pilot's success, the state developed licensing procedures and regulations for assisted living programs in subsidized housing. New Jersey received a Medicaid waiver that permits Medicaid reimbursement for assisted living services to Medicaid-eligible residents of subsidized housing. The state is also attempting to develop state funding for assisted living residents with low incomes who are not eligible for Medicaid.
In contrast to the statewide efforts of New Jersey and New Hampshire, projects operating in states without strong statewide efforts must typically put together service packages from multiple funding sources. Such projects vary widely in the services they provide because no state agency defines the program.
2. PUBLIC HOUSING VS. PRIVATE NONPROFIT HOUSING
Public housing authorities and private nonprofit sponsors bring different strengths and resources to assisted living programs.
With an inventory of projects throughout a city, public housing offers an opportunity to develop a community-wide approach to assisted living for frail older persons with low incomes. For example, the St. Paul Public Housing Authority has contracted with the Wilder Foundation to provide assisted living in four projects. The four projects contain 750 units and house approximately 170 residents receiving assisted living services. The Minneapolis Public Housing Authority also provides assisted living in four projects but does so through three separate assisted living service providers. The four Minneapolis projects contain a total of 665 units and serve 109 residents though its assisted living program. The Housing Authority of Vancouver (WA) provides assisted living in two projects with 252 units. These two projects serve 60 assisted living residents.
Although private nonprofit owners generally do not have multiple housing projects in any one city, they sometimes have greater experience in providing services because they operate care facilities such as nursing homes or assisted living in other locations. For example, Christian Church Homes (KY) draws on nursing staff from its adjacent nursing home to work in its assisted living program in a Section 202 project. Presbyterian Homes of New Jersey has developed a number of projects providing a wide range of services. They were able to draw on experiences and staff from other parts of their organization when developing an assisted living program for Asbury Tower.
D. MANAGEMENT ISSUES
1. COMPATABILITY OF HOUSING AND SERVICES STAFF
Cooperation between housing and services staff must be developed and cannot be taken for granted.
An important issue for any owner contemplating offering assisted living services is the relationship between the staff who manage and operate the project and the staff who will be providing assisted living services. In one case included in this report, the project manager was dismissed after a very difficult period during which there was little coordination between the two staffs. In this instance, the housing staff was perceived to be suspicious and hostile toward the service staff.
Sponsors of CHSP programs have found the addition of assisted living services less of a problem, because many issues were resolved when the CHSP was instituted. Service coordinators can be critical in developing links between housing managers and service providers. However, it is necessary to obtain clear agreement on the purposes of assisted living and the roles of all staff in order to make an effective transition into providing assisted living services.
2. INTEGRATING STAFF FROM DIFFERENT DISCIPLINES
An effective assisted living program requires professionals to think and operate differently from how they might in a more traditional environment.
Providing assisted living services in a subsidized project tends to put a variety of professionals in a new and unaccustomed environment. Nurses and their aides, social workers, and housing managers have different training and experience that affects how they relate to their customers. An effective assisted living program requires professionals from all disciplines to adjust to the unique hybrid environment of assisted living in subsidized housing. For example, housing staff, from managers to maintenance workers, need training in how to recognize potential problems and service needs as they interact with residents and how to report them to appropriate services staff.
All staff should function as a team focused on the well-being of the residents. Although this sounds simple, projects with successful assisted living programs have invariably spent considerable time and effort in initial and ongoing staff training. In Tower One/Tower East (CN), even the maintenance staff and the housekeepers are involved in checking and reporting on changes in resident needs. All staff members are trained to be sensitive to resident needs, regardless of their specific job.
3. IMPACT OF ASSISTED LIVING ON THE CHARACTER OF THE PROJECT AND ON POTENTIAL RESIDENTS
The short-range impact of assisted living services on the residential character of the projects has been minimal.
One concern of owners and residents in projects about to embark on an assisted living program is how the program will affect the character of the project. For example, residents of Asbury Towers (NJ) were concerned at the inception of the pilot assisted living program that their housing would become more like a nursing home. After the program became operational, these concerns dissipated, and residents not participating in the assisted living program found comfort in the fact that assisted living services would be available to them in their homes should they ever need them. With 30 assisted living residents scattered throughout a 350-unit high-rise building and service providers dressed in street clothes and carrying medications in briefcases, the assisted living program had very little impact on the overall character of the project as a residential facility.
Some sponsors have been concerned that having older and frailer residents will discourage younger applicants with few or no frailties from moving in. It is sometimes difficult to sort out cause and effect in evaluating this concern. In Tower One/Tower East (CN), the tendency over the last several years has been for new applicants to be older and frailer. The assisted living program was initiated in response to that change, but having a program in place may also attract older and frailer applicants.
Most sponsors decided to provide assisted living because of the aging and frailty of their residents, especially in older projects such as Immanuel House (CN) and Springvale Terrace (MD). Because the assisted living programs are fairly recent developments, it is not yet clear what the long-term impact will be on characteristics of the resident population or the residential character of the projects.
4. IMPACT OF ASSISTED LIVING PROGRAM ON RESIDENT ACCESS TO SERVICES
The assisted living programs have enhanced access to services by residents, whether or not they needed full assisted living services.
Sponsors were generally committed to enabling all residents, including those not yet requiring assisted living services, to remain as independent and autonomous as possible. In many cases, the assisted living program provided benefits to residents not receiving assisted living services by offering optional services such as meals and housekeeping or the opportunity to consult with a nurse. Service coordinators often take the lead in providing help to residents who are in need of services as well as making sure wellness programs are available to all residents. For example, Tower One/Tower East (CN) has two service coordinators who are available to all residents.
Persons entering assisted living programs are typically evaluated on admission and periodically thereafter to make sure they are receiving the services they need. In the Minneapolis Public Housing Authority, a county nurse performs the initial assessment on each applicant and determines both eligibility and level of need, because funding comes from the county-administered Medical Assistance Program. In Preiss-Steele Place (NC), residents are responsible for obtaining the services they need, but they receive assistance in doing so from a county caseworker who spends several hours each week on site.
5. PROJECT LIABILITY
This study found no evidence that providing assisted living services increased liability or insurance costs for the sponsors interviewed.
Several project administrators reported that one reason for contracting out the personal care and administration of medications is to avoid potential liability in the event of an accident or mistake. It is not clear whether and to what extent contracting out results in reduced liability, but none of the sponsors mentioned cases in which this was an issue. When sponsors were asked about insurance liability issues and additional charges for coverage because of the provision of assisted living services, they reported that the problems were minimal.
E. OTHER ISSUES
1. STATE LICENSING
States vary widely as to how they regulate assisted living programs.
States vary considerably in approaches to licensing assisted living programs. Kentucky and New Hampshire did not have assisted living licensure at the time this research was conducted, although they were working on licensing requirements. Other states have more than one program that could cover assisted living. For example, Maryland certifies CHSPs and licenses assisted living facilities. Two Maryland sponsors have very similar programs, yet one is certified for CHSP and the other is licensed for assisted living.
New Jersey has added a new type of licensure. The state developed regulations to license assisted living programs as well as assisted living facilities. A licensed assisted living program can be brought into a subsidized housing project for older persons without the necessity of licensing the facility. Washington and Minnesota also followed this pattern of licensing the providers of assisted living services rather than the facility.
The exploratory nature of this research did not allow for the complex data gathering required to measure quality outcomes. It is clear, however, that similarly frail older persons are receiving a variety of assisted living services in a variety of settings under a wide range of state regulations and oversight.
2. DESIGN APPROPRIATENESS AND RETROFITING NEEDS
Many facilities would benefit from modifications to accommodate assisted living programs and residents.
Certain design features of older projects such as long, narrow corridors with apartments lining each side, often make serving frail older persons difficult. Residents who are easily confused can lose their way in such settings. Narrow corridors also represent challenges for wheelchair users, because they may not provide sufficient room to pass. In one project, an altercation developed when two persons in electric wheelchairs moving in opposite directions refused to grant each other the right-of-way. In another project, the user of an electric wheelchair nearly ran over the administrator while traveling in a narrow corridor.
A frequent problem is the lack of space for offices, lounges, and meals programs. Several projects have converted efficiency or one-bedroom units to meet such needs. For example, much of the first floor of Immanuel House (CN) was converted to a medical clinic, day care center, computer learning center, and offices for staff. Opening a unit in the midst of a long corridor can provide an area for socializing, a landmark to help those who are confused, or a pull-off space for passing wheelchairs.
F. CONCLUSIONS FROM CASE STUDIES
(1) These case studies demonstrate that assisted living services can be successfully integrated into subsidized housing projects for older persons.
The case studies in this report demonstrate that assisted living services can be successfully integrated into subsidized housing projects for older persons. They also demonstrate that there is no one "right" way to initiate and deliver such services. Indeed, sponsors must tailor their programs around the physical plant, staffing, services availability, and resident needs that are unique to any given project.
(2) The major obstacles to implementing assisted living services in subsidized housing are funding for services and training and coordination of housing and services staff.
The case studies highlight a number of issues that any owner must address before initiating assisted living services. The two most important issues appear to be funding for services and the planning, training, and coordination necessary to ensure that housing management staff and assisted living staff work as a unit in serving the needs of the project residents. All of the case examples have had to come to some resolution on these two issues, though no two projects resolved them in precisely the same way.
(3) States that funded such programs have greatly facilitated the development of assisted living services in subsidized housing.
States can play a crucial role in enhancing the development of assisted living services for residents of subsidized housing. The case studies illustrate the importance of state funding mechanisms for providing assisted living services to residents of subsidized housing. States that have such funding mechanisms, such as New Hampshire and New Jersey, had the active involvement of housing authorities and nonprofit owners in working with state legislatures and state executive offices.
(4) State efforts to develop regulations and monitoring efforts specific to assisted living services in subsidized housing are in their nascent stages. If such services become more common, states will have to develop more effective ways to monitor and enforce quality.
New Jersey is the only state to develop regulations specific to assisted living in subsidized housing. Other states, such as Minnesota and Connecticut, have developed more generic regulations for assisted-living-type services provided in residential settings. These regulations tend to treat such "assisted living" services in a manner similar to home care services. Other states, such as Maine and Maryland, regulate "assisted living" in subsidized housing as "congregate housing services." Many states simply have no regulations at present that apply adequately to assisted living services in subsidized housing.
(5) Significant research is needed to develop models and strategies for expanding assisted living services in subsidized housing nationwide.
Further research on assisted living in subsidized housing is greatly needed as interest in this service option grows. Despite the more extensive use of service coordinators, few project owners routinely assess resident needs for assisted living services. Furthermore, information from individual assessments is not aggregated in a way that allows the development of area-wide and statewide strategies for the delivery of services. Little work has been done in analyzing the cost-effectiveness of providing assisted living services to residents of subsidized housing. Research is also needed on design and retrofitting options, building code issues, and funding mechanisms both for retrofitting buildings and for services.
Critical to the expansion of assisted living in subsidized housing will be evaluations of the quality of services that are provided to the residents. Such research is especially critical given the variety of facilities, staffing and services offered. Surveys of resident satisfaction would also determine whether services are meeting expectations and enhancing resident quality of life.
VI. CASE STUDIES IN PROVIDING ASSISTED LIVING IN SUBSIDIZED HOUSING
Connecticut
Immanuel House
Immanuel House is sponsored by Immanuel Congregational Church in Hartford. The 220-unit apartment complex for older persons contains 145 efficiency apartments; the rest are one-bedroom units. The project has no waiting list.
RESIDENTS
The resident population reflects the aging-in-place common in older projects. The average age of the residents is 78 to 79, and average occupancy is eight years. Sixty percent of the residents are women, and roughly equal numbers are blacks and whites.
PROJECT INFORMATION
Financed under the Federal Housing Administration (FHA) Section 236 program, the project was first occupied in November 1971. The interest rate on the mortgage was effectively reduced to one percent, making it possible to offer reduced rents to lowincome tenants. Rents range from $485 to $503 per month for efficiency units and $568 to $580 for one-bedroom apartments. A Section 8 Loan Management Set-Aside contract covers 122 units, and six residents have Section 8 vouchers or certificates.
ASSISTED LIVING PROGRAM INFORMATION
Connecticut does not license assisted living facilities, but recognizes the project as a Managed Residential Community (MRC). The HUD-paid service coordinator brings services into the building for both residents and persons in the neighborhood. Hartford Hospital provides an onsite lunch program. Approximately 50 residents, as well as 100 persons from the community, participate regularly in the lunch program. Approximately 20 residents receive meals-on-wheels. Ninety residents receive housekeeping services, and 35 receive personal care. Residents choose their service providers and the amount of services. Approximately 100 residents receive no-cost companion services.
Through arrangements with community agencies, the project offers a wide range of services, which are available both to residents and the community. St. Francis Hospital operates a medical center. The City of Hartford operates a mini-library. The Hebrew Home and Hospital runs a geriatric day care center, and about half of the participants are project residents. Under an arrangement with a child care facility operated by a local Baptist church, children visit with residents and residents visit the children. Public transportation picks up residents on a regular basis to go grocery shopping. The project also houses a computer learning center, which offers both use of computers and computer training to project and community residents. The Honor Society from a nearby high school provides volunteer services to residents, such as waiter services at mealtime.
The Immanuel Church Foundation receives bequests and donations on behalf of the project. Resident volunteers operate a small grocery store onsite and give the income, about $8,000 to $10,000 annually, to the foundation. The foundation currently realizes $30,000 from investments, which it uses for programming and other activities such as the purchase of a 14-person van. The project negotiated a lease with an adjacent medical office condominium that needed extra parking. The lease generates approximately $40,000 per year, which goes into a fund for capital improvements.
ARCHITECTURAL AND DESIGN ISSUES
The ground floor includes a full commercial kitchen and a central dining room, an exercise/meeting room, a public library, a game room, and a storage area for residents' personal belongings. The main floor includes the grocery store, the medical clinic, the day care center, the computer learning center, and offices. Several apartments were converted to make room for these services.
POLICY AND PROCEDURAL ISSUES
The service coordinator participates in interviews with potential residents and their families and provides them with information about assisted living service options. Residents meet monthly to plan activities, and staff and residents meet quarterly to discuss issues and problems. Residents also volunteer in activities to monitor the entrance to the building and lead activities.
Tower One and Tower East
PROJECT INFORMATION
Sponsored by the New Haven Jewish Federation, the Tower One and Tower East complex includes two high-rise buildings with a total of 359 units serving older persons in New Haven. Tower One, which opened in 1971, contains 215 apartments. Tower East, a Section 202/8 project that opened in 1982, consists of 144 one-bedroom units and six two-bedroom units. Residents receiving assisted living services are located throughout the projects.
RESIDENTS
The resident population reflects the aging-in-place phenomenon common to older projects. The average age of residents is 86 to 87 years old, and the average term of tenancy is five years to six years. The complex does not have a waiting list. New residents tend to be older and frailer than residents of previous years, and they tend to require intense orientation. The overwhelming majority of residents are women, and many are in their 80s. Almost 75 percent of the residents are white.
PROJECT INFORMATION
Tower One was financed under the original Section 202 program and has benefited from a three percent mortgage. Thirty-four units are one-bedroom apartments, and 181 are efficiencies. Efficiencies rent for $440 to $490 per month; one-bedrooms, for $705 to $742 per month. A Section 8 Loan Management Set-Aside contract covers 93 units in Tower One. The monthly contract rents for Tower East are $1,173 for a one-bedroom unit and $1,303 for a two-bedroom unit. All residents of Tower East benefit from Section 8 subsidies, paying only 30 percent of their income for rent.
ASSISTED LIVING PROGRAM INFORMATION
The Board of Directors established Tower One, Inc. in 1991 to provide an organizational structure for delivering supportive services to residents and for conducting fundraising activities. In 1992, Tower One/Tower East formally organized assisted living services and entered into an agreement with a home health care agency to provide services to Medicare- and Medicaid-eligible residents.
Tower One/Tower East has partnered with a number of other organizations to provide a service-rich environment. The Hospital of St. Raphael Project ElderCare provides onsite primary and specialty health care. The Yale University School of Nursing provides geriatric assessment and health promotion through a special grant by the Tower One/ Tower East Foundation. The University of New Haven Dental Hygiene Program offers dental examinations and oral health care education. A geriatric psychiatric group provides individual and group therapy. The complex has a full-service bank branch. Both the central dining room and the convenience store are operated onsite. An onsite SeniorNet Computer Learning Center is supported by Southern New England Telephone Co., IBM, the Hospital of St. Raphael, SAGE Services of Connecticut, and HUD.
Tower One has a mandatory evening meal program six days per week, and Tower East residents can elect to participate in the meals program. A coffee shop, operated by the residents, provides breakfast, lunch, and an evening snack.
STAFFING
In 1992, a combination of fundraising and an Older Americans Act Title IIIB grant (which expired in 1997) allowed the projects to employ two Resident Emergency Monitors overnight on weekdays and around the clock on weekends and holidays. In addition, each project has a HUD-supported service coordinator who is a trained social worker. The Rose Room Program provides assistance and supervision for residents with cognitive impairments, including mealtime reminders and escort services. The staff can also provide housekeeping, chore services, home-delivered meals, and transportation arrangements on a fee-for-service basis. All project staff are trained to be alert to changes in residents' physical or mental condition. Every apartment is inspected twice each year by the service coordinator. Staff members also use these contacts to assess how residents are doing.
ARCHITECTURAL AND DESIGN ISSUES
The building layout poses some problems for residents. For security reasons, the main entrance to the complex is in Tower East, so Tower One residents have a longer walk. Rails need to be installed in the hallways, and because corridors are narrow, some system is needed to facilitate wheelchairs. Many units need built-in shower seats and hand-held showerheads, and furniture resistant to incontinence is needed in common areas. Batteryoperated smoke detectors need to be hard-wired, and the emergency response system needs to be upgraded so that staff can communicate with residents in their units.
Tower One has made several major upgrades to deal with resident aging and the aging of the building. For example, a sprinkler system was added with financing provided through the Connecticut housing tax credit program. The HUD has provided Flexible Subsidy loans and grants to replace windows, roofing, and elevators, among other repairs.
An additional Flexible Subsidy request is being prepared to modify bathrooms and the emergency call system to accommodate resident aging. Planned bathroom changes include seats in the tubs, grab bars, hand-held showers, and accessible toilets. The emergency call system, which is now operated by a pull cord, will be replaced with a system allowing direct communication between the resident and the front desk.
POLICY AND PROCEDURAL ISSUES
In 1998, Connecticut promulgated two-part assisted living regulations. Both projects were approved as Managed Residential Communities (MRCs) by the Department of Health Services, and the home health agency developed is licensed as an Assisted Living Services Agency (ALSA). ALSA services include assistance with bathing, dressing, and medication management. Because no Medicaid or other state funds are currently available for ALSA services, residents are charged on a fee-for-service basis. Homemaking and live-in personnel are also available on a fee-for-service basis.
The Board of Directors establishes the admission policies. The family of each applicant is interviewed, and the service coordinator meets with the applicant and makes a home visit to determine needs. Residents are actively involved in the operation of the facility. Five residents serve on the 32-member Board of Directors and participate on all Board committees. They work with staff in program planning.
Kentucky
Christian Church Homes of Kentucky
Christian Church Homes operates three projects on one site in Louisville. Chapel House, a Section 236 project, opened in 1974; Friendship House, a Section 202/8 project, opened in January 1980; Christian Health Center, a nursing home, opened in 1984.
RESIDENTS
In 1999, the average age was 77 years for Chapel House residents and 82 years for Friendship Heights residents. Eighty percent of Chapel House residents were white and slightly more than 80 percent were women. Their average gross income was $9,666 per year. In Friendship House, just under 85 percent were women and 89 percent were white. The average gross income in Friendship House was $11,617.
PROJECT INFORMATION
Chapel House consists of 225 units, including 107 efficiencies and 118 one-bedroom units. The basic rent for an efficiency ranges from $320 to $345 per month; for a onebedroom unit, the rent is $412. A Section 8 Loan Management Set-Aside covers 100 units. At the time of this study, Chapel House had no waiting list. Friendship House consists of 191 units—164 efficiencies and 27 one-bedroom units. All units are covered by a Section 8 contract, and rents are $570 for an efficiency and $655 for a one-bedroom unit. Section 8 residents pay 30 percent of their monthly income for rent. Three floors, containing 61 efficiency units, were licensed as a personal care facility in April 1997. Friendship House has a waiting list.
ASSISTED LIVING PROGRAM INFORMATION
Friendship House has a mandatory daily lunch program, but breakfast and dinner are also available. Chapel House does not have a meals program, but residents can purchase meals à la carte at the dining room of Friendship House. Many of the Chapel House residents volunteer in Friendship House.
Kentucky does not have an assisted living category for licensure. Residents in a personal care facility must be 16 years of age or older and be ambulatory or mobile non-ambulatory and be able to manage most of the activities of daily living. Residents receive three meals per day, housekeeping, continuous supervision, basic health and health-related services, personal care services, residential care services, and social and recreational services. Each personal care resident must have a plan of care, and medical records must be kept at the facility. The plan of care is updated every six months. The resident is an active participant in developing the plan of care along with the family, a social worker, the dietitian, the doctor, and a nurse. Twenty-four-hour staff coverage must be provided on each of the personal care floors.
Residents in the personal care program must take all three meals and are charged $329 per month. All personal care residents receive meals in the central dining room on the first floor, and they are served along with all other residents. Residents receiving personal care are charged $38 per month for housekeeping and laundry and $1,047 per month for personal care. The total cost per month for a personal care resident, including the contract rent of $570 (assuming the resident is not eligible for Section 8 assistance), is $1,980. Other project residents may purchase these services on an à la carte basis.
Eighty percent of the personal care residents are SSI-eligible, and Kentucky provides a supplement to bring resident incomes up to $894 per month. Recipients retain $40 per month to cover personal expenses, and the project receives $854 each month to cover the residents' share of the contract rent, meals, and services. The project sponsorship provides roughly $200,000 annually to subsidize the personal care program. The sponsor has considerable fundraising capacity and is able and willing to continue to assist the project financially.
STAFFING
Staff providing service to the personal care residents are all project employees, but the nursing staff are employees of the adjacent nursing home. Project employees assigned to the personal care residents include an activities director, two housekeepers, a social worker, a dietary manager and 10 dietary workers. The nursing home provides three LPNs and 18 certified nursing assistants. The cost of the nursing staff is about $300,000 per year, including fringe benefits.
ARCHITECTURAL AND DESIGN ISSUES
Alterations costing about $100,000 were made in order to comply with the licensing requirements for personal care. Changes included conversion of office space to a nursing station and an apartment to an activity area, separation of commercial and residential hot water due to different requirements for temperature, and creation of a roll-in shower facility. Changes to the units included adding a night light and relocating the call system from the reception area to the nursing station. A wander system was also installed. Christian Church Homes of Kentucky paid for the costs of these changes. The Section 202/8 project was built with 10-foot corridors and 4-foot doors into the apartments.
POLICY AND PROCEDURAL ISSUES
Both the Section 236 and the Section 202/8 projects have resident councils. Policies covering admission and termination of residents in the Section 236 and the Section 202/8 projects are established by the Board of Directors in conformity with HUD requirements for each project. Admission to the personal care units is open both to nonresidents and residents of the Section 202/8 and Section 236 projects. Personal care residents may be transferred to the nursing home if they require more services than the personal care program can provide.
Maryland
Maryland's extensive CHSP is administered by the Department of Aging. Assisted living, on the other hand, is administered and regulated by the Department of Health. The following projects illustrate how similar types of "assisted living" services can be provided under separate licensure and regulatory categories, even within the same state.
Springvale Terrace Home, Inc.
Sponsored by the United Church of Christ, Springvale Terrace is a 156-unit apartment complex for older people in Silver Spring. The project was financed under Section 202 in two separate increments. The first phase opened in April 1965 and includes 124 units. The second phase opened in 1970 and includes 32 units. Both phases were funded under the original Section 202 program and benefit from 50-year below-market loans.
RESIDENTS
The resident population reflects the aging-in-place phenomenon common to many older projects. The average resident age is 85, and women outnumber men by four to one. Approximately 70 percent of residents are white. The average term of residency in the assisted living units is about three years; in other units, it is about five to ten years.
PROJECT INFORMATION
Springvale Terrace includes 139 efficiency units that rent for $476 per month and 17 onebedroom units that rent for $631 per month. The earlier Section 202 project is not subject to income limits, but the later project that opened in 1970 has low-income restrictions. The project has no Section 8 subsidies but has a Rent Supplement Contract for approximately $36,000 per year, which subsidizes rents for very low-income households.
In the early 1990s, the project was in serious financial difficulty due to competition from new subsidized projects, which offered larger units and deeper subsidies. Ground floor units were particularly difficult to rent. The sponsor hired an agency experienced in managing housing for older persons, including assisted living. The new management transferred residents with dementia and incontinence to other facilities that could better meet their needs. Reserve funds were tapped to renovate the ground floor units. Along with the provision of a nursing station, a dining room, and enhanced personal care, these renovations made the units marketable. The project now has a short waiting list.
ASSISTED LIVING PROGRAM INFORMATION
The project is not licensed for assisted living but is certified under the state's CHSP. In 1996, the certification was expanded from 40 to 76 residents, roughly half of the project residents. Forty residents receive personal care, and 36 receive enhanced personal care. Those receiving personal care are scattered throughout the building, and those receiving enhanced personal care are located in the renovated ground floor section.
Residents receiving personal care receive three meals per day. All residents can eat in either of the two dining rooms. The total annual income for the meals and services program (excluding rent) is approximately $1,135,000, of which $1,045,000 is paid by the residents. The Department of Aging and the Montgomery County Nutrition Program provide the remaining $90,000. Residents can purchase housekeeping for $38 per month, which includes cleaning and linen service. Housekeeping services are included in the fee for personal care. All residents can also purchase laundry services for $40 per month.
The monthly fee, including the rent of $476 for an efficiency apartment, totals $1,178 per month for those receiving personal care. The monthly fee, including $476 for rent, totals $1,585 for those receiving enhanced personal care, which includes medication assistance as well as other personal care services. Residents must be able to dress themselves, get in and out of bed, and if incontinent, be able to take care of the problem themselves. Residents who do not meet these criteria can stay in the project if they have outside help.
Applicants for personal care units must have an assessment by a doctor along with a recommendation for admission. Follow-up assessments occur as necessary. The staff fill out "incident reports" covering things like injury due to falls, getting lost in the building, and emotional outbursts. Incident reports are one way of tracking whether residents' needs have changed and whether the services provided are adequate. The project has working agreements with Holy Cross Hospital to provide physical therapy and Adventist Choice to provide additional personal care.
STAFFING
The project has a services coordinator, who serves all residents. The project is staffed around the clock, and substantial resources are devoted to nurses and nurses assistants (approximately $180,000 per year). Although the administrator is hired and supervised by an outside management agent, the administrator and all staff are paid by the project and viewed as project employees.
ARCHITECTURAL AND DESIGN ISSUES
The layout of the project has been an impediment to integrating the residents receiving enhanced personal care with the other residents. The main dining room is at the opposite end of the building from the enhanced personal care units. Residents must go up in one elevator, walk down a corridor and go down in another elevator to get from one place to the other. The project has applied for a Flexible Subsidy grant for a new elevator (to eliminate the need to ride two elevators), a sprinkler system, and replacement windows.
POLICY AND PROCEDURAL ISSUES
Admission and termination policies are essentially set by HUD. Current residents, as well as nonresidents, are accepted for enhanced personal care. A medical assessment is required for admission to the personal care units. Residents who develop needs that cannot be met by the staff must move out of the project unless they hire outside help sufficient to meet their needs.
Cedar Lane Apartments
Located in Leonardtown, Cedar Lane Apartments consists of 178 units for older persons. The project consists of two separate projects jointly sponsored by the Episcopal Diocese and the Roman Catholic Diocese — a Section 236 project, which opened in 1977, and a Section 202/8 project, although the two projects are operated as one.
RESIDENTS
The average age of all Cedar Lane residents is 83, and women outnumber men by three or four to one. The 23 residents receiving intensive services average 85 to 87 years of age, and the ratio of women to men is six to one. Roughly 95 percent of the residents are white. Average residency for those receiving intensive services is two years compared to six years among the other residents.
PROJECT INFORMATION
The Section 236 project has 128 units, of which 115 are efficiencies, 12 are one-bedroom units, and 1 is a two-bedroom unit. Twenty-two of the efficiency units have no kitchen. At its opening, the project had 23 units licensed under the Domiciliary Care Program. The project developed serious financial difficulty due to vacancies in the efficiency units, particularly the 22 units without kitchens. This problem was resolved when the project was issued a new license in 1996 as an assisted living facility with 128 units. The project has ample space for a nursing station and other offices as well as a large dining room. The Section 236 project has basic monthly rents of $442 for an efficiency unit and $533 for a one-bedroom unit. A Loan Management Set-Aside Contract covers 85 units.
The Section 202/8 project, consisting of 45 one-bedroom units and 5 two-bedroom units, opened in 1982. It is joined to the Section 236 project by an enclosed walkway. Current rents in the Section 202 project are $852 for a one-bedroom unit and $967 for a two-bedroom unit. All residents receive Section 8 assistance.
ASSISTED LIVING PROGRAM INFORMATION
Residents of both projects participate in the mandatory meal program, which consists of one meal daily. The dining room is in the Section 236 project and is large enough to accommodate the residents of both projects in two sittings. Residents may choose to purchase other meals and are charged based on what they select. They are billed separately at the end of the month for the non-mandatory meals.
Since 1996, 23 residents have been receiving intensive services, including three meals per day, housekeeping, laundry, personal care, bathing assistance, help transferring to and from bed, and medication management. Most of these individuals reside in the units without kitchens. Residents pay a flat fee of $1,225 per month, which includes everything except their rent. These residents are located throughout the Section 236 building. The nursing staff that serves these 23 residents is available to other residents of both projects on a fee-for-service basis. Indeed, all services are available to all residents on an à la-carte fee-for-service basis, but no services are subsidized by outside sources.
Residents receiving intensive services receive an annual assessment by the Department of Health. Other residents use as many services as they wish or can afford. Although some residents select services based on convenience rather than need, their willingness to pay the full cost suggests that the services are important to them. The importance of services is underscored by the fact that most residents have incomes so low that they receive Section 8 assistance. The project charges a flat fee for some services, such as $1 for meal delivery. Housekeeping and personal care are charged at the rate of $13.50 per hour.
STAFFING
All services are provided by the 65 facility staff members, of which approximately one-third are part-time. Despite the staff size and the wide range of services provided, the facility has the atmosphere and feeling of a housing project, not an assisted living facility. The administrator reports that staff turnover is relatively low, morale and commitment are high, and many of the staff could work in other facilities making significantly more than they do at Cedar Lane. According to the administrator, staff commitment is a large part of what keeps the costs at a modest level. A service coordinator serves both projects, and a grant from HUD has been approved to cover the coordinator's salary.
ARCHITECTURAL AND DESIGN ISSUES
Cedar Lane Apartments has benefited from some unique features. First, the project has been able provide assisted living without facing major capital requirements because the necessary space for offices and nursing and community areas already existed. Second, the current project administrator has been an active participant with the state as assisted living licensure requirements have evolved. This involvement has given the state the benefit of the experience at Cedar Lane and the project the benefit of having its unique features considered during the development of the licensing requirements.
Changes to the building have been funded out of operating expenses or reserves. Automatic front doors were installed. The assisted living license requires separate spaces for soiled linens, for washing linens, and for storing clean linens. The project also has a store, a hair salon, and a barbershop.
POLICY AND PROCEDURAL ISSUES
The Board of Directors is made up of community representatives as well as representatives of the two sponsoring dioceses. The president of the residents' association also serves on the Board of Directors.
Admission and termination policies are based on HUD requirements. Both project residents and nonresidents are on the waiting list for the intensive service units. Residents do not receive priority over nonresidents. Termination from the 23 intensive service units is based on an assessment of the appropriateness of the services offered to the needs of the individual resident. Cedar Lane Apartments has transfer agreements with two nursing homes and one hospital.
The project has liability insurance as an independent living facility. The insurance company views it as an independent living facility as long as not more than 50 percent of the residents are assisted living residents. Only 23 residents are viewed as assisted living residents, despite the fact that the facility is licensed for 128 assisted living units and residents beyond the 23 have opted for some of the assisted living services.
Homecrest House
Homecrest House consists of three projects in Silver Spring with a total of 257 units. The projects are sponsored by the National Capital B'nai B'rith Assisted Housing Foundation.
RESIDENTS
Homecrest I has 139 residents, of whom 117 are women. Homecrest II has 104 residents, of whom 89 are women. The average age in the two projects is 82, and almost 80 percent of Homecrest II residents are older than 75. The great majority of residents in both projects are white, and the combined waiting list includes about 30 persons.
The 43 residents in the assisted living building, Homecrest III, average 88 years of age. Most are women, and all are white. Residents in Homecrest I and II are given priority over nonresidents for admission to Homecrest III. Homecrest III has a waiting list of about 30 persons who are not residents of the other projects.
PROJECT INFORMATION
Homecrest I and II are both Section 202/8 projects. Homecrest III was financed by four loans: (1) a Maryland Department of Housing and Community Development (MDHCD) bond fund loan; (2) a MDHCD rental housing production program loan, (3) a loan from Montgomery County Community Development Block Grant (CDBG) funds, and (4) a loan from the National Capital Foundation for Homecrest House.
Homecrest I reached initial occupancy in July 1979 and contains 135 units—20 efficiencies and 115 one-bedroom units. Homecrest II opened in April 1985 and contains 100 one-bedroom units. The two buildings are connected by an enclosed promenade. Contract rents in Homecrest I are $573 per month for an efficiency and $696 per month for a one-bedroom unit. The contract rent in Homecrest II is $830. All units in both projects are covered by Section 8, so residents pay 30 percent of their income for rent.
Opened in March 1990, Homecrest III contains 42 one-bedroom units and is certified by the Department on Aging as a CHSP. The contract rent for a one-bedroom unit is $790 per month. Most residents have Section 8 certificates or vouchers and, therefore, pay only 30 percent of their income for rent.
The sponsor established a foundation called the National Capital Foundation for Homecrest House for the purpose of raising charitable funds and accepting gifts in support of all three projects. In addition to a loan to support the development of Homecrest III, the foundation provided the funds to build the promenade connecting Homecrest I and II. It provides a variety of amenities to the projects, including artwork displayed in the lobby and the hallways. The foundation purchased and maintains a van that serves all three projects. It also provides the salary for the activities director, who serves all three projects, and funds a variety of social and educational programs.
ASSISTED LIVING PROGRAM INFORMATION
All residents of Homecrest III receive a service package consisting of a noon and evening meal daily, groceries to prepare breakfast in their apartments, one hour of housekeeping each week, plus one hour per month of heavy housekeeping and laundry service and help as needed for bathing. Each of the units in Homecrest III has an accessible shower with a seat. All units have wide doors and lower medicine cabinets to accommodate persons with disabilities. Homecrest III includes a commercial kitchen; central dining room; library; crafts room, including a kiln for making pottery; a lounge area; and shop space for a hairdresser, who serves all three projects. Homecrest III has 24-hour security.
The residents of Homecrest III may receive subsidies both for their rent and for the service package. Four residents are able to pay market rates, and the rest receive Section 8 assistance. The service package for very low-income residents (those eligible for Section 8) is $886 per month for a single person.
Residents with very low incomes are eligible for three subsidies that can reduce their payment to an amount substantially below $886. The Maryland Office of Aging provides a subsidy to residents based on their ability to pay. This subsidy comes to about $130,000 per year for the project as a whole. The Montgomery County Senior Nutrition Program provides a subsidy of $3.50 for each noon meal. For the project as a whole, this comes to about $46,000 per year. The foundation contributes about $88,000 per year to cover a portion of the cost of the security service as well as other services.
STAFFING
The service package for Homecrest III is provided by a combination of project staff and outside providers. An outside contractor provides the meal service for all three projects. Housekeeping services and security services for Homecrest III are performed by outside contractors. The project employs two full-time and four part-time staff who do laundry, serve meals during the week, and provide personal care (primarily help with bathing). The manager and the receptionist also are actively involved with the residents. Project
staff check on each resident three times each day. Each unit has three pull cords, which are connected to the reception desk, and the reception desk is staffed around the clock.
POLICY AND PROCEDURAL ISSUES
A resident council serves all three projects. The council sponsors social activities and works to improve resident life. It may represent residents collectively in dealing with management.
Admission standards for Homecrest I and II are set by the Board of Directors and conform to HUD regulations. Homecrest III has its own Board of Directors, which establishes admission policies. Applicants for Homecrest III are required to provide a physician's certification indicating that they need the services provided by the project. Residents who find it necessary to leave Homecrest III most often go to a nursing home.
Minnesota
Minnesota has two levels of licensure for assisted living providers (ALPs). An "A" license allows the ALP to provide nursing services along with the typical assisted living services. An "E" license is less inclusive and does not permit the provider to administer medications. The Minnesota statutes define an assisted living facility, the medical eligibility of program participants, and the staffing and program requirements. Both state and county employees are responsible for monitoring the ALPs for program compliance.
Minneapolis Public Housing Authority
The Minneapolis Public Housing Authority (MPHA) operates assisted living programs in four high-rise structures. Three outside contractors provide services, and each is licensed by the state as an ALP.
RESIDENTS
The MPHA has demographic data on the 4,743 households living in high-rises but not specifically on the approximately 100 assisted living residents. Residents are equally divided between men and women. One-third of residents (35 percent) are persons age 62 or older. Nonelderly residents with disabilities represent slightly more than a quarter of the resident population. The average tenure of a resident in MPHA housing is three-andone-half years, but the perception of the MPHA is that the average tenure of assisted living residents is longer. ALP residents typically do not leave the project until they require more care, improve in their health condition (e.g., persons recovering from surgery are sometimes included in the ALP), or die. Most households have incomes below 30 percent of the median, which for a one-person household is $13,350 per year. Just under half of the households are black.
ASSISTED LIVING PROGRAM INFORMATION
The four assisted living programs started at different times, the earliest in August 1992 and the most recent in January 1999. One program covers approximately 25 people in a 186-unit building designated for older persons. The other three programs are in buildings that include families as well as older persons. An 86-unit family project has 25 assisted living residents. Another project has about 17 assisted living residents in a complex of about 350 units serving families as well as older persons. This program is enhanced with a cultural component for older Koreans. A fourth program encompasses all 42 units in a high-rise building that serves both older persons and persons with disabilities.
Each ALP site has a congregate dining program providing lunch and dinner Monday through Friday. Volunteers of America (VOA) is the meals contractor. The ALP pays VOA for each meal and is reimbursed by the county. In addition to meals, the ALP provides housekeeping, personal care, medical management, case management, social activities, 24-hour emergency response, and transportation to medical appointments. The staff of an ALP typically includes a program director, home health aides and home care aides, an RN or an LPN, and staff to provide the meals program. Home care aides
provide personal care but may not have any involvement in administering medication and may not perform any medical procedures, such as blood pressure checks.
The MPHA provides space for the programs and staff but is not required to obtain state or local licensure. MPHA enters into a Space Use Agreement with the ALP to provide services to medically eligible frail older clients or clients with disabilities. Although administered by the counties, the program's primary funding source is the Minnesota Medical Assistance Program. The level of funding depends upon the number of clients and their level of need. Eligibility is determined through an assessment process administered by the county's nursing staff. Because of their very low incomes, public housing residents are generally not required to pay for ALP services. The average cost of the program, exclusive of rent, is $800 per month per client.
POLICY AND PROCEDURAL ISSUES
Admission to an assisted living program is open both to current residents of public housing and to applicants of combined public housing and assisted living. Assisted living residents are intermingled with other public housing residents who are not in the assisted living program. Applicants for both public housing and assisted living must meet the admission requirements of both programs and can be placed in any available unit in a building that has an assisted living program. Public housing residents who develop the need for assisted living are not required to relocate unless they live in a building that does not have an assisted living program.
St. Paul Public Housing Authority
Beginning in 1986, the St. Paul Public Housing Authority has contracted with the Amherst H. Wilder Foundation to administer assisted living in four senior housing high-rise projects. In one building with 144 units, 35 residents receive assisted living services. The other three buildings range from 185 to 220 units, and each has up to 45 assisted living residents.
ASSISTED LIVING PROGRAM INFORMATION
The housing authority provides the space for offices, activities, equipment, storage, and laundry at no cost. The Wilder Foundation provides around-the-clock onsite staffing, laundry, housekeeping, activities, personal care, social service, emergency assistance, medication administration, case management, and three meals per day. Participants receive breakfast in their apartments and the other two meals in the central dining room.
Residents must be Medicaid-eligible or pay the cost of the services in order to participate in the assisted living program. About 10 percent of the participants pay privately. The service package, excluding meals, is funded through a state Medicaid waiver. Medicaid and participant payments do not cover the full cost of the program. The foundation generally absorbs between $20,000 and $90,000 annually in unreimbursed costs. The average monthly cost per assisted living resident is $1,117, which includes food and services but not rent.
New Hampshire
Assisted living in New Hampshire's public housing projects began with a HUD-funded CHSP in the Manchester Housing Authority in the 1980s. The program has evolved to become an assisted living program in all respects except for 24-hour supervision. Staff was onsite 12 hours per day, seven days per week. Some participants have transferred into the program from nursing homes, and studies showed it to be cost-effective. The state legislature became interested in the program as an alternative to nursing home care and provided funding to match HUD funding for any new CHSP grants in the state. As a result, housing authorities received funding in the early 1990s for seven new CHSP sites.
Stafford House
In 1996, the Laconia Housing Authority purchased Stafford House along with an adjacent mini-mall. The building includes 50 one-bedroom units. The building's Section 8 contract, which covered all units, continued in place with the new ownership.
RESIDENTS
The average age of Stafford House residents is 76 years, all of whom are white. Of the 17 residents in the assisted living program, 13 are women and 10 are older than 80 years old.
PROJECT INFORMATION
The housing authority has converted the mini-mall to an adult day care and senior center. The housing authority installed a new elevator and fire doors in the apartment building and implemented an assisted living program. Both the apartment building enhancements and the conversion of the mini-mall were financed in a single mortgage along with federal low-income housing tax credits. Stafford House had a waiting list of 15 people.
ASSISTED LIVING PROGRAM INFORMATION
Since 1993, the housing authority has operated an assisted living program in the nearby Sunrise Towers, a 99-unit public housing project in which 30 residents receive assisted living services. The service coordinator in Sunrise Towers also serves as the service coordinator at Stafford House and is paid by the housing authority. The assisted living program at Sunrise Towers was funded using HUD and state CHSP funds.
The assisted living program in Stafford House was originally funded by the state as a pilot program under a grant from a special state Medicaid fund. New Hampshire discovered a provision in the Medicaid rules that allowed the state to collect and use Medicaid funds in ways not originally contemplated, a provision since eliminated. Subsequent to Stafford House's receiving the state grant, New Hampshire got a Medicaid waiver. The Medicaid waiver currently funds a portion of the assisted living program.
A unique feature of the pilot program is the state's requirement that at least half of the assisted living residents be relocated from nursing homes. This requirement has been met, demonstrating that an assisted living program can effectively serve the needs of many nursing home residents at a significantly lower cost. Assisted living residents are located throughout the building, and residents may transition into assisted living services.
Neither CHSP nor assisted living are licensed in New Hampshire. While assisted living will eventually be subject to state licensure, it is currently viewed as a pilot program. The assisted living program at Stafford House currently covers 17 residents who receive two meals daily. The meals program is contracted out to the local Community Action Program (CAP) agency during the week, with the housing authority providing evening and weekend meals from its commercial kitchen in Sunrise Towers. The 17 residents also receive approximately one hour of housekeeping per week as well as laundry services. The housing authority employs housekeepers who perform these services.
Personal care is contracted out to a local Visiting Nurses Association (VNA), and residents receive such services an average of three times per week. Residents benefit from a portable medical alert system, which is contracted out to New Hampshire Emergency Response. Extensive case management services are provided by the housing authority staff. All housing authority staff are trained to be sensitive to residents, and computerized files provide up-to-date information on each assisted living resident.
Although the housing authority does not provide transportation services directly, the service coordinator works with families and local transportation agencies. As a last resort, the housing authority has a local taxi company under contract to provide transportation. Neighbors are encouraged to help each other. Housing authority residents act as volunteers to accompany other residents to medical appointments and to help in other ways. Such arrangements are always made with the involvement of the resident and his or her family, so that the volunteer is protected against liability.
Other residents benefit from the presence of the assisted living program. The service coordinator serves all residents, not just those receiving assisted living services. A clinic is held two days a week at the project, when VNA nurses are available. The VNA provides this service free of charge because it offers a marketing opportunity for future clients. Residents who do not receive assisted living services can also participate in the meals program for a fee or purchase housekeeping services at a rate of $10 per hour.
The total cost of the assisted living program at Stafford House is approximately $120,000 per year. Assisted living residents are required to pay 20 percent of their adjusted incomes for the service package, including meals. The housing authority collects both rent (30 percent of income) and services (20 percent of income) in a single monthly payment. Participant contributions generate about $20,000 per year for the program. Approximately $100,000 comes from state and federal Medicaid funds.
The adult day care and senior centers in the building adjacent to the project are open to residents and older persons living in the community. Both the local CAP agency and the local hospital rent space, generating sufficient income to service the mortgage. The hospital runs the adult day care center, and the CAP agency operates a meals program.
Because assisted living residents pay a flat fee for all services, which in all cases is a small fraction of the cost, measures other than cost to the resident are used to assure that services are efficiently used. All residents are expected to help themselves as much as possible, and staff are trained to involve the resident in housekeeping activities. Unless they are sick, residents are required to come to the dining room for all meals. Residents may not be able wash laundry but may be able to fold it. Many residents participate in the Neighbor to Neighbor program, which does fundraising for program activities and provides direct services to other residents.
ARCHITECTURAL AND DESIGN ISSUES
No major architectural issues affect the assisted living program. However, the authority hopes to obtain funds to enclose the walkway between Stafford House and the adult day care and senior center. The mortgage was insufficient to do the enclosure at the time the mini-mall was converted to its new uses.
POLICY AND PROCEDURAL ISSUES
A Professional Assessment Committee (PAC), which serves both Stafford House and Sunrise Towers, meets monthly to review the record on each participant. Decisions regarding changes to the service plan for a participant are made by the service coordinator in consultation with the PAC. The PAC has several members: a social worker from the county nursing home; a representative from the New Hampshire Department of Health and Human Services and its Division of Adult and Elderly Services; a representative from the county agency for the mentally disabled; the pharmacist from the local hospital; a social worker; the county long-term care coordinator; and a representative from the county mental health agency. The PAC serves an educational function within the community and averts potential conflicts between different agencies. It is also effective in lobbying state and local officials on issues affecting assisted living.
The housing authority maintains separate waiting lists for residents who need assisted living and those who do not. Those requesting assisted living must have their admissions request reviewed and approved by a doctor. Residents who are not receiving assisted living services but need them are given priority over nonresidents applying for assisted living. There is currently a backlog of residents who have aged in place and now need assisted living services.
New Jersey
New Jersey has developed a statewide strategy for providing assisted living services in subsidized housing. Much of the momentum for providing such services came from previous experience with a CHSP. About 50 state-funded CHSP sites are in operation; another 15 sites recently received initial state funding and are expected to open soon.
In 1994, the state Division on Aging (DOA) received a two-year grant from the federal Administration on Aging to develop an assisted living model for subsidized housing for older persons. The DOA awarded funds to the Presbyterian Homes of New Jersey Foundation to implement the demonstration in Asbury Tower, which had also served as the pilot site for the state CHSP program 17 years earlier. The demonstration program was entitled the Expanded Services Program (ESP). DOA also contracted with the Rutgers University Institute for Health, Health Care Policy and Aging Research to conduct an evaluation of the demonstration model and to research issues pertaining to its replicability and cost.
As a result of the demonstration program and follow-up study, the state amended its regulations to provide for the licensing of assisted living programs in subsidized projects for older persons. New Jersey licensure category for assisted living programs designed for subsidized housing is unique and makes it possible to provide assisted living services in HUD-subsidized projects for older persons without requiring expensive retrofitting to meet building standards generally required of newly built assisted living facilities.
Fourteen services providers are currently licensed in the state to provide assisted living programs in 37 different subsidized housing projects throughout the state. Unlike most states, New Jersey has a nurse delegation process, which permits Certified Medication Aides (CMAs) to administer medications under the supervision of an RN. CMAs are used extensively in the assisted living programs described below.
The state offers Medicaid waivers to pay for assisted living. A newly created Department of Health and Senior Services administers the waiver program. The state is attempting to procure funds to subsidize program participants who are not eligible for Medicaid.
Asbury Tower
Sponsored and managed by Presbyterian Homes and Services Inc., Asbury Tower is a 350-unit project for older persons located in Asbury Park.
RESIDENTS
In 1994, white women headed 70 percent of households in Asbury Tower. The average age was 77 years. The average ESP participant is 81 years of age. Of the 59 residents served during the demonstration, 53 were women. ESP participants live throughout the building and have never been required to move in order to participate in the program.
PROJECT INFORMATION
The project was developed under the HUD Section 236 program and opened in 1973 with 100 efficiency and 250 one-bedroom units. Residents benefit from reduced rents based on a one percent interest rate mortgage. The basic rent is $480 for an efficiency and $581 for a one-bedroom unit. A Rent Supplement Contract covers 70 units, and 134 units are covered by a Section 8 contract. Three residents have Section 8 certificates/vouchers. In total, residents in 207 apartments receive subsidies.
ASSISTED LIVING PROGRAM INFORMATION
Asbury Tower has a state-funded CHSP, which has been in place since 1977. Services include a daily hot lunch served in the congregate dining room and one to two hours of housekeeping per week. Other CHSP services include laundry and food and personal shopping. Residents pay for CHSP services on a sliding scale based on their incomes.
The ESP began in May 1994 and was built upon the core of services provided through the CHSP. At that time, the CHSP had 94 participants. Although personal care was not provided under the CHSP, a 1993 survey showed that 25 CHSP participants and 34 nonCHSP participants purchased personal care services.
In order to serve frailer residents, the ESP added bathing, dressing, and personal care services; toileting assistance; orientation assistance; socialization activities; assistance with meal preparation; assistance with ambulating and transferring; escort help for outside appointments; medication monitoring, cueing, and administration; health education and health status monitoring; and case management coordination of community services and medical appointments. ESP staff is available in the building daily from 7:30 a.m. through 8:00 p.m., with nurse on-call coverage 24 hours a day.
Extended hours and the ability to deliver services in small time units (5 to 15 minutes) promote flexibility in service provision. At the end of the second grant year, an average of 30 residents received ESP. The staff consisted of the ESP coordinator/RN, an LPN, and five resident assistants, who were certified home health aides or certified nurses aides. ESP participants receive an average of 4.8 hours of services weekly.
The average annual ESP cost per participant was $3,347. The average annual cost for an ESP participant who was Medicaid nursing home-eligible was $5,012 per year. Adding the cost of the CHSP ($1,536 per year) and the rent (averaging $6,000 per year), the total cost is $12,548 per year for an ESP participant who was Medicaid nursing-home-eligible compared to at least $36,000 per year for a nursing home.
POLICY AND PROCEDURAL ISSUES
During the first year of the demonstration ESP, participants were not required to pay for ESP services. Asbury Tower has subsequently implemented a fee schedule based on the CHSP schedule, which varies based on the resident's income.
Bernard Dubin House
Bernard Dubin House was developed under the Section 202/8 program and owned by the Jewish Federation Housing, Inc. The building opened in September 1978 with 144 units in Cherry Hill. Sixty-four units are efficiencies; and 80 units, one-bedroom. All residents receive Section 8 subsidies, and the project has a waiting list of 160 people.
RESIDENTS
The average tenure for assisted living residents is 15 years compared to 12 years for other residents. The great majority of the 169 residents are white women with an average age of 84. All 12 assisted living residents are white and older than 80 years and only one is male.
ASSISTED LIVING PROGRAM INFORMATION
The state funds a CHSP onsite with $138,000 per year. A hot lunch is provided daily to 42 residents. Ninety residents receive four hours per month of housekeeping. Twelve residents receive three hours per month of personal care. Residents pay on a sliding scale for services, depending on their income. For example, residents pay $6 to $12 per hour of personal care. Resident contributions to the CHSP amount total $79,000 per year.
The assisted living program began in January 2000 with 12 participating residents, including nine residents who are also in the CHSP. Assisted living residents have the option of one or two meals per day, as do CHSP residents. Housekeeping and laundry services are the same for assisted living and CHSP residents. The difference in the two programs is in the area of personal assistance. The assisted living administrator is also the activities director and is licensed as an Assisted Living Program (ALP) director.
Assisted living services are provided under contract by Kennedy Hospital, which provides $25,000 to help cover the administrator's salary. The ALP administrator is a project employee; other assisted living staff are hospital employees. The hospital rents space for a health center for $15,000 per year. Personal care, including administration of medicine, is provided by certified home health aides under the supervision of an RN. Both the project and the hospital are licensed to operate assisted living programs.
The assisted living residents are eligible for Medicaid under New Jersey's Medicaid waiver, and the hospital is responsible for billing for Medicaid. Any costs for the assisted living program that exceed the sum of the Medicaid reimbursement plus resident fees are covered by the hospital. Therefore, the assisted living program is cost-free to the project.
ARCHITECTURAL AND DESIGN ISSUES
Under state regulations, assisted living residents cannot be required to move for services. For those residents who need help with showers, bathrooms were modified to include shower seats and hoses. The nominal cost was covered out of project operating funds.
VNA Central Jersey Personal Care Inc.
Licensed as an assisted living program provider, the Visiting Nurses Association (VNA) of Central Jersey Personal Care Inc. provides services to a number of housing facilities for older persons in Monmouth and Middlesex counties. One client is Peter Cooper Village, located in West Long Branch. This project was developed under the Section 8 New Construction program and was initially occupied in 1979. It contains 150 units consisting of 40 efficiencies, 100 one-bedroom units, and 10 two-bedroom units. At the time of the study, the project had a waiting list of approximately 100 people.
RESIDENTS
Of the twelve assisted living participants, ten are women and nine are older than 80. All are white. Assisted living residents are located throughout the building.
ASSISTED LIVING PROGRAM INFORMATION
Peter Cooper Village has a state CHSP with 15 participants. The program includes a daily noon meal, with the cost based upon the resident's income. Housekeeping costs $12 per hour, and the 16 residents who participate receive about an hour per week. Medicaid reimbursement is available for those CHSP residents who are also in the assisted living program. The project has a service coordinator who is paid from project funds.
VNA began providing assisted living services in Peter Cooper Village in December 1997 under a program agreement. VNA provides a number of services: meal preparation in the resident's apartment, housekeeping, laundry, shopping, companion services to medical appointments, transportation, and personal care.
VNA is responsible for collecting the residents' share of the fee and for billing under the state Medicaid waiver. The project pays nothing for the program, and the state sets the fees based on the resident's income. Twelve persons are currently in the program, six of whom also participate in the CHSP. The assisted living program and the CHSP operate independently, and the service coordinator is the liaison between the two programs. Participants in the assisted living program are assessed regularly by an RN. Service plans are reviewed with the participants and their families as part of these assessments.
STAFFING
Services are provided by two full-time Certified Medication Aides (CMA) under the supervision of a part-time RN. The billing rate for the CMAs is $8.25 per hour and $22 per hour for the RN. Both the hours of service and the billing are monitored by the RN.
North Carolina
North Carolina funds personal care in residential care facilities through its state Medicaid plan. Funding through the state plan means that all residents in such facilities who are Medicaid-eligible can receive personal care services under Medicaid. As a result, North Carolina provides more Medicaid-funded services in residential care facilities than any other state. More than 20,000 persons in North Carolina's residential care facilities are served by Medicaid. The ready availability of Medicaid-funded personal care has made it easier to provide assisted-living-type services in residential settings.
Koinonia Apartments
Koinonia Apartments, sponsored by the First Presbyterian Church of Lenoir, is an 84-unit apartment building for older persons. The project was developed under the Section 202/8 program and reached initial occupancy in August 1979. All units are one-bedroom, and all residents benefit from Section 8.
RESIDENTS
The average age of residents is 79 years old, and 20 percent of residents are older than 90. Nearly all residents are white. The average term of residency is 10 years. Women make up 95 percent of the resident population. No residents are younger than age 62.
ASSISTED LIVING PROGRAM INFORMATION
The project is staffed by a full-time administrator, a part-time activity director and van driver, and a full-time maintenance worker. The administrator functions as manager, service coordinator, and case manager. Because the project has no funds to pay for assisted living services, it has developed a strategy of finding agencies in the community that can provide services onsite at little or no cost to residents. The project serves as the site for a Title III nutrition program, which serves a noon meal five days per week. Residents may contribute, although payment is not required. Approximately 40 residents participate regularly in this program along with approximately ten people from the community.
Housekeeping services are provided to residents in two ways. Green Thumb, which operates a federally funded training program for older workers, provides housekeepers in training at no charge to residents. These workers do light housework such as laundry, making beds, and sweeping. The administrator also has a list of individuals in the community who provide reasonably priced housekeeping services.
Personal care is available from the Caldwell County Home Health Agency and from the local Community Action Program. Both agencies provide a limited amount of personal care at no charge to residents. Five to eight residents receive personal care services. The home health agency offers no-cost respite care, which includes up to eight hours per week of care to relieve the primary caregiver.
The project provides a variety of activities for its residents: exercise; blood pressure checks; craft activities; entertainment; and transportation to the library, picnics, and shopping. The building includes an exercise and lounge area; crafts room; library; beauty shop; and a small store, which sells cards, stamps, and crafts.
Fire drills and fire safety classes are held regularly. A central alarm system wired directly into the fire department provides immediate service. One resident, with the consent of her guardian, has had her stove disconnected. The project helped her locate a person to prepare and deliver her meals. The resident pays for this service.
ARCHITECTURAL AND DESIGN ISSUES
The building includes eight apartments with walk-in showers, lower kitchen cabinets, and wider doors. These units are grouped in clusters of four at the end of the hall on each wing.
POLICY AND PROCEDURAL ISSUES
Residents are active in a residents' council and help maintain the building and grounds. They also have gardens. Both residents and nonresidents help with services such as transportation to medical appointments or shopping and visiting and assistance with personal tasks such as reading or writing letters.
Preiss-Steele Place
Preiss-Steele Place is a 102-unit project for older persons and persons with disabilities located in Durham. Initial occupancy was November 1993. All units are one-bedroom, and rents, excluding electricity, range from $358 to $395 per month. The income limit for one person is $20,850 per year, and approximately two-thirds of the residents benefit from Section 8 certificates or vouchers.
RESIDENTS
The average term of residency is four years, and the average age is 68. Approximately 85 percent of the residents are women, and 90 percent are black. Residents tend to stay in the facility until they need skilled nursing care.
PROJECT INFORMATION
The project was developed by Development Ventures, Inc. (DVI), a nonprofit, tax-exempt housing development corporation created by the Durham Housing Authority to develop housing for low- and moderate-income families. The project was financed with federal low-income housing tax credits and a variety of loans and grants. The project ownership contracts with the Durham Housing Authority to manage the project.
The project is described as an assisted independent living facility, although it is not licensed as such. It was developed with more common space than most projects designed for independent older people as it features a fully equipped commercial kitchen and a very large common area/dining room. Although the commercial kitchen is currently used only to accommodate food that is brought in from outside, the sponsorship believed that it would be needed as residents age in place. Other common areas include an examination room for visiting nurses, sun rooms on each level, lobbies and lounges, a beauty parlor and barber shop, office space, and facilities for assisted bathing. The project has a 24-hour emergency response system. Each floor has a coin-operated laundry room. The project is located in a residential area and is near a major shopping center.
ASSISTED LIVING PROGRAM INFORMATION
Residents can expect to age in place and obtain services on an à la carte basis. The facility has a very small staff, consisting of a part-time manager, a part-time assistant manager, and a maintenance staff. Resident volunteers manage the entrance and phones. Residents are expected to help each other. A county social worker is available onsite for a half day each week. The social worker functions as a case manager. Services are provided by community service agencies and include meals, housekeeping, laundry, bill paying, grocery shopping, personal care, home health aide services, and transportation. Services are paid for by Medicaid, Title III of the Older Americans Act, other public subsidies, and resident payments. North Carolina's Medicaid plan allows eligible individuals to tap Medicaid funds to pay for personal care services.
The Meals-on-Wheels program provides one meal on weekdays. The meals program is paid for by the county, and participants make a modest contribution. A voluntary group called Friends of Preiss-Steele was formed to expand meal service into the community. The Friends also promote other activities, such as concerts and computers classes. An optician provides eyeglass repairs onsite at no charge to residents. The juvenile court refers young people to the project to do clerical work and help residents with their groceries. The local hospital participates in health fairs held at the site.
The resident council has its own bylaws and standing committees. It sponsors activities and programs for the residents, has its own choir, and has conducted food and clothing drives to benefit the North Carolinians who lost their homes in the last hurricane. The council charges a fee of $2 per month.
POLICY AND PROCEDURAL ISSUES
Residents' income must fall within prescribed limits. The housing authority performs a landlord check and a criminal check on all applicants. The project manager personally interviews all applicants. An applicant must be able to live independently in order to be admitted. The county social worker may interview the applicant if further assessment of the ability to live independently is needed.
Astor Dowdy Project
The Astor Dowdy project is a high-rise building for older people owned and operated by the Housing Authority of High Point. It contains 105 units, consisting of 28 efficiencies, 70 one-bedroom units, and seven two-bedroom units. It was initially occupied in 1968. Residents pay 30 percent of their income for rent. The project did not have a waiting list.
RESIDENTS
Over half of the residents of Astor Dowdy are women, and residents are overwhelmingly white. The average age is 68, and the average term of residency is 15 years. Reflecting the general resident population, 18 of 23 CHSP participants are women and 16 are white. The average age of the older CHSP participants is 74.
ASSISTED LIVING PROGRAM INFORMATION
The project has a voluntary meals program funded by the Older Americans Act and administered by United Services for Older Americans. Lunch is offered weekdays, and residents may make a small contribution. About 15 residents participate in this program.
The project also has a HUD-funded CHSP. This program has been in effect since 1981 and currently serves 23 people. Each CHSP participant is required to take one meal daily but has the option of a second meal each day. Fourteen people receive approximately one hour per week of housekeeping, and nine people receive personal care. The CHSP service coordinator is an LPN. The CHSP service coordinator supervises medication administration. The participants also benefit from transportation and wellness programs.
The total annual cost of the CHSP is $117,000. HUD provides 40 percent of the budget, or approximately $47,000. Participants pay 10 percent, or approximately $12,000. The local match of 50 percent, or about $53,000, is met through Medicaid and in-kind services by the housing authority. Seven of the participants are on Medicaid. The Medicaid participants receive personal care from an outside contractor. The client and the provider negotiate the service terms. Medicaid reimburses the provider directly.
The service coordinator is the only employee of the CHSP. She administers the meals program for the CHSP and is assisted by several resident aides, who are housing authority residents volunteering their time.
The housing authority received a three-year Economic Development and Supportive Services grant from HUD for $372,000. Under this grant, 15 public housing residents have been trained as certified nursing assistants, and ten public housing residents have been hired to provide services such as housekeeping, shopping, and preparing meals for residents. The grant also provides money for direct services to residents.
ARCHITECTURAL AND DESIGN ISSUES
The building required a few changes to accommodate the CHSP. The main dining room was converted to offices and meeting rooms. The multipurpose room now also serves as the dining room. Each floor is equipped with a coin-operated washer and dryer. Each apartment has an emergency light and a buzzer that sounds when activated by the resident, and each floor has a resident monitor.
POLICY AND PROCEDURAL ISSUES
A Professional Assessment Committee (PAC) evaluates residents for participation and retention in the CHSP. The PAC has six members, including the service coordinator, an assistant to the service coordinator, the building manager, a mental health worker, a health department representative, and a hospital representative. CHSP participants are housed throughout the building.
Virginia
Culpepper Garden
Sponsored by the Unitarian Universalist Church of Arlington, Culpepper Garden is a 340-unit apartment complex for older persons. The complex includes three projects funded at different times by different federal programs. The third project is licensed as an "Adult Care Residence" to offer assisted living services. The decision to develop the assisted living project was made to address the increasing age and frailty of the residents of the earlier projects, which do not offer assisted living services.
RESIDENTS
The average resident age is 80. Most residents are women; the majority of residents are whites. The project has a waiting list, although turnover averages about 50 units per year. Incoming residents average about 75 years of age.
PROJECT INFORMATION
The Section 236 project opened in May 1975 and consists of 204 units, including 125 efficiencies, 72 one-bedroom units, and seven two-bedroom units. Rents are $396, $501, and $641, respectively. The project receives Rental Assistance Payments of roughly $72,000 per year, which subsidize rents for about 15 percent of the Section 236 residents. The Section 202/8 facility opened in October 1992 and consists of 63 one-bedroom units, for which the contract rent is $938 per month. All residents benefit from Section 8, so they only pay 30 percent of their adjusted monthly income for rent.
A new Section 202/PRAC facility was opened in February 2000 to offer assisted living services. It has 73 one-bedroom units whose contract rents are $485 per unit per month. Residents of Section 202/PRAC projects pay 30 percent of their income for rent.
ASSISTED LIVING PROGRAM INFORMATION
Both the Section 236 and Section 202/8 projects have mandatory evening meals. Brunch is offered daily from 9:30 a.m. to 1:00 p.m. as an optional meal. All meals are prepared in the central kitchen, and residents eat in the central dining room located in the Section 236 project. Two dining areas are included in the Section 202/PRAC project to serve the 73 assisted living residents, who may also eat in the central dining room.
A clinic is available to a general practitioner who visits weekly and a podiatrist who visits monthly. A nurse is available one morning per week at no charge to residents or the project. The Arlington Health Foundation provided a two-year $300,000 grant to pay for a nurse's aide around the clock and to provide medication management for eight to 10 residents. The project offers housekeeping services at a charge of $8 per hour. Personal care is available through a home health care agency subsidized by the county. The project also has a HUD-funded service coordinator. Arlington County rents space in the Section 236 project to provide an extensive recreation and activities program.
Participants are asked to pay a membership fee of $5 per year. The Red Cross provides weekly transportation for grocery shopping.
Residents in the new project must meet assisted living admission requirements, which include the need for personal care. (Applicants with cognitive disabilities are not admitted, because the facility does not have secure entrances.) These residents are projected to need approximately 1.25 hours of personal care per day. The project will have a full-time RN director, a full-time LPN as deputy, a full-time activity coordinator, and 16 full-time certified nursing assistants to provide the personal care services.
In addition to rent, residents pay $300 per month for three meals a day and snacks and $800 per month for personal care. Auxiliary grants up to $481 per month from Arlington County and the state are available to persons with very low incomes. Residents must spend down their assets to $2,000 to become eligible for these grants. Once residents are eligible for auxiliary grants, they are automatically eligible for Medicaid. The auxiliary grants will provide an estimated $64,000 per year of assistance. The Board of Directors hopes to raise $50,000 per year to assist residents in covering their personal care costs.
Because the new Section 202/PRAC project was not open at the time of the interview, projections of resident incomes and subsidy needs are still tentative. Key staff have been hired, and the number of applications received substantially exceeds the number of units available. Current residents of Culpepper Garden in need of assisted living services will receive priority for admission, followed by residents of Arlington County.
ARCHITECTURAL AND DESIGN ISSUES
The decision to develop a new assisted living facility, rather than bring assisted living into the existing projects, made it much easier to provide necessary physical features. The new facility differs from a typical project in that it has an extra elevator and includes significantly more public space as well as extra space for offices and dining.
In order to cover the extra costs involved in building the project, Culpepper Garden obtained $1.3 million from Arlington County and raised $250,000 in addition to the $5.2 million capital advance from HUD. The new building is connected to the Section 236 project, so residents can move between the three projects without going outdoors. Both the new Section 202/PRAC project and the Section 202/8 project has a sprinkler system throughout, but the Section 236 project does not. All units in the new project are handicapped-adaptable, and 10 percent are handicapped-accessible with additional grab bars. All units in the new facility have bathrooms and showers that are wheelchairaccessible. The new building did not require a Medicaid waiver.
POLICY AND PROCEDURAL ISSUES
Policies covering admission and termination of residents in all three projects are established by the Board of Directors in conformity with the HUD requirements. Residents of the assisted living facility, unlike residents in the other two projects, must need some personal care and must take three meals per day from the facility.
Washington
The Housing Authority of Vancouver
The Vancouver Housing Authority contracts with Columbia Pacific Management to provide assisted living services in two projects. A 100-unit public housing project opened in 1970 with 98 one-bedroom units and two two-bedroom units. A Section 8 New Construction project opened in 1979 with 152 units, of which 144 are one-bedroom units and eight are two-bedroom units. The projects are located within a mile of each other.
ASSISTED LIVING PROGRAM INFORMATION
Licensed as an assisted living provider, Columbia Pacific contracted with Emeritus Assisted Living to manage the assisted living program in both projects. These two projects accept Medicaid residents. The contract between the housing authority and Emeritus covers up to 100 persons who may receive assisted living services in either building. At present, 60 residents participate in the assisted living program.
Assisted living participants are located throughout both buildings, and public housing residents of either building are not required to move to receive assisted living services. Public housing residents receive preference on the waiting list. In order to be accepted, an applicant must be eligible under the Community Options Program Entry System (COPES), which is covered under the state's Medicaid waiver. A state caseworker determines eligibility and level of care need and reevaluates each participant quarterly.
Once an applicant is accepted into the assisted living program, the person's lease with the housing authority is terminated. Emeritus pays about $250 per month per apartment to the housing authority for units occupied by assisted living residents in public housing and about $500 per month per apartment in the Section 8 project. Assisted living participants sign over all but $53 of their incomes to the contractor. Emeritus bills Medicaid for the balance over and above the resident's contribution based on three levels of care. In Clark County, where these two projects are located, the lowest level of care costs about $1,500 per month; and the highest level of care costs about $1,800 per month.
The service package includes three daily meals, which are prepared in a commercial kitchen located in the public housing project for participants in both buildings. Emeritus provides housekeeping, laundry service, management and disbursement of medications, and personal care. An administrator paid by Emeritus runs the assisted living program at both sites. The contractor also provides seven-day coverage with either an RN or an LPN. The contractor accepts housing authority residents as employees through a "moving to work" program. These residents receive training from the contractor and are employed in the food service program or as housekeepers or personal care services providers.
ARCHITECTURAL AND DESIGN ISSUES
The two projects were required to meet certain physical standards regarding fire safety, laundry facilities, and kitchen facilities. The state granted the two projects waivers of the requirement that all assisted living residents be located on one floor of each building.
APPENDIX A: Project Interview Schedule
Project Name ____________________________
Person Interviewed _______________________ Position ___________________
Section 1: Project Information
1. Under what program was the project developed (e.g., Section 236, 202, Public Housing, etc.)? __________________
2. What was the date of initial occupancy? _______________________
3. How many units are in the project? _____________
4. Breakdown of units by size: efficiencies _________ 1 BR ______ 2 BR ______
5. How many units benefit from Section 8? ______________
6. How many units are vacant? ________________
7. Is there a waiting list? Yes/No If so, how many are on it? ___________
8. Does the project have a meals program? Yes/No If so, please describe (How many meals served? Cost per meal?) Is the meal program mandatory? Yes/No
9. Does the project have a state or federal Congregate Housing Services Program (CHSP)? Yes/No If so, please provide the following information:
a. Number of residents participating in CHSP _______________
b. List services provided and number of persons receiving each service:
Meals Yes/No______(meals per week) _______________ (# persons)
Housekeeping Yes/No ______(hrs/wk) _______________ (# persons)
Personal care Yes/No ______ (hrs/wk) _______________ (# persons)
Other Yes/No ____________ (hrs/wk) _______________ (# persons)
c. Total yearly cost of program ____________________
d. Source of funds for program (if more than one source, please list below including amount from each source)
10. Does the project have a service coordinator? Yes/No
11. Is the service coordinator paid out of project income? Yes/No
12. If not paid from project income, what is the source of funding for the service coordinator?
Section 2: Assisted Living Program Information
1. What was the opening date for the assisted living program? ____________
2. How many residents are in the program? ___________________
3. List services provided and number of persons receiving each service:
Meals ______________ (# week) ________________ (# persons)
Housekeeping _______ (# hrs/wk) _______________ (# persons)
Personal laundry _____ (Yes/No) ________________ (# persons)
Personal shopping ____ (Yes/No) ________________ (# persons)
Companion services to medical appointments (Yes/No)
Transportation (Yes/No)
Other (please specify)
4. If the project also has CHSP, how many CHSP residents participate in the assisted living program? __________
5. Does the assisted living program pick up all the service costs or only the incremental costs over and above the CHSP costs? ______________________________
6. If the project has a services coordinator, how does the position relate to the assisted living program?
7. What controls are in place to assure that the services provided are necessary?
8. What controls are in place to assure that the services provided are cost effective?
Section 3: Capital Costs
1. What changes were made to the physical plant to facilitate assisted living? Please describe below:
2. What changes were made to the living units to accommodate assisted living? Please describe below:
3. What were the capital costs of the changes described in #1 & #2 above? _______
4. What was the source of these funds? ______________________________
5. If financing was used to cover capital costs:
a. How was the financing secured? (e.g., residual receipts note, etc.)
b. What were the terms of the financing?
c. Where was the financing obtained?
d. What is the monthly debt service? ______________
e. What is the source of funding for the debt service?
Section 4: Assisted Living Service Costs (exclude CHSP costs)
1. Please provide the total cost and the cost per resident for each of the services provided:
Total mo. cost Mo. cost per resident
Meals __________ __________
Housekeeping __________ __________
Personal care __________ __________
Transportation __________ __________
Other (please specify)
___________ ___________ __________ ___________ ___________ __________ ___________ ___________ __________
Overhead costs ___________ __________
TOTAL COST OF PROGRAM ___________ __________
2. Please indicate the amount funding received from each of the sources below:
a. Resident funds ____________ b. Medicaid ____________
c. Built into budget ____________
d. Capital reserves ____________
e. HUD grant (not CHSP) ____________ f. Older Americans Act ____________
g. State/city ____________ h. Other (specify) ____________
3. Are residents required to contribute? Yes/No
4. Are residents asked voluntarily to contribute? Yes/No
5. If residents contribute, how is the amount of the contribution determined? If there is a sliding scale, please include it below.
Section 5: Staffing
1. Are the services provided directly by the facility or are they contracted out to an outside service provider? __________________________________________
2. If contracted out:
a. Who is the service provider? ________________________________
b. What is the amount of the contract? ___________________________
c. What is the relationship between the service provider and the project sponsor? (e.g., contract with nursing home, which is a separate corporation but has the same sponsor as the subject project)
d. What is the relationship of the service coordinator with the assisted living staff?
3. Provide a list of staff in the space below:
Position title Salary Hours per week
____________________ ______ ____________ ____________________ ______ ____________ ____________________ ______ ____________
Section 6: Residents
1. What are the criteria for admission to the project?
a. For nonassisted living units?
b. For assisted living units?
2. Are nonresidents of the project eligible for assisted living units, or are such units reserved for residents in independent living units who require additional services as a result of aging in place?
3. Other than as recipients of services, what roles do residents have in the assisted living program? (e.g., advisory role, referrals, fund raising, etc)
4. What is the average term of residency?
a. In nonassisted living units? ______ years
b. In assisted living units? ______ years
5. Please provide the following information about current residents:
Section 7: Regulatory Issues
1. What, if any, state or local building code requirements had to be met in order to convert to assisted living?
2. What, if any, state or local licensing requirements had to be met in order to convert to assisted living?
3. What, if any, HUD approvals were required?
4. What were the costs involved in meeting the requirements of #1 − 3 above? (Include both direct and indirect costs, such as the staff time invested in the licensing process)
5. How long did it take to obtain necessary licenses? __________ months
6. What are the ongoing regulatory oversight requirements of the state or locality?
7. Was a Medicaid waiver required? Yes/No
8. How long did it take to get the waiver? _______ months
9. If HUD approval was required, how long did it take? ______months
10. Is delegation of nursing activities permitted by state law, so that medications can be administered by aides under the general supervision of nurses? Please comment.
Section 8: Architectural and Design Issues
1. Are there modest design changes to the project that could enhance the ability of frail elderly to live independently (e.g., breaking up long corridors that confuse residents)? If so, please describe below.
2. Are there modest design changes to the units that could enhance the ability of frail elderly to live independently? (e.g., changing height of counters, electrical outlets, etc.) If so, please describe below.
3. Are there alterations that are required or desirable in order to enhance fire safety? If so, please describe below.
4. Are there special equipment needs, such as whirlpools, special bathrooms, facilities for handling soiled laundry, furniture resistant to incontinence? If so, please describe below.
5. What other design issues need to be addressed?
Section 9: Policy and Procedural Issues
1. Who establishes the admission policy?
a. For residents of independent living units
b. For residents of assisted living units
2. Who establishes the termination policy?
a. For residents of independent living units
b. For residents of assisted living units
3. What is the termination policy?
a. For residents of independent living units
b. For residents of assisted living units
4. Is there a Professional Assessment Committee (PAC)? Yes/No
5. Please describe the membership, qualifications, and responsibilities of the PAC
6. Are assisted living services provided to residents regardless of where they live in the project, or are persons who receive assisted living services required to relocate into a special section of assisted living units?
7. Does the assisted living provider serve other projects in the area? Yes/No
8. Does the assisted living provider serve other individuals in the area, such as those in single family homes? Yes/No
9. Describe the extent to which there is coordination with outside agencies:
a. In order to assure that there is no duplication of services?
b. In order to maximize governmental or other outside financial support?
c. In order to assure that necessary services are available in the community as well as in the project?
10. What procedures are in place to assure that assisted living residents receive the services that they need without encouraging residents to become overly dependent?
Section 10: Liability Issues
1. Describe the liability of the project under the appropriate category below:
a. Staff administering assisted living program are project employees
b. Staff administering assisted living program are employees of outside contractor
2. Describe any negotiated risk agreements executed by program recipients and the program provider to cover situations where the resident chooses risky behavior, such as failing to medicate, failure to follow diet, walking in areas where there is a high risk of falling, etc.
3. To what extent is insurance available to protect the project owner from the risks described above?
4. If insurance is available, what is the annual cost? ______________________
5. If insurance is available, what does it cover?
APPENDIX B: Contact Persons
| CONNECTICUT Rev. Charles Gelbach, Executive Director Immanuel House 15 Woodland Street Hartford, CT 06105 | tel. (860) 525-4228 fax (860) 522-6912 e-mail: email@example.com |
|---|---|
| Dorothy Giannini-Meyers, President /CEO Tower One/Tower East 18 Tower Lane New Haven, CT 06519 | tel. (203) 772-1816 fax (203) 777-5921 e-mail: firstname.lastname@example.org |
| KENTUCKY Troy D. Burden, Residential Services Adminstrator Christian Church Homes of Kentucky – Louisville 960 South Fourth Street Louisville, KY 40203 | tel. (502) 589-5747 fax (502) 560-5157 |
| MARYLAND Ron Griffin, Executive Director B’nai B’rith Homecrest House 14508 Homecrest Road Silver Spring, MD 20906 | tel. (301) 598-4000 fax (301) 598-6485 |
| Joseph H. Dobson, Jr., Administrator St. Mary’s Home for the Elderly Cedar Lane Apartments 22680 Cedar Lane Court Leonardtown, MD 20650 | tel. (301) 475-8966 fax (301) 475-1629 e-mail: email@example.com |
| Joseph J. Podson, Administrator Springvale Terrace 8505 Springvale Road Silver Spring, MD 20910 | tel. (301) 587-0190 fax (301) 588-1126 |
| MINNESOTA Jan Liddick Family Self-Sufficiency Employment Service Counselor Minneapolis Housing Authority 1001 Washington Avenue North Minneapolis, MN 55401 | tel. (612) 342-1222 fax (612) 335-4497 |
NORTH CAROLINA
| VIRGINIA William P. Harris, Executive Director Culpepper Garden 4435 N. Pershing Drive Arlington, VA 22203 | tel. (703) 528-0162 fax (703) 524-3671 |
|---|---|
| WASHINGTON Alice Porter, Director of Housing The Housing Authority of Vancouver 500 Omaha Way Vancouver, WA 98661 | tel. (360) 993-9525 fax (360) 993-9594 |
| Kacy Kang, Regional Director Emeritus Assisted Living 3131 Elliott Avenue, Suite 500 Seattle, WA 98121 | tel. (206) 298-2909 fax (206) 301-4080 |
APPENDIX C: GLOSSARY
AMERICANS WITH DISABILITIES ACT (ADA): Legislation enacted by Congress in 1990 that prohibits discrimination against people with disabilities in the areas of employment, public services, public accommodations, transportation, and telecommunications.
ASSISTED LIVING FACILITIES: Group residential settings, other than licensed nursing homes, that provide protective oversight and personal care on a 24-hour basis for persons with impairments in the performance of activities of daily living (ADLs), and that have the capacity to meet expected unscheduled needs for assistance. Assisted living facilities are similar to board and care homes except that they are often only for privatepay residents and usually promote independence and dignity for residents.
COMMUNITY DEVELOPMENT BLOCK GRANTS (CDBG): Grants distributed on a formula basis by the U.S. Department of Housing and Urban Development (HUD) to state and local governments to be used for a variety of purposes related to community development and housing.
CONGREGATE HOUSING SERVICES PROGRAM (CHSP): The federal CHSP program was authorized in 1979 to provide nonmedical services to frail older residents in federally subsidized housing. Approximately 100 sites nationwide participate in the program. The majority of the funding goes to service coordination and meals with other services funded as possible. A few states, such as Maine, Maryland, and New Jersey, have similar state CHSP programs.
CONTRACT RENT VS. TENANT RENT: Contract rent in Section 8 projects is the amount of rent required to cover operating expenses, reserves, and debt service. Tenant rent is the portion of the contract rent paid by the resident, normally 30 percent of adjusted monthly income for residents receiving Section 8 subsidies. Section 8 subsidies cover the difference between the tenant rent and the contract rent.
FAIR HOUSING AMENDMENTS ACT: In 1988, the Fair Housing Act was amended to include protections against discrimination in housing based on disability or familial status. The act generally requires accessible public spaces and "reasonable accommodations" from providers in making individual units accessible.
FLEXIBLE SUBSIDIES: Grants or loans from the U.S. Department of Housing and Urban Development (HUD) made to private owners of older FHA-insured multifamily projects to upgrade or renovate older buildings.
LOW-INCOME HOUSING TAX CREDITS: Authority is granted by the federal government to states to issue tax credits up to a specified limit. Projects that receive tax credit allocations are required to serve a specified number of low-income persons. Tax credits are provided to investors to induce them to invest in projects serving low-income persons who benefit from below-market rents.
MEDICAID: Authorized under the Social Security Act to provide medical services to persons with low incomes and assets, the program is also used extensively to fund nursing home services for frail older persons. Waivers are used by all states to fund some home and community-based services, but the program is still heavily weighted toward institutional services for persons with disabilities.
OLDER AMERICANS ACT: The Older Americans Act funds a variety of services such as meals, transportation, and senior centers to promote the independence of older persons. Some states use Older Americans Act funds to augment their home and community-based services programs for older persons.
PUBLIC HOUSING: Housing owned and operated by public housing authorities (PHAs). Admission is restricted to persons having very low incomes, generally not exceeding 50 percent of the area median income. PHAs receive operating subsidies from the U.S. Department of Housing and Urban Development (HUD) to cover the difference between the rent received from residents and the cost of operating the projects. Residents are required to pay 30 percent of their adjusted monthly income for rent. PHAs also receive modernization funds from HUD to repair and renovate older projects.
RENT SUPPLEMENTS: Neither the original Section 202 program nor the Section 236 program (see below) had deep subsidies for persons with very low incomes. Many of these projects received rent supplement contracts that the projects allocate to persons needing rental assistance. Many of these contracts were superseded by subsequent Section 8 contracts, but some projects continue to operate with rent supplements.
REPLACEMENT RESERVES: A separate account required by the U.S. Department of Housing and Urban Development (HUD) for each FHA-insured and Section 202 project. The amount of rental income set aside for replacement reserves is determined by HUD. Funds from this account are used to cover capital expenses, such as replacement of windows, furnaces, and major appliances.
SECTION 8 PROGRAM: Many programs fall under the category of Section 8 of the United States Housing Act of 1974. Section 8 programs provide subsidies to low-income persons to cover the difference between resident payments (typically 30 percent of adjusted monthly income) toward rent and the full amount of the rent.
SECTION 8 PROJECT-BASED PROGRAMS: There are two major project-based Section 8 programs: the New Construction/Substantial Rehabilitation program (Section 8 NC/SR); and the Loan Management Set-Aside program (Section 8 LMSA). In the Section 8 NC/SR program, HUD provides a twenty-year Section 8 contract to the project owner covering between 20 percent and 100 percent of the units in the project. In the Section 8 LMSA program, HUD provides owners of existing FHA projects (most frequently, Section 236 projects) with a contract covering some or all of the units in the project. The initial term of the contract cannot exceed 15 years, and typically is for a much shorter period of time.
SECTION 8 RENT CERTIFICATES/VOUCHERS: The principal form of federal rent assistance in existing housing. The certificates represent the difference between the fair market rent set by HUD and 30 percent of the tenant's income.
SECTION 202 PROGRAM: Authorized by the Housing Act of 1959, the original target population was older persons (age 62 or older) whose incomes were too high for public housing but insufficient to afford housing in the private market. The program provided nonprofit sponsors with 50-year loans at below-market interest rates (typically 3 percent). Projects under the original program were developed from 1959 to 1968.
SECTION 202/8 PROGRAM: As amended in 1974, Section 202 loans were used in tandem with Section 8 project-based subsidies. Nonprofit owners received loans with a 40-year term and an interest rate pegged to the average government borrowing rate. At least 20 percent of the units were covered by a Section 8 contract, although most projects had contracts covering all units in the project. Section 8 contracts had a term of 20 years.
SECTION 202/PRAC PROGRAM: As amended in 1990, Section 202 now provides capital advances to nonprofit sponsors to develop projects for older persons, separating the program from Section 8. Section 202 provides additional subsidies in the form of Project Rental Assistance Contracts (PRAC). The PRAC covers the difference between the resident's share of rent (30 percent of adjusted monthly income) and the rent required to operate the project. Required rents are much lower in PRAC projects compared to Section 202/8 projects because no debt service is required on capital advances.
SECTION 202 COST CONTAINMENT: Due to rising costs in the Section 202 program, HUD initiated cost-containment policies beginning in 1982. Under these policies, two-bedroom units were prohibited, and at least 25 percent of the units in each project were required to be efficiencies. Size limitations on units were also imposed. Efficiency units were limited to 415 square feet; one-bedroom units were limited to 540 square feet. Limitations were also placed on the amount of common area to be provided. Balconies were prohibited. The cost-containment policies became less restrictive in 1989. They do not apply to the Section 202/PRAC program.
SECTION 236 PROGRAM: Section 236 of the National Housing Act of 1959 provides FHA mortgage insurance and interest reduction payments to owners for the purpose of developing rental or cooperative housing projects for lower-income residents. Projects were developed under this program from 1968 through 1972. Owners paid the mortgagee debt service based on a hypothetical 1 percent mortgage. HUD paid the mortgagee the difference between that amount and the debt service required on the market rate mortgage. BASIC RENTS reflect the rent required to operate the unit and service a 1 percent mortgage. MARKET RENTS reflect the rent required to operate the unit and service the market rate mortgage. Residents meeting the income requirements pay whichever is higher: the basic rent or 30 percent of their adjusted monthly income.
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Sermon: "Not for Sale"
First Presbyterian Church of Kissimmee
3/23/03
Dr. Frank Allen, Pastor
NOT FOR SALE
For sale.
That's the most common sign in the world. And we are a people who love the sale. We sell clothes. We sell cars. We sell homes. We even sell our old "stuff" at yard sales. It always amazes me to see how some people love to buy our old, worn out possessions. Our whole economy is based upon this idea of free commerce.
There's nothing wrong with that. Indeed, I believe our freedom to buy and sell has been instrumental in the prosperity that we enjoy in this country. I am an unashamed and happy capitalist!
But, sometimes we forget that there are some things which are just not for sale. There are some things that are sacred, off limits when comes to buying and selling.
Down through the ages there have been those who have forgotten this most important point. They have traded their morality and their faith for the almighty dollar or for momentary pleasure.
LAW AND GOSPEL
As Christians we have inherited and follow in the tradition of God's people, the Jews. As a result, we believe that there are certain absolute values that are non-negotiable. To put it another way, we believe that life has rules to live by. At the heart of our faith is a belief that there are some things that are always right and some things that are always wrong.
Now this doesn't mean that we ignore mitigating circumstances or approach problems in a simplistic or judgmental way. But, on the other hand, the grace of God in Jesus Christ, and the concepts of sin and forgiveness make no sense unless we believe in a God of justice and righteousness.
To put it another way, unless we have a deep sense of right and wrong, the gospel becomes an answer for a question no one is asking. If we don't believe in a God given standard of behavior, the gospel is robbed of its power. Who needs forgiveness if right and wrong are relative? No one.
The apostle Paul understood better than most the danger of abandoning the law in order to embrace a message of cheap grace. He knew that the message of grace without the corresponding message of sin and forgiveness was a terrible distortion of the faith. In his letter to the Romans, the apostle tried to clear up this misunderstanding. He wrote,
"What then? Should we sin because we are not under law but under grace? By no means! Do you not know that if you present yourselves to anyone as obedient slaves, you are slaves of the one whom you obey, either of sin, which leads to death, or of obedience, which leads to righteousness?" Romans 6:15-16
THOU SHALT NOT
Paul was saying that the grace of God should enable us to live in a way that is pleasing to God. We are saved from sin. We are not saved so that we can lay down in the filth of our sin .... happy in the knowledge that "God will forgive us because He's in the forgiving business." That's nonsense. And more importantly, that's not gospel. That's not good news.
And yet, sometimes in our desire to have what we want instead of what God wants, we have fallen for that nonsense. We have sold our birthright of forgiveness and grace for the thin soup of feeling good and getting what we want now.
I attended my first meeting this past week of a Presbytery Task Force to which I have been assigned. It's a task force designed to respond when there is sexual misconduct by the clergy. Why they give me all the good jobs, I don't know ... but I guess somebody has to do it.
Anyway, we were talking about what our committee would do, and someone from General Assembly suggested that part of our role should be primarily educational .... leading one and two day "seminars" educating our religious professionals, We should tell them, she said, that certain "boundaries" shouldn't be crossed.
Most of us on that committee didn't like that idea at all. In fact, most of us thought that this kind of educational event would be a waste of time. As one member put it, "This might be a good thing for us to do in a confirmation class, but shouldn't ministers know that it's wrong to have an affair?"
As I like to put it, "Which part of "thou shalt not .." do you have trouble understanding? The problem when it comes to morality is not with understanding. The problem is with the will. And the reason there is a problem with the will is the fact that sometimes we do not worship the one true God. We worship a different "god" ..... a god which bears a striking resemblance to our own face!
"GODS" NOW AND THEN
They say that "the more things change, the more they stay the same." I am struck at how true that old saying is ..... especially when it comes to faith and morality. Take away our technology, and you find that the ancient world was much like ours in many ways.
There were many religions and many gods in the ancient world. The cosmopolitan ancient world looked upon faith as a matter of individual choice. If one god didn't get you what you wanted, there were many more from which you could choose. In fact, many merchants did a booming trade in making little silver models of the various gods. The more gods the merrier. It was good for business.
In the ancient world, the "gods" were literally for sale.
But, if you can buy and sell gods, who's really in charge? You are. Provided you knew the secret word or have the right god or gods on your side. Such a view of faith often led to immoral practices by their religious leaders.
Indeed, the ancient gods even mirrored the immorality and treachery of human beings .... except on a grand scale.
The ancient gods were like larger than life human beings.
They made god in the image of men and women.
Do we do the same thing today? I think in our own way we do. Many churches today have adopted a market driven approach to evangelism. How do you get people to join the church? By giving them what they want! Just like someone trying to sell a product, you analyze your market and adapt your strategy to fit that market.
Now, let me hasten to add that I do think it is important to be aware of the needs and hopes of the people in our world. However, it is dangerous to adopt a strategy of always giving us what we want.
Why? Because we often want the wrong thing. We invariably choose our way over God's way. The biblical message of sin and forgiveness takes a back seat to the world's message of finding what makes us feel good and doing it.
And quite often what we want is not what we really need.
Someone once said that if God really wanted to punish us, God would give us exactly what we asked for!
Human beings need something more than just the sound of their own voice. Human beings need a message that comes from above and beyond. Human beings need a message that is not "market driven" nor based upon the presuppositions of our culture.
And the starting point is just the opposite of where we tend to start. God is not made in our image. The Scripture tells us that we are made in God's image.
That doesn't mean we're little gods or that somehow there's a drop of the "divine" in all of us. That means we are creatures who were made by the one true God, and our greatest purpose ..... indeed our only purpose is to serve that one, true God. We have a God shaped hole in our heart that can only be filled by the presence and power of God.
WORSHIP AND OBEDIENCE
How do we serve that one true God?
Well, the Ten Commandments are a good starting point. We teach them to our children in Confirmation Class. They are an important part of all the major catechisms of the church. And Jesus himself gives us a guideline for interpreting the commandments.
Our Lord was once asked what was the most important commandment. And Jesus replied,
"The first is, 'Hear, O Israel: the Lord our God, the Lord is one; you shall love the Lord your God with all your heart, and with all your soul, and with all your mind, and with all your strength.' The second is this, 'You shall love your neighbor as yourself.' There is no other commandment greater than these." Mark 12:29-31
Love God. Love neighbor. That's the summary of the Law according to Jesus, and if you look at the Ten Commandments, they can be divided according to those two categories.
Commandments 1-4 are about what it means to love God. Loving God means worshiping the one, true God in Spirit and in truth. Commandments 5-10 are about loving your neighbor as yourself. Care for you parents. Don't lie, cheat, steal or commit murder. Be faithful to your wife or husband .... those kinds of things.
And the important point is this: commandments 5-10 are based upon commandments 1-4. That is, right behavior toward our neighbor is based upon the prior belief that there is one true God who requires certain things of us.
IDOLATRY
People who wantonly break the commandments concerning our obligation toward our neighbor do so because they do not believe in the one true God. They have multiple gods which can be defined variously as pleasure, money, status, power and so forth. You name it. As Calvin once put it, human beings are a virtual idol factory.
And of course, just as it was in the ancient world, there are always people who are willing to supply our need for false gods. Next time you watch a commercial on TV ask yourself this question, "What are they really selling? Are they selling a product or an image?" Quite often the answer is an image. They are selling you a philosophy based upon one of the false idols that our world tends to worship.
The key to robbing false idols of their power is naming them. For example, one person suggested playing a game of "Who are you trying to kid?" while watching commercials on TV. Do you really believe that you'll be happier or sexier because you're driving a certain car? Who are you kidding?
TURNING GOD'S HOUSE INTO A MARKETPLACE
In today's lesson from the gospel of John, we have one of the few incidents recorded .... maybe the only one .... where Jesus "loses it." Jesus actually seems to be overwhelmed with anger. A lot of people use this passage to suggest that Jesus was not really the meek and mild person that was described to us in Sunday School. Indeed, the Scripture tells us that this incident .... Jesus driving the money lenders out of the temple ..... was a fulfillment of prophecy. In verse 17 we read that the disciples remembered Psalm 69:9,
[17] ...... "Zeal for your house will consume me." John 2:17 (NRSV)
Zeal in this case refers to righteous anger. Jesus, in this passage shows us that there are some things worth getting angry about.
So what was it that made Jesus so mad? What caused Jesus to "make a whip of cords" and drive the money changers and those who were selling animals for sacrifice out of the temple?
According to our Scripture, Jesus was angry because they were "turning his Father's house into a marketplace." Apparently people were more intent on "doing business" than worshipping God. They had sold their soul for a profit.
There are some obvious applications of this verse. Certainly our minds go to the TV preachers who hawk their wares in order to build vast religious enterprises. Perhaps some might think of those who adjust the hard demands of the gospel in order to make it easier to accept in a wealthy society such as ours. Last week Jesus said that those who would be his disciples would have to "take up your cross .... deny yourself ... and come follow me." Certainly those are not words designed to appeal to a market driven society.
But, I think the mistake which Jesus so roundly condemns in this passage is a mistake that all of us can so easily make. It is confusing worship with the trappings of worship. It is becoming so caught up in the machinery of worship .... selling sacrifices, exchanging money, planning meetings, leading a building campaign ..... that the true purpose of worship is missed.
The true purpose of worship is to glorify God. And the Bible tells us that this true worship is the foundation for moral behavior and the stability of society.
There is slogan which goes, "The family that prays together stays together." To put it another way, worshipping God is the foundation for a strong family. I think that's true.
And it's not only true of our families but in other areas of life as well. When we put God first, when we seek to worship the one true God alone, we are less susceptible to the false gods which would drain us of true life. We will have a stronger family, a stronger church, a stronger community, and a stronger nation when we remember to put first things first and make worshipping God our number one priority.
Don't sell your soul to the marketplace. Put first things first.
THE FINGER POINTING THE WAY
God graciously has pointed us to the right way. In fact, that's what the Jewish word for Law, Torah means ... the way ... or perhaps even more literal "finger pointing the way." God has given us commands to worship him and to love our neighbor as yourself. God didn't do that because He wants us take away all our fun. On the contrary, God's Law can be seen as another form of grace.
G.K. Chesterton once said that if a man is walking and comes to a cliff, and keeps on walking off the edge of the cliff, he will not break the law of gravity. He will prove it! I think that the same can be said of God's law. It's like the law of gravity. If we break God's law, we will hurt ourselves.
If you saw someone about to walk off a cliff, wouldn't you call for them to stop? That wouldn't be judgmental or unkind. It would be the most gracious and loving thing you could do.
So, why are we sometimes willing to sell out our values and principles when others tell us that we are judgmental or unkind? Our worship of the one true God requires us to obey and stand for righteousness in a world that is confused about where to go and what to do.
Our worship of the one true God causes us to say firmly to the world, "There are some things which are non-negotiable. There are some things that are not for sale. There are some things that we do or don't do because of our belief that God has told us to act this way and God has our best interests at heart."
A SHEEP'S TAIL
Abraham Lincoln once asked his advisors, "If you call a sheep's tail a leg, how many legs would the sheep have?"
"Five," they guessed?
"No," said Lincoln, "because calling a tail a leg won't make it one."
And neither can we make something wrong into something right just by saying it is so. As I'm fond of saying, "It's not the ten suggestions, it's the Ten Commandments." We can't pick seven out of ten. We can't think that grace excuses us from obedience. We can't think that financial considerations allow us to put the them aside.
There are some things which can't be changed.
There are some things which are not for sale.
May God help us learn that important truth and point us toward the way of righteousness and life.
Amen.
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DEPARTMENT OF ARKANSAS STATE POLICE
RULES FOR LICENSING AND REGULATION OF PRIVATE INVESTIGATORS, PRIVATE SECURITY AGENCIES, ALARM SYSTEMS COMPANIES, POLYGRAPH EXAMINERS, AND VOICE STRESS ANALYSIS EXAMINERS
SECTION 1. TITLE/AUTHORITY/DEFINITIONS…
Rule 1.3. Definitions -
(1) ABAT - Advanced Burglar Alarm Technician.
(2) Administrator - the designee of the Director of the Department of Arkansas State Police pursuant to A.C.A. § 17-39-110.
(3) AFPC - Arkansas Fire Prevention Code.
(4) Applicant - any person who has submitted a properly completed application to be licensed, credentialed, or commissioned under this chapter to the Department.
(5) Commission holder – person who is a Commissioned Security Officer (CSO) or Commissioned School Security Officer (CSSO).
(6) Credential holder – person who is a Credentialed Private Investigator (CPI), Manager (REP), Private Security Officer (PSO), Alarm Systems Technician (AT), Alarm Systems Monitor (AM), Alarm Systems Apprentice (AA), Alarm Systems Agent (AGT), Assistant Training Administrator (ATA), Training Administrator (TA), Training Instructor (TI), or Branch Office Manager.
(7) Director – of the Arkansas State Police or his or her designee.
(8) Disqualifying Factor or Offense – any factor or offense that could cause an applicant to be ineligible to hold a license credential or commission.
(9) Department – the Department of Arkansas State Police.
(10)ESA - Electronic Security Association (formerly National Burglar and Fire Alarm Association (NBFAA)/National Training School (NTS)).
(11)FAIM – Fire Alarm Installation Methods.
(12)Hearing Officer - the appointed presiding officer over cases of adjudication pursuant to the Arkansas Administrative Procedure Act.
(13) Institution of Instruction (IOI) – a teaching entity that has been approved by the department to instruct licensees, credential holders, and commission holders.
(14) Licensee - person who has been issued a Class A, Class B, Class C, Class D, Class E-M, Class E Restricted, Class E-S, Class E Unrestricted, Class G, Polygraph Examiners License, or Voice Stress Analysis Examiners License.
(15) NESA - National Electronic Security Alliance.
(16) NICET - National Institute for Certification in Engineering Technologies.
…
SECTION 2. APPLICATION…
Rule 2.2. Application form - The application form for a license, credential, or commission shall be issued by the Director and shall include:
(a) The name, address, place and date of birth, and sex of the applicant;
(b) The driver's license number and social security number of the applicant;
(c) A statement as to which license(s), credential(s), or commission(s) the applicant is seeking; and
(d) Questions related to the applicant's qualifications specified in A.C.A. § 17-39-202, § 17-39-206, § 17-39-304, § 17-40-306, § 17-40-337, or Rule 9.0, Rule 9.1, or Rule 10.4(c) below.
…
Rule 2.4. Reciprocity – An applicant who meets the qualifications set forth in A.C.A. § 17-39-205 or § 17-40-353 may obtain an Arkansas license or credential by submission of the required forms, non-refundable application fee, and national and state background check fees. The transfer applicant must also have his or her background check successfully completed through state and federal background check systems.
Rule 2.5. Transfer license, credential, or commission – Individuals who wish to transfer a license, credential, or commission from one company to another must complete the transfer application and submit the required background check and transfer fees. The transfer fee is $20.00 for alarm systems agents, alarm systems apprentices, alarm systems technicians, alarm systems monitors, and security guards. The transfer fee is $75.00 for credentialed private investigators.
Rule 2.6. Fingerprinting for initial application - In the event a legible and classifiable set of fingerprints cannot be obtained, as determined by the Department or the Federal Bureau of Investigation, the applicant shall be contacted and shall be required to be fingerprinted again. After two (2) unsuccessful fingerprint card submissions, a name search through the FBI will be conducted. Electronic capture of the fingerprints of the applicant on a device and in a manner approved by the Director is allowed. The Director shall determine the applicant's eligibility for licensing only after successful completion of the FBI fingerprint-based check.
Rule 2.7. Issuance – A license, credential, or commission shall be issued by the Director if, after submission of a complete application:
(a) The applicant satisfies the qualification requirements for the license, credential, or commission for which he or she is applying; and
(b) The applicant has had his or her background check successfully completed through state and federal background check systems.
Rule 2.8. Unresolved arrests - If a check of the applicant's criminal records uncovers any unresolved arrest that may lead to the disqualification of the applicant, the applicant shall obtain a disposition of the open charge and return the disposition to the Department within sixty (60) days. The application will not be processed to completion without the Department having received the disposition information.
Rule 2.9. Prior offenses – the Director of the Department shall deny an application if the applicant has been found guilty or has pleaded guilty or "nolo contendere" to a criminal offense as set forth in A.C.A. § 17-39-202, § 17-39-206, § 17-39-304, § 17-40-306, or § 17-40-337.
(a) A prior conviction will disqualify the applicant even if the conviction has been sealed or expunged; but
(b) A prior conviction will not disqualify an applicant if the applicant has received a pardon for the conviction in accordance with A.C.A. § 16-93-201, et seq.
(i) To qualify for a commission, the pardon must include a provision for full restoration of firearms rights.
Rule 2.10. Designated Offenses – Pursuant to A.C.A. § 17-40-306(e), the Department is required to designate the Class A misdemeanors under Arkansas law that constitute disqualifying offenses involving theft, sexual offenses, violence, an element of dishonesty, or a crime against a person. This list shall not be deemed to exclude comparable offenses from another state or comparable offenses in the State of Arkansas that have been renumbered or repealed if such an offense otherwise falls within the requirements of A.C.A. §17-40-306(d).
(a) Offenses involving theft:
(1) A.C.A. §§ 5-12-102 and 103 – Robbery and Aggravated Robbery;
(2) A.C.A. §§ 5-36-101 to -405 - Theft;
(3) A.C.A. § 5-37-305 – Worthless Checks (Hot Check Law);
(4) A.C.A. § 5-37-402 – Theft of Communication Services;
(5) A.C.A. § 5-39-201 – Residential and Commercial Burglary;
(6) A.C.A. § 5-39-202 – Breaking or Entering;
(7) A.C.A. § 5-39-204 – Aggravated Residential Burglary; and
(8) A.C.A. § 15-32-603 – Timber Theft.
(b) Sexual offenses:
(1) A.C.A. §§ 5-14-101 to -134 – Sexual Offenses;
(2) A.C.A. § 5-16-102 – Voyeurism;
(3) A.C.A. § 5-26-314 – Unlawful Distribution of Sexual Images or Recordings;
(4) A.C.A. §§ 5-27-301 to -307 – Sexual Exploitation of Children;
(5) A.C.A. §§ 5-27-401 to -405 – Use of Children in Sexual Performances;
(6) A.C.A. §§ 5-27-601 to -609 – Computer Crimes Against Minors;
(7) A.C.A. §§ 5-70-101 to -106 – Prostitution; and
(8) A.C.A. §§ 12-12-901 to -927 – Sex Offender Registration.
(c) Offenses involving violence:
(1) A.C.A. §§ 5-10-101 to -106 – Homicide;
(2) A.C.A. §§ 5-13-201 to -203 – Battery;
(3) A.C.A. §§ 5-13-204 to -207, and 211 – Assault;
(4) A.C.A. § 5-13-209 – Abuse of Athletic Official;
(5) A.C.A. §§ 5-26-303 to -305 – Domestic Battering;
(6) A.C.A. §§ 5-26-306 to -309 – Assault on a Family or Household Member;
(7) A.C.A. § 5-54-103(a) – Resisting Arrest;
(e)
(8) A.C.A. § 5-54-104 – Interference with a Law Enforcement Officer;
(9) A.C.A. § 5-54-126 – Killing or Injuring Animals Used by Law Enforcement or Search and Rescue Dogs;
(10) A.C.A. § 5-62-103 – Cruelty to Animals;
(11) A.C.A. § 5-71-201(a)(3) – Riot;
(12) A.C.A. § 5-71-211 – Threatening Fire or Bombing;
(13) A.C.A. § 5-73-103 – Possession of a Firearm by Certain Persons;
(14) A.C.A. § 5-73-104 – Criminal Use of Prohibited Weapons;
(15) A.C.A. § 5-73-120 – Carrying Certain Prohibited Weapons;
(16) A.C.A. § 5-73-122 – Carrying a Loaded Weapon in a State Building;
(17) A.C.A. § 5-73-124 – Use Tear Gas or Pepper Spray Against Law Enforcement; and
(18) A.C.A. § 27-50-307 – Negligent Homicide/Involuntary Manslaughter. (d) Offenses involving an element of dishonesty:
(1) A.C.A. § 5-26-203 – Concealing Birth;
(2) A.C.A. § 5-27-503 – Possession of Fraudulent or Altered ID;
(3) A.C.A. § 5-37-201 to -228 – Forgery and Fraudulent Practices;
(4) A.C.A. § 5-37-502 – Marking or Altering Brand of Animal;
(5) A.C.A. § 5-37-525 – Defrauding Materialmen;
(6) A.C.A. § 5-41-205 – Unlawful Act Involving Electronic Mail;
(7) A.C.A. § 5-52-101 to -108 – Corruption in Public Office;
(8) A.C.A. § 5-53-103 – False Swearing;
(9) A.C.A. § 5-53-110 – Tampering;
(10) A.C.A. § 5-53-116 – Simulating Legal Process;
(11) A.C.A. § 5-54-102(a)(4) – Obstructing Governmental Operations;
(12) A.C.A. § 5-54-105 – Hindering Apprehension or Prosecution;
(13) A.C.A. § 5-54-122 – Filing False Reports;
(14) A.C.A. § 5-55-103 – Violation of Medicaid Fraud Act;
(15) A.C.A. § 5-55-111 – Medicaid Fraud;
(16) A.C.A. § 5-64-403 – Controlled Substances – Fraudulent Practices;
(17) A.C.A. § 5-71-210 – Communicating a False Alarm;
(18) A.C.A. § 7-9-103 – Falsify Petition;
(19) A.C.A. § 12-12-504 – Making a False Child Abuse Report;
(20) A.C.A. § 12-12-1720(d) – False Report of Adult Abuse;
(21) A.C.A. § 12-18-203 – False Report of Child Abuse;
(22) A.C.A. § 21-8-403 – Violation of Ethics and Conflict of Interest Laws;
(23) A.C.A. § 21-14-111 – Unlawful Act by a Notary;
(24) A.C.A. § 23-42-507 – Fraudulent or Deceitful Actions (Securities Fraud); and
(25) A.C.A. § 27-23-114 – Fraudulent Application for CDL.
Offenses involving a crime against a person:
(1) A.C.A. § 5-11-104 – False Imprisonment;
(2) A.C.A. § 5-13-208 – Coercion;
(3) A.C.A. § 5-13-210 – Administering to Another, Controlled Substances;
(4) A.C.A. § 5-16-101 – Video Voyeurism;
(5) A.C.A. § 5-27-201 to -207 – Endangering the Welfare of an Incompetent Person or Minor;
(6) A.C.A. § 5-27-221 – Permitting Abuse of a Minor;
(7) A.C.A. § 5-28-103 – Abuse, Neglect, or Exploitation of Endangered/Impaired Person;
(8) A.C.A. § 5-41-108 – Unlawful Computerized Communications;
(9) A.C.A. § 5-53-112 – Retaliation Against a Witness, Informant, or Juror;
(10) A.C.A. § 5-53-134 – Violation of a Protection Order;
(11) A.C.A. § 5-71-217 – Cyberbullying;
(12) A.C.A. § 5-71-229 – Stalking;
(13) A.C.A. § 9-15-207 – Violation of Order of Protection; and
(14) A.C.A. § 16-85-714 – Violation of No Contact Order.
Rule 2.11. Incomplete application - Applicants must tender all documents and information necessary for a complete application upon submission. Application deficiencies must be corrected within thirty (30) days. Dispositions must be received within sixty (60) days of request for same or the application shall be voided. Applications not complete after 120 days of submission shall be voided.
Rule 2.12. Denial - If the Director denies an application, he or she shall notify the applicant in writing, stating the grounds for denial. The letter shall be sent certified mail, return receipt requested.
Rule 2.13. New Employees - If a licensee hires an individual required to be licensed, credentialed, or commissioned by the Department, the licensee must file an application to obtain a license, credential, or commission for the employee within 14 days of the hire. The employee may work under the supervision of the licensee or credential holder until the application has been processed by the Department.
(a) "Supervision" is defined as the licensee or credential holder watching and directing the applicant's activities while in the immediate presence (line of sight proximity) of the applicant at all times.
(b) If the required state and federal background check uncovers a potential disqualifying factor in the applicant's criminal history, the applicant shall immediately cease work upon notification by the Department until the disqualifying factor has been resolved.
(c) A commissioned applicant cannot work in an armed capacity until the application has been fully processed and the ID card issued.
Rule 2.14. Upgrades – A licensee, credential holder, or commission holder may upgrade the status of his or her license, credential, or commission during the active period of his or her license. In order to receive an upgrade, the company or individual must:
(a) Complete any additional training required by the new license, credential, or commission;
(b) Successfully complete the examination required by the new license, credential, or commission;
(c) Undergo and successfully complete new federal and state background checks;
(d) Pay any fees associated with the federal and state background checks; and
(e) Pay the difference between the application fee for the initial license, credential, or commission and the application fee for the new license, credential, or commission.
The upgraded license, credential, or commission will expire on the date the initial license, credential, or commission is due to expire.
Rule 2.15. Fees – All fees for original licensure, registration, transfer, renewal, and delinquencies shall be charged as outlined in A.C.A. § 17-39-207, § 17-39-210, § 17-39-305, and §17-40-302.
…
SECTION 6. DENIAL, SUSPENSIONS, REVOCATIONS, AND REPRIMANDS…
Rule 6.7. Temporary Suspension – Pending an appeal of a denial, suspension, revocation, or reprimand, the Director may suspend a license, credential, or commission when that person has been convicted in any jurisdiction of a disqualifying offense under A.C.A. § 1739-202, § 17-39-206, § 17-39-211, § 17-39-304, § 17-39-306, § 17-40-306, § 17-40-344, or § 1740-350.
…
SECTION 8. APPROVED INSTITUTIONS OF INSTRUCTION (IOI) AND TRAINING ADMINISTRATORS…
Rule 8.7. Termination of Training Administrator, Assistant Training
Administrator, or Training Instructor - If a TA, ATA, or TI ceases to be employed with an approved IOI for any reason whatsoever, the IOI shall notify the Department in writing within seven (7) days. The business of the IOI may be carried on for thirty (30) days from the date the TA was terminated, pending the qualification of another TA. If the IOI fails to have an approved TA when the thirty (30) day period expires, they shall be subject to decertification by the Administrator.
…
SECTION 9. ALARM SYSTEMS COMPANIES
Rule 9.0. Class "E" Unrestricted alarm system company - installs alarm systems, including those systems in structures that are required by the AFPC to have a fire alarm system. An applicant that is qualified for a Class "E" Unrestricted license is also qualified for a Class "E" Restricted license. To be licensed as a Class "E" Unrestricted alarm system company, the applicant must meet the following qualifications:
(a) Manager certification requirements - the manager must have completed all of the courses from one of the following organizations:
(i) NICET
(1) Level III; or
(2) Level IV.
(ii) ESA
(1) Level I;
(2) Level IIA - Electronics or ABAT; and
(3) FAIM.
(iii) NESA
(1) Electronics; and
(2) Fire Installation and wiring codes.
(b) Alarm Technician or Alarm Agent requirements - the applicant must have completed one (1) of the following courses:
(i) NICET – Level II;
(ii) ESA - Level I;
(iii) NESA – Level I; or
(iv) Elite CEU – Level I.
Rule 9.1. Class "E" Restricted alarm systems company – installs alarm systems in structures that are not required by the AFPC to have a fire alarm system. To be licensed as a Class "E" Restricted alarm system company, the applicant must meet the following qualifications:
(a) Manager certification requirements – the manager must have completed all of the courses from one of the following organizations:
(i) NICET – Level II;
(ii) ESA
(1) Level 2A Electronics or ABAT; and
(2) Level 2B fire systems installation standards or FAIM; or
(iii) NESA
(1) Electronics; and
(2) Fire Installation and Wiring Codes.
(b) Alarm Technician or Alarm Agent requirements - the applicant must have completed one (1) of the following courses:
(i) NICET – Level II;
(ii) ESA – Level I;
(iii) NESA – Level I; or
(iv) Elite CEU – Level I.
…
SECTION 10. SECURITY AGENCIES…
Rule 10.5. Phase III - In addition to Phase I and Phase II training, the training requirements for Phase III must be taught to all CSSO applicants and shall consist of thirty-six (36) hours minimum on the following subjects:
(a) Legal limitations on the use of firearms and on the powers and authority of a CSSO
(b) Active Shooter Training
(i) ALERRT Active Shooter Training or an approved equivalent – this training must comprise at least sixteen (16) of the total thirty-six (36) hours; and
(ii) Incorporating security response with law enforcement.
(c) Active Shooter Simulations and Live-Fire Range Practice – this training must comprise at least ten (10) of the total thirty six (36) hours and include, but not be limited to:
(i) Shoot/don't shoot drills;
(ii) Rapid situational awareness; and
(iii) Simulated live fire weapon training, such as:
(1) Simunition;
(2) Paintball;
(3) Air soft; or
(4) Other simulated weapons.
(d) Trauma Care
(i) Wound management pertaining to active shooter situations; and
(ii) CPR training and certification.
(1) Note: prior CPR and/or wound management training or certification will not be accepted. CPR and wound management training and certification must be taught during Phase III training to ensure that the certification will not expire during the credential period.
(e) Defensive Tactics
(i) Strikes and kicks, including blocks and stunning strikes;
(ii) Handcuffing techniques;
(iii) Joint manipulation; and
(iv) Weapon disarming techniques.
(f) Weapon Retention – blocks, strikes, and maneuvers designed to maintain possession and control of a firearm from the holster and from the drawn position.
…
Rule 10.7. Firearms Training Instructor - A qualified Firearms Training Instructor must conduct the firearms training portion for CSOs and CSSOs. An individual seeking to be a qualified Firearms Training Instructor must prove that he or she meets the following requirements of the Department:
(a) Hold a current firearms training instructor certificate from a recognized instruction course, such as:
(i) Firearm instructor certificate issued by the Arkansas Law Enforcement Standards and Training Commission;
(ii) Firearm instructor certificate issued by any federal, state, or local law enforcement agency;
(iii) Certificate of completion of a Certified Pistol Instructor-Basic Pistol Shooting Course and a current certificate of completion of a Range Safety Officer Course by a Chief Range Safety Officer Instructor;
(iv) Certificate of completion of a Certified Instructor Rifle Shooting Course and a certificate of completion of a Range Safety Officer Course by a Chief Range Safety Officer Instructor; or
(b) Been approved by the Director of the Arkansas State Police.
…
SECTION 11. PRIVATE INVESTIGATION COMPANIES AND INDIVIDUALS
Rule 11.0. Credentialed Private Investigator (CPI) - An applicant for a CPI credential must work under the supervision of a qualified manager of a Class A company and pass an examination administered by the ASP.
Rule 11.1. PI Course of Instruction – all applicants for a Class A or D license must complete the following training requirements if they do not meet the experience of a manager as outlined in A.C.A. § 17-40-306:
(a) Fifteen (15) hours of basic doctrines of private security (orientation) including history, ethics, organization and functions of private security;
(b) Fifteen (15) hours of purposes of security;
(c) Twenty-five (25) hours of criminal law;
(d) Twenty-five (25) hours of civil law;
(e) Five (5) hours of legal powers and limitations;
(f) Forty (40) hours of security functions including report writing, patrol, interviewing and interrogation, investigations, surveillance, evidence, public relations, and safety;
(g) Five (5) hours of A.C.A. § 17-39-101, et seq. and A.C.A. § 14-40-101, et seq.;
(h) Sixty (60) hours of security supervision management including administrative responsibilities, investigative responsibilities, managerial responsibilities, and business communications;
(i) Ten (10) hours of emergencies and disaster control; and
(j) Ten (10) hours of self defense (armed and unarmed).
…
SECTION 12. POLYGRAPH EXAMINERS
...
Rule 12.1. Application- An applicant must submit with their new polygraph application:
(a) One (1) copy of his or her college transcript or diploma OR proof of five (5) consecutive years of active law enforcement experience shall be documented on agency letterhead; and
(b) Certificate of completion from an accredited polygraph course.
Rule 12.2. Sponsors - A sponsor is a polygraph examiner who has held a Polygraph Examiners License for at least two (2) years.
Rule 12.3. Sponsor limit - No polygraph examiner shall sponsor more than two (2) interns at one time.
Rule 12.4. Unauthorized reproduction - Polygraph examiner licenses issued by the Department shall not be reproduced or copied.
Rule 12.5. Continuing education - All polygraph examiners renewing their license must submit proof of continuing polygraph examiner education consisting of at least fourteen (14) hours within the past two years.
Rule 12.6. Subject unfit - The polygraph examiner shall not conduct a polygraph examination of a subject who he or she believes, through observation or any other creditable evidence, to be physically or psychologically unfit for an examination at that time.
Rule 12.7. Voluntary examination - No examiner shall record any physiological or psychological reaction or response with an instrument, or any part of an instrument, without the subject being aware that their physiological or psychological reactions or responses are being recorded for the purpose of determining truth or deception.
Rule 12.8. Compliance with law - An examiner shall not conduct an examination where he or she has reason to believe the examination is intended to cause him or her to circumvent or defy the law.
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REGULAR MEETING
Tuesday, June 19, 2018 Council Chamber, 100 Civic Plaza
DUBLIN CITY COUNCIL A G E N D A
- Agendas and Staff Reports are posted on the City's Internet Website (www.dublin.ca.gov)
- Agendas may be picked up at the City Clerk's Office for no charge, or to request information on being placed on the annual subscription list, please call 833-6650.
- A complete packet of information containing Staff Reports and exhibits relate to each item is available of public review at least 72 hours prior to a City Council Meeting or, in the event that it is delivered to City Council members less than 72 hours prior to a City Council Meeting, as soon as it is so delivered. The packet is available in the City Clerk's Office and also at the Dublin Library.
CLOSED SESSION 6:00 P.M.
I. PUBLIC EMPLOYEE PERFORMANCE EVALUATION
TITLE: CITY ATTORNEY
II. CONFERENCE WITH LEGAL COUNSEL—EXISTING LITIGATION
(Paragraph (1) of subdivision (d) of Section 54956.9)
Name of case: Ashton at Dublin Station, LLC v. City of Dublin et al., Alameda Superior Court Case No. RG18901768
III. CONFERENCE WITH LEGAL COUNSEL—EXISTING LITIGATION
(Paragraph (1) of subdivision (d) of Section 54956.9)
Name of case: California Renters Legal Advocacy Education Fund et al. v. City of Dublin et al., Alameda Superior Court Case No. RG18907446
IV. CONFERENCE WITH LEGAL COUNSEL—ANTICIPATED LITIGATION Significant exposure to litigation pursuant to paragraph (2) or (3) of subdivision (d) of Section 54956.9: 1 case
REGULAR MEETING 7:00 PM
1. CALL TO ORDER
2. REPORT ON CLOSED SESSION
3. ORAL COMMUNICATIONS
3.1. Acceptance of Donation from the General Federation of Women's Clubs Dublin/San Ramon STAFF REPORT
The City Council will consider acceptance of a donation from the General Federation of Women's Clubs Dublin/San Ramon in the amount of $750. The donation amount will go towards the Youth Fee Assistance Program. The City Council will also present the General Federation of Women's Clubs Dublin/San Ramon with a Certificate of Appreciation for their donation.
STAFF RECOMMENDATION:
Formally accept the $750 donation and recognize the donor.
3.2. Recognition of Hexcel Corporation STAFF REPORT
The City Council will recognize Hexcel Corporation for receiving a #GameChanger Award from Innovation Tri-Valley Leadership Group.
STAFF RECOMMENDATION:
Present a Certificate to Hexcel Corporation to congratulate them on receiving a 2018 #GameChanger Award from Innovation Tri-Valley Leadership Group.
3.3. Employee Introduction: Ritu Muralidharan STAFF REPORT
The City Council will welcome the City's summer intern for Public Works, Ritu Muralidharan.
STAFF RECOMMENDATION:
Welcome City of Dublin Summer Intern.
3.4. Public Comment
At this time, the public is permitted to address the City Council on non-agendized items. Please step to the podium and clearly state your name for the record. COMMENTS SHOULD NOT EXCEED THREE (3) MINUTES. In accordance with State Law, no action or discussion may take place on any item not appearing on the posted agenda. The Council may respond to statements made or questions asked, or may request Staff to report back at a future meeting concerning the matter. Any member of the public may contact the City Clerk's Office related to the proper procedure to place an item on a future City Council agenda. The exceptions under which the City Council MAY discuss and/or take action on items not appearing on the agenda are contained in Government Code Section 54954.2(b)(1)(2)(3).
4. CONSENT CALENDAR
Consent Calendar items are typically non-controversial in nature and are considered for approval by the City Council with one single action. Members of the audience, Staff or the City Council who would like an item removed from the Consent Calendar for purposes of public input may request the Mayor to remove the item.
4.1. Approval of the June 5, 2018 Regular City Council Meeting Minutes STAFF REPORT The City Council will consider approval of the minutes of the June 5, 2018 Regular City Council meeting.
STAFF RECOMMENDATION:
Approve the minutes of the June 5, 2018 Regular City Council meeting.
4.2. On-Call Engineering Services Agreements and Amendments STAFF REPORT
The City Council will consider approving consulting services agreements for engineering services for the following service categories: Civil Engineering/Project Management; Drafting/Autocad; Development Review; Intelligent Transportation Systems; Surveying; and Transportation Planning and Engineering. The term of these Agreements shall begin July 1, 2018 and shall end on June 30, 2021.
The City Council will also consider approving Amendments to Agreements for the following firms, to allow for the completion of work issued per Task Order: Bellecci; DKS; Fehr & Peers; GHD (formerly Omni-Means); Harris; Kimley-Horn; Kier & Wright; Kittelson; Mark Thomas; Novani; Pakpour; and Stantec. The term of these Agreements shall be amended in one-year increments, in order to close out Task Orders which are in process. Agreements shall not exceed a term of June 30, 2020.
STAFF RECOMMENDATION:
Adopt the Resolution Approving On-Call Consulting Services Agreements for Engineering Services. Additionally, adopt the Resolution Approving Consulting Service Amendments to extend terms for to allow for completion of work against open Task Orders.
4.3. Agreement with Tri-Valley Janitorial Service and Supply for Janitorial Services at City Facilities STAFF REPORT
The City Council will consider approval of an agreement for janitorial service and supply for all City facilities. The term of this agreement shall begin on July 1, 2018, and shall end on June 30, 2021.
4.5.
STAFF RECOMMENDATION:
Adopt the Resolution Approving Contract Services Agreement with Tri-Valley Janitorial Service and Supply to provide Janitorial Services, and supplies for all City facilities.
4.4. Bay Area SunShares Program STAFF REPORT
The City Council will consider participation in the Bay Area SunShares Program which is a program that provides residents with discounted options to purchase rooftop solar, electric vehicles, and electric vehicle charging stations.
STAFF RECOMMENDATION:
Adopt the Resolution Approving Participation in the Bay Area SunShares Program.
Consideration of an Agreement with All City Management ServicesSTAFF REPORT
The City Council will consider an agreement for crossing guard services with All City
Management Services.
STAFF RECOMMENDATION:
Adopt the Resolution Approving the Agreement with All City Management Services, Inc. for the Provision of Crossing Guard Services for Fiscal Year 2018-2019.
4.6. Amendment to Consulting Services Agreements for On-Call Services STAFF REPORT The City Council will consider approving amendments to the Consulting Services Agreements for firms that provide contract planning services on an as needed basis. The proposed amendments extend the term of service through June 30, 2021 and limit the compensation paid during the term of the agreements.
STAFF RECOMMENDATION:
Adopt the Resolution Approving Amendments to the Consulting Services Agreements for On-Call Contract Planning Services.
4.7. Payment Issuance Report and Electronic Funds Transfers STAFF REPORT
The City Council will receive a listing of payments issued from May 1, 2018 - May 31, 2018 totaling $12,805,740.50.
STAFF RECOMMENDATION:
Receive the report.
4.8. New Agreements or Amendments to Various Environmental Services Contracts STAFF REPORT
The City Council will consider approving an amendment to its Agreement with Revel Environmental Manufacturing for trash capture device maintenance and consider entering into agreements with Surf 2 Snow Environmental Resource Management, Inc. for Municipal Regional Stormwater National Pollutant Discharge Elimination System Permit inspections and spill response and Rincon Consultants Inc. to update the City's Climate Action Plan.
STAFF RECOMMENDATION:
1) Adopt the Resolution Approving an Amendment to the Contract Services Agreement with Revel Environmental Manufacturing, Inc. for Trash Capture Device Maintenance Services; 2) Adopt the Resolution Approving a Contract Services Agreement with Surf 2 Snow Environmental Resource Management, Inc. for Municipal Regional Permit Stormwater National Pollutant Discharge Elimination System Permit Inspections and Spill Response Services; and, 3) Adopt the Resolution Approving a Consultant Services Agreement with Rincon Consultants, Inc. for Assistance on the Climate Action Plan Update.
4.9. Dissolution of Local Government Services (LGS) Authority, A Joint Powers Authority STAFF REPORT
The City Council will consider a resolution dissolving Local Government Services Authority, A Joint Powers Authority (JPA). The City has been a member of the JPA since 2010.
STAFF RECOMMENDATION:
Adopt the Resolution Dissolving Local Government Services Authority, A Joint Powers Authority.
4.10. Revisions to the Personnel System STAFF REPORT
The City Council will consider proposed changes to the City's current Personnel System. The proposed adjustments are based on the need to revise the City's Salary Plan for PartTime Personnel.
STAFF RECOMMENDATION:
Adopt the Resolution Amending the Salary Plan for Part-Time Personnel.
4.11. Notice of City Engineer's Pending Decision on Improvement Agreement Amendments for Tracts 8164, 8171, 8260, Dublin Ranch Lot 3 and Subarea 3, Tract 8150 Boulevard Development, and on the Final Map for Tract 8362 Boulevard Neighborhood 16 STAFF REPORT
The City Council will receive a notification of the City Engineer's pending approval of the Improvement Agreement Amendments for Tracts 8164 Dublin Ranch Lot 3, Tracts 8171 and 8260 Dublin Ranch Subarea 3 Phases One and Two, Tract 8150 Boulevard Development, and on the Final Map for Tract 8362 Boulevard Neighborhood 16.
STAFF RECOMMENDATION:
Receive the notification.
4.12. Authorization to Purchase Police Vehicles Directly from Vendor STAFF REPORT
The City Council will consider authorizing the purchase of two police vehicles from Livermore Auto Group and Livermore Harley Davidson, based on negotiated pricing, to replace existing vehicles which will be declared as surplus property.
STAFF RECOMMENDATION:
Adopt the Resolution Authorizing Staff to Purchase Police Vehicles Directly from Vendor and Declaring Vehicles Replaced as Surplus Property; and approve the budget change.
4.13. Consulting Services Agreement with Lanlogic, IncSTAFF REPORT
The City Council will consider approval of a consulting services agreement between the City and Lanlogic, Inc. for ongoing support of the City's network, and special project work related to technological upgrades identified in the Information Technology Master Plan.
STAFF RECOMMENDATION:
Adopt the Resolution Approving a Consulting Services Agreement Between the City of Dublin and Lanlogic, Inc.
4.14. Special Designation of General Fund Reserves for Fiscal Year 2017-18 STAFF REPORT In accordance with the City's Fund Balance and Reserves Policy, the City Council will consider special designations of General Fund reserves for Fiscal Year 2017-18.
STAFF RECOMMENDATION:
Adopt the Resolution Authorizing a Special Designation of General Fund Reserves for Fiscal Year 2017-18.
4.15. Contract Services Agreement with Special Events, Fiscal Year 2018-19 STAFF REPORT The City Council will consider a contract services agreement with Special Events for rental of tents, stages, and event furniture for City-produced special events during Fiscal Year 2018-19.
STAFF RECOMMENDATION:
Adopt the Resolution Approving an Agreement with Special Events for Rental of Event Equipment.
4.16. Acceptance of Work – Project No. PK0414, Fallon Sports Park Phase 2 STAFF REPORT The City Council will consider acceptance of Fallon Sports Park Phase 2, CIP No. PK0414. The project provided for two illuminated synthetic turf soccer fields, a 90-foot illuminated baseball diamond, a restroom and concession building, four lit bocce courts, adventure playground, a group picnic area with trellis, a 145-stall parking lot, landscaping and irrigation, and street frontage improvements along Central Parkway and Fallon Road.
STAFF RECOMMENDATION:
Adopt the Resolution Accepting Fallon Sports Park Phase 2 (CIP No. PK0414).
4.17. i-GATE Agreement for Program Support STAFF REPORT
The City Council will consider an Agreement for Program Support with i-GATE Development Corporation with the goal of enhancing the region's entrepreneurial environment through programs, events and activities.
STAFF RECOMMENDATION:
Adopt the Resolution Approving the Agreement for Program Support with i-GATE Development Corporation.
5. WRITTEN COMMUNICATION - NONE.
6. PUBLIC HEARING
6.1. Safari Kid Daycare and Community Center Appeal of the Planning Commission's Decision to Deny the Site Development Review Permit, Conditional Use Permit and Minor Use Permit (PLPA-2017-00050) STAFF REPORT
The City Council will consider an appeal by the applicant for the approval of a Site Development Review Permit, Conditional Use Permit and Minor Use Permit to build a new daycare facility and community room on the vacant 2.1-acre Semi-Public parcel in Positano. The proposed project includes construction of a 14,936 square foot building comprised of a 10,667 square foot childcare center to be operated by Safari Kid and a 4,269 square foot multipurpose room that will be open for rent to the community, and related site improvements including an outdoor play area for the childcare center, shared parking for both uses, and a minor amendment to the Planned Development Zoning to establish development standards. On April 10, 2018, the Planning Commission denied the request. The applicant has appealed that action to the City Council. The City Council will hold a public hearing to consider the matter.
STAFF RECOMMENDATION:
Conduct the public hearing, deliberate, and adopt the following: 1) Resolution Reversing the Planning Commission's Decision and Approving a Conditional Use Permit for a Minor Amendment to the Planned Development Zoning Stage 2 Development Plan for the Site Designated as Semi-Public in Positano; 2) Resolution Reversing the Planning Commission's Decision and Approving a Site Development Review Permit for a 14,936 Square Foot Building Comprised of a 10,667 Square Foot Childcare Center and 4,269 Square Foot Community Center; and 3) Resolution Reversing the Planning Commission's Decision and Approving a Minor Use Permit for Shared Parking between the 10,667 Square Foot Daycare and the 4,269 Square Foot and Community Center; OR, direct the City Attorney to prepare a resolution affirming the Planning Commission's action including findings of fact, for City Council's consideration no later than July 17, 2018.
6.2. Lau Residential Addition Appeal of Planning Commission Approval of Site Development Review Permit (PLPA-2018-00002) STAFF REPORT
The City Council will consider an appeal of the Planning Commission's decision to approve a Site Development Review Permit for a residential addition at 6735 Maple Drive. The Site Development Review Permit is for a two-story addition to an existing single-story, 1,846 square foot home (including garage). The proposed 1,076 square foot addition includes a 176 square foot addition to the ground floor and the addition of a 900 square foot second story. The application was originally approved by the Community Development Director and that action was appealed to the Planning Commission. The Planning Commission held a public hearing to consider the appeal and affirmed the Community Development Director's decision and approved the project. The decision of the Planning Commission has been appealed to the City Council. The City Council will hold a public hearing to consider the appeal, and either affirm, affirm in part, or reverse the project approval.
STAFF RECOMMENDATION:
Disclose ex-parte contacts, conduct the public hearing, deliberate, and take one of the following actions: Adopt the Resolution Affirming the Planning Commission's Decision and Approving a Site Development Review Permit for the Lau Residential Addition at 6735 Maple Drive; OR, direct the City Attorney to prepare a resolution affirming the Planning Commission's action in part, with or without additional conditions of approval, or reversing the Planning Commission's decision and deny the Site Development Review Permit for the Lau Residential Addition located at 6735 Maple Drive.
6.3. Adoption of Master Fee Schedule STAFF REPORT
The City Council will consider adoption of a new Master Fee Schedule (MFS), based on information contained in the User Fee Study and Cost Allocation Plan presented to the City Council on June 5, 2018. The proposed MFS also includes an annual adjustment to Parks and Recreation Fees, which were reviewed by the Parks and Community Services Commission at its May 21, 2018 meeting. The City Council, as part of its action, will be asked to amend Municipal Code Section 4.04 and 5.24 to address fees related to Business Registration and Fireworks respectively.
STAFF RECOMMENDATION:
Conduct the public hearing, deliberate, and, 1) Adopt the Resolution Adopting a Master Fee Schedule for Services Provided by the City; and, 2) Waive the reading and INTRODUCE an Ordinance of the City of Dublin Amending Dublin Municipal Code Sections 4.04 - Business Registration and 5.24 - Fireworks Relating to Fees-For-Service.
6.4. Adoption of Rates for Garbage Collection, Disposal, and Recycling Services Provided by Amador Valley Industries and Establishing the 2018-2019 Annual Assessment STAFF REPORT
The City Council will consider adopting two separate resolutions establishing the garbage rates effective July 1, 2018 and establishing the Fiscal Year 2018-19 refuse related property tax assessment.
STAFF RECOMMENDATION:
Conduct the public hearing, deliberate, adopt the Resolution Amending the Schedule of Service Rates for Integrated Solid Waste Services; and adopt the Resolution Approving and Establishing the Collection of Minimum Residential Garbage and Recycling Service Fees for Fiscal Year 2018-2019.
6.5. Street Lighting Maintenance Assessment District 83-1; Landscaping and Lighting District 83-2; Landscaping and Lighting District 86-1; Landscaping and Lighting District 97-1; Street Lighting Maintenance Assessment District 99-1 STAFF REPORT The City Council will consider approving the Engineer's Reports and the levy of special assessments in each of the five maintenance assessment districts for Fiscal Year 2018-19. A public hearing is required to set the annual levy.
STAFF RECOMMENDATION:
Conduct the public hearing, receive testimony, and close the public hearing for each of the five maintenance assessment districts; deliberate; and take the following action: Adopt the Resolution Approving Engineer's Report, Confirming Diagram and Assessment, and Ordering Levy of Assessment for: Street Lighting Maintenance Assessment District 1983-1, Landscaping and Lighting District 1983-2, Landscaping and Lighting District 1986-1, Landscaping and Lighting District 1997-1, Street Lighting Maintenance Assessment District 1999-1.
7. UNFINISHED BUSINESS – NONE.
8. NEW BUSINESS – NONE.
9. OTHER BUSINESS
Brief information only reports from City Council and/or Staff, including committee reports and reports by City Council related to meetings attended at City expense (AB1234).
10. ADJOURNMENT
This AGENDA is posted in accordance with Government Code Section 54954.2(a) If requested, pursuant to Government Code Section 54953.2, this agenda shall be made available in appropriate alternative formats to persons with a disability, as required by Section 202 of the Americans with Disabilities Act of 1990 (42 U.S.C. Section 12132), and the federal rules and regulations adopted in implementation thereof. To make a request for disability-related modification or accommodation, please contact the City Clerk's Office (925) 8336650 at least 72 hours in advance of the meeting.
Mission
The City of Dublin promotes and supports a high quality of life, ensures a safe and secure environment, and fosters new opportunities.
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25
donkey boy
LCTN: ELECTRA-4 (Pleiades cluster)
CORD: SAO-76131.07 (134pc from SOL)
DATE: 2313ce-MAY-10-SATURDAY
TIME: 16:03zulu (local 12:20mst)
In the receiving area at the top of the Spike Nikki-8 dutifully waits for Maria to come out of her office. Being called for by Maria is never to be taken lightly, but the last two times were really no big deal. Nikki was simply asked to tap into a diplomat or two that Maria couldn't read; but from the purposeful activity behind the glass wall in the C3, and their thoughts echoing in her head, she realizes that all is according to plan.
Jessica steps out of the elevator and notices Nikki across the way looking out the window over the air field and pyramids far below. Bracing herself, Jessica makes a bee line towards her and stops just two meters short.
Jessica lazily applauds, "The fifteen year old, I'm amazed."
Nikki bodily turns, "If I may ask, which one?"
For Jessica it's like looking into a mirrorfrom four years ago, that is. Where Nikki's sister cherubs stopped growing five years before, and the budding pre-pubes' development was arrested just last year, this Nikki, at twelve, has starting to fill out with her hips and breasts rounding off quite nicely.
Jessica grins, "Donkey Boy. You know, Demitri."
So, this is what I have to look forward too, thinks Nikki as she ponders the beauty Jessica has become, "Oh, him!"
"A remarkable feat of accommodation. My hat's off to you!"
"One for the team."
Jessica flips, "Well, he isn't exactly a sport-fuck!"
Nikki flips back, "I took it all with grace and aplomb."
Jessica wags a stern finger at her, "No-no-no-no, it was more like open-mouth astonishment and moaning like a whore. Your normal M.O. You know, like a pro!"
Nikki snaps back, "At least I'm not fucking my nephew."
Jessica smiles, "You would if you could if you had one. Josav and I are exclusive, and I'm not out there spreading my legs for everyone and their second cousin just to win a popularity contest."
Nikki makes one statement of fact, "I am popular."
"That may be…" Jessica grins big and leans forward, "But I won't have beef-curtains by the time I'm eighteen."
Nikki didn't know what those were, but in a tenth of a second her brain pings the neuronet and it feeds her the data and an image. Unprepared for that tidbit of information, damage not seen in two centuries, inside she laughs at Jessica's slam.
Outwardly, Nikki scowls with disgust, "Yeeew, that was sick."
Jessica ponders the insult, "Ya, that was, but your reaction was priceless."
It was just then that Maria pops her head out with a worried look, "You two getting along?"
Nikki says flatly, "Yes."
Jessica doesn't look back, "We're fine!"
Maria watches them for a few long seconds, then, "Okay."
As Maria slips back into her office Jessica and Nikki stare at each other for the longest time, but it's Nikki that backs down, "After four years you still hate me."
"I don't hate you." Jessica shakes her head slightly, "I think you're fuckin' dangerous." Jessica's face then brightens up, "And, I so love poking you with a stick as one would a rattlesnake."
"Me? Dangerous!" Nikki nods towards Jessica, "No, you're the scary one. If they only knew how deep of a dive you've made they'd string you up by your"
Jessica cuts her off with a growl, "You don't know shit!"
Nikki shrugs, "I'm not saying anything but, honestly, you should be caged right along side me."
Jessica leans in, "I have no ambitions in this life except to fuck with you."
"No?" Nikki smiles, "Could have fooled me." Her smile fades, "Look, we have to work together. How about we get along?"
"How about you keep the Beta-Set away from my mom?"
"They're adults, they can make their own choices."
"Bitch, you fuckin' seduced her!"
"You don't say." Nikki feigns contemplation, "You sure about that? I don't remember Nicole trying to fight them off?"
Jessica pleads, "My mom is vulnerable."
Nikki nods, "She needs a lot of affirmation."
Jessica snarls, "You need to reel those two cunts in!"
Nikki stands firm, "Nicole can choose for herself."
"It's a ragged edge you are walking along, Nikki. I so fucking know when the rest of you come of age...well, the collective you are gonna throw yourselves at her like bees on sugar water. Just like you plan to do with Donkey Boy. A sea of Nikki flesh to dive into!"
Nikki flips, "My trysts with Alex are an investment, pleasant even, but with your mom, well, consider it bonding."
Jessica snarls, "Consider yourself warned."
"Okay, but Nicole did find it strange yet rewarding. All in the same breath!" Nikki then smirks, "And she sure does love her salad tossed, amongst other things."
Jessica bares her teeth at that last remark.
All she wants to do now is to kill this Nikki. Yes, Jessie can accomplish this task with a simple thought, it'd be a breeze, but in her mind this warrants something more feral and savage as payback. Instead of cutting her down with words Jessica transmits into Nikki's mind the image of her stomping the crap out of the little trollop, followed by slow dismemberment with a dull k-bar.
With that Nikki now realizes she went too far, pushed a button she should not have, and sheepishly admits, "That was uncalled for."
With quiet wide-eyed rage Jessica whispers, "Ya don't say!"
"Look, Nicole now belongs to something that has given her a sense of stability. You allowed for this. Least we forget…" Nikki points to Jessica, "It was you, yourself, that arranged for this."
"Just stay the fuck away from the Omegas."
Before Nikki could respond Maria pops out again, "Okay, ladies, I can sure use your help about now."
After a pregnant pause, eyes locked wide with hostility, the two peal away and step into Maria's office.
As they stop at her cluttered desk, Maria states more than asks, "I take it you both know what's going on?"
In unison they say, "Yes."
Maria looks at Nikki, "Oh, really?"
Nikki throws it back at her, "You are off limits, remember? Not your people. Also, I believe you didn't expect Security Services to bite and show up at upsilon-Taurus just yet." Nikki puts her hands out, "Just a guess! Not a mind-read."
Jessica adds, "I'd say du Conde pulled it off too good."
"We have Nikki to thank for that, but let's pick this up later…" Maria thumbs back at the screen behind her, "I got this goin' on."
On the monitor behind Maria is the stern face of the Co-op's Chancellor. As with all sub-space communications, after ten or twelve seconds, the image cyclically snows just a tadthen twitches back into focus as the signal switches from one wormhole channel to the next.
Jessica gestures to the monitor, "Who we working on?"
Nikki volunteers, "Ranch Kiplinger."
Maria adds, "Same drill as before. Feed me text. Step out of camera shot and let's find out what the fuck he wants."
Maria already knows what Kiplinger wants, but before she opens the channel, Nikki asks, "Do you want to know beforehand? I've met him, remember?"
Maria looks at Jessica and Jessica shakes her head, "I won't be able to do anything until you open the channel. I don't know why that is, but open that line up and I'll be wired into him."
Then to Nikki, Maria asks, "Go ahead."
"Fear."
Maria and Jessica go, "Hu?"
"Security Services found out about the negotiated settlement he was working on with Pitney and Jackson." Nikki then grins, "By the surprised look on your faces I take it that you didn't know about what they were doing."
Clearly frustrated by the news, Maria says, "If Jackson doesn't share then it's not my job to know."
Jessica quietly admits, "I knew."
Maria gives Jessica a scowl so Jessica throws her hands out to her sides in protest, "It's not your job to know!"
Maria huffs, "Point made, it's not for me to know...yet." She looks to Nikki, "Tell me more!"
"Everything?" Nikki asks. Maria nods yes, so Nikki gives it to them, "To stop the settlement the hawks, specifically Hartcourt, put Kiplinger under arrest and in a knee jerk reaction tried to start the war today. And yes, du Conde did come through for us on this one, but now that Chief Stark spanked them as bad as he did they want to put it off to give themselves time to regroup. Replace the losses and plan better. As it is, Kiplinger stays in power for the time being, but that power is now totally superficial and any settlement offers at this point forward are, as you would say, Marshal, without foundation."
Maria is genuinely concerned, "His life is at risk?"
Nikki confirms, "Very much so. His family too."
Maria motions for the two of them to get in place, "We'll see If you're right, Nikki. If you are, this won't take long."
The feed goes live and Kiplinger manages to keep it light, ["Oi, Ramirez, you kept me waiting long enough. I was beginning to think I needed a tee-up."]
"Hey, Kip, I hear you've been having a bad day."
["Short-game is in the loo. Bugger-all I can do about it."]
Jessica nods to Maria confirming what Nikki said, so Maria runs with it, "So, if you wanna kiss and make up then I'm good for it. Otherwise, we're just gonna hunker down and wait to see what the dumb-shits in your Security Services do next. Like, my God, what were they thinking?"
["Honestly, it was an unfortunate misunderstanding."]
Maria leans back, "Ya know, Kip, you're so convincing you make me want to believe you; but, our hackles are up."
["Marshal, I promise, it ends here."]
Maria reassures him that she knows the truth, "For the now."
Kiplinger knows that there is no point in arguing that, so he apologizes, ["Sorry about the Dashi."]
"Shit happens. That blows but it goes with the territory."
They look at each other for a few long seconds. Maria offers no apology for the three cruisers, and Kiplinger didn't expect it.
Kiplinger simply says, ["That it does."]
"Keep in touch, Chancellor."
["We should. Hooroo!"] And Kiplinger cuts the transmission.
Maria leans back in her chair with a pencil in hand, and while staring into Nikki's eyes she starts tapping the pencil on the edge of her desk, "So, you were right all along. You being honest and shit makes me wonder where your loyalties lie."
Instead of playing stare down with Maria, Nikki is curious about the yellow writing object in her hand, "What is that?"
Maria lifts the pencil up, "This?"
"Yes, what is it?"
"A pencil?"
"Whoa, I've never seen one!"
Maria shrugs and tosses Nikki the pencil, "Ticonderoga Number 2. You can still get 'em."
Astonished, Nikki says, "No way!"
Maria reaches under her desk and pulls out a whole box of pencils, and a sharpener, and tosses them on the desk top, "Here ya go, Nikki. Enjoy!"
"Seriously, thank you!"
"Look, Nikki…" Maria thinks hard about what she now says, "Thank you for your help. Ya, we got Jessica and she's capable, but we do appreciate your help whenever you can give it to us."
Nikki nods her head, "It's my pleasure."
Maria points to Jessica, "Look, I hate to cut this short but I have to get out to the Carrie Nation and I need to talk to Jessie before I go. Again, I want to thank you for your help."
Nikki turns to leave, and before she steps out the doorway she looks back at Maria, "Maria, my loyalties lie with those who will win. That will be you."
Maria challenges her, "You sure about that?"
"I have a good idea what you plan to do." Nikki then assures her, "It didn't come from you, but your people are not as discreet with their thoughts as you are."
Maria asks curiously, "And?"
"Like I said, I'll stick with the winning team."
Maria ponders, "You know, I keep looking for a reason to end your ass, and I can't find one..." Then with a laugh, "Yet!"
Nikki adds, "And, I won't give you one."
It was then that Jessica pipes up, "Me? I don't need one!"
Nikki totally blows her cool and shouts while pointing towards the lobby, "Can we talk!"
With a smirk, Jessica looks at Maria while pointing at Nikki, "Give me a minute. Okay?"
Maria says with some urgency, "Make it fast."
As Jessica steps past Nikki, and into the lobby, she whispers to Nikki, "My, we have a temper."
Before Nikki follows her she says to Maria, "It'll be Polaris." "What about Polaris?"
"That's where they are going to build up their forces. That'll be their jumping off point. Jessica will confirm."
Stepping out into the lobby Nikki faces Jessica down, "Off me now or shut the fuck up! I'm done."
With a shiver, Jessica smiles, "Ooooh, choices."
Nikki is pissed, "I mean it, bitch. I am sick of your shit!"
Jessica protests, "What do you want me to do? Be nice?"
Nikki didn't have an alternative, "You might consider it? I'm not getting off this planet, even if the Co-op takes it I'm stuck."
"What do you know?"
"Pretty much everything and, no, it did not come from Marshal Ramirez if that's what you're wondering."
Jessica shrugs, "I believe ya. Few people have the discipline of thought my Aunt Maria has."
"Most everybody else is transparent to us." Nikki adds, and as Jessica nods in agreement Nikki asks, "Doesn't it get old?"
Jessica wonders, "What?"
"The constant hurricane of thought that surrounds us. If I couldn't filter out what I choose to hear, or if I could not blot it out completely, like we can, I'd...I'd go insane."
"Ain't that the truth." And after a short introspective silence, Jessica gives in, "Being nice, to anybody, is not my style. And the idea of being even cordial to you goes so against my grain it's breathtaking, but...let's say I don't have to be an asshole all the time."
Jessica cuts her off, "No! I'll never like you."
"That's not what I was going to ask, but it would be nice."
Jessica gestures to her to ask her question, so Nikki tries again, "Maybe we could do lunch? Start fresh."
"Don't push it." And while inching back towards Maria's office Jessica says, "And, while we're at it, stay away from Seth."
"Such an unremarkable child..." Nikki then quickly adds with some panic, "No insult intended! I mean that I was anticipating more considering his pedigree."
Jessica stops and shakes her head with disbelief, "What were you expecting? Muad'Dib?"
"Hu?" Nikki asks, confused.
Jessica rolls her eyes, so Nikki taps the neuronet again as she summons the elevator, "Dune?"
Jessica shrugs, "It's dumb as fuck, but you'll enjoy it. I did."
"I'll download and rip it."
Which is to say Nikki is going to queue it up at nightwhere by morning having 'read' the book will have been implanted in her memory. She could do it on the go but the results are not clean and more like having scanned the Cliffs Notes. An all too common practice anymore that purists, those one-percenters who still use tablets or buy hard-copy, insists that it short-changes the experience.
"How about reading it! Doesn't anybody actually read books anymore? It's not like you don't have the time."
Nikki nods her head, "Okay! Why not?"
Jessica can feel Maria getting frustrated, so to cut this short she draws a line in the sand, "Look, my mother will have to fend for herself..." But only so far is implied yet not saidand understood by both. "Just steer clear of the Omegas and we'll get along."
"Fair enough."
The elevator opens and Nikki gets in, and before the doors close Jessica calls out, "Oh, and Nikki!"
Nikki's head pops out, "What?" She steps out while holding the door. "Normally you close our discussions with a dig, so what is it this time?" Then in a severe country drawl she adds, "I'm just all a twitter wonderin' what ya'll has'ta say."
"Actually..." Jessica smiles big as she slips into Maria's office, "We should do lunch!"
As Jessica approaches Maria's desk, Maria asks, "Polaris?"
Jessica knows Maria knew that long before, "Yup."
"That's the last place we'd ever look."
"Ya, who'd 'uv guessed." Jessica plops down in a side chair, "So, think you can pull this off?"
"If they take the bait. Today was too soon."
"To spread them thin, like you want, you'll probably have to give up way more than you want too. You realize that?"
"I know, but we'll make them pay for every inch of ground they take. I just don't know about Sapphire though. Playing the neutrality card here will be difficult at best."
Jessica looks around while spinning her finger in the air, "This is an embassy, technically speaking." She then leans in, "And what a thorn in their side it will be. Especially with me here."
Maria nods in agreement, "You'd be a thorn in their side and they would not even know it."
Jessica confirms, "So, you plan to use me."
Maria blinks her eyes in disbelief, "Did you have any doubts?"
"Think of the intel I could gather."
Maria is annoyed by Jessica's smug tone of voice. She looks in Jessica's eyes for a second, and then points to her, "Tell me, love, how much have you contributed to what we're planning to do? And, don't bullshit me."
Jessica sits back with a snort, and stares back at Maria for the longest time, "Very little, actually."
Maria gestures to herself, "I'm all ears."
Jessica tries not to answer with, "Let's just say I've been greasing the skids for you."
Maria snaps, "Knock it off!"
"I'm already done."
"I'll bet." And as Maria stands to leave, "We're gonna haf'ta have a talk when I get back."
"Okay."
"I should be chewing your ass out, but that's not going to accomplish anything. So, my dear, if you're gonna continue sticking your nose in our business"
"Keep you in the loop?" Jessica shrugs, "They were such minor things, Aunt Maria."
"What were you doing?"
"Just tugging on some strings. Ones you wanted tugged."
"du Conde?"
"Obviously."
"Lebedev or Saavedra?"
Jessica sheepishly admits, "Yes."
"Both?" Maria asks, and Jessica nods yes.
"Tugging on some strings..." Maria then shouts, "I want an itemized list!" She then thumps her desk with her fist, "Need I remind you that the minor things you do can have major repercussions? From here on out your hand does not go into the fuckin' cookie jar without my permission!"
"I understand."
"I'm glad you do."
"Speaking about that hand in the cookie jar thing"
Maria leans forward and gives a quiet snarl, "what?"
"Kiplinger." Jessica points to Maria, "I can see the wheels turnin' in your head and I can guarantee it ain't gonna be easy…"
Maria plops down in her chair and deflates. She knows she has to listen to Jessie and it kills her to do so. Whatever she and Nikki picked up when they connected to Kiplinger is critical, and it's obvious in that short exchange that Jessica has both intimate details of his situation and a possible solution.
"They got 'im buttoned up pretty tight, but not tight enough." Maria sighs, "Okay, you got an idea?"
01100001-01110010-01100111-01101000-00100001
Maria has been trying to get out of here for the last couple of hours. Jessica has been long gone but the C3 staffers and others have been like an endless parade through her office. It's now 18:50 zulu and Jacob calling in the middle of his dinner party was her chance to boot everyone out, but to hear him say he's planning to turn down Alex's stepmother, when she's obviously coming onto him, blows her away. Then to hear from him that she looks every bit like the late Claudia Willoughby, every student of history's wet-dream, confuses her
even more.
"Madam Fap-Damage? No shit!" Maria exclaims.
Jacob confirms, ["No shit. It's like she was cloned or somethin'. A somewhat younger version, but it's uncanny."]
Maria shakes her head, "Dude, what's the big deal? Tell ya what, if you don't perform this little service I will hop on the next beer run and come take 'er off your hands!"
Jacob complains, ["I feel like a door prize."]
Maria agrees, "As well you should, and considering what Sasha Demitri has done for the cause you really need to put out if this is what she wants."
["You're shit serious! You want me to tear it up."]
"Yes, but don't punish her."
Jacob has abruptly come to an amazing realization about his relationship with Maria, ["So, I'm the monkey with the tin cup and you're the organ grinder."]
"About time you figured that out, chuckle-fuck."
["I guess I got my marchin' orders."]
"Be the monkey!" Maria then changes her mind, "Better yet, for this think of yourself as a Circus Seal! That's more your style. Think you can handle it, slick?"
["Let's see, how's this?"] Over the link Maria hears Jacob slapping his hands and barking like a seal, ["Orrrk! Orrrk!"]
"Now, that's getting into character!"
["You know I don't like 'em so...meaty."]
"You mean pudge…" While they were talking Maria pulled images of Sasha from the ceremony that afternoon, "But that's some mighty nice pudge! Look, if Sasha's anything like Willoughby in the sack then you'll be thanking the heavens you did this. Who knows? She just might end up as a regular on your dance card?"
The irritation in Jacob's voice is more for show, ["I can't believe that I'm about to do a fatty."]
Maria is truly astonished by Jacob's comment. Sasha is not a 'fatty' per se. Historically she wouldn't even be considered full-figured except by today's standards. The perfectly marbled Porterhouse Sasha offers, as compared to the über lean round-steak walking the streets nowadays, is a throwback to a day when plump was in vogueand Sasha would be considered skinny by comparison.
Maria pleads, "Just do it!"
Jacob caves in, ["Okay! Okay! I'm on it!"]
"Make me proud." And Maria cuts the transmission.
With nobody bothering her Maria makes good her escape, and on the elevator heading down to the lobby of the Spike she feels her jowls tighten and realizes she has a slight ringing in her ears. She wonders if it's stress or anger but after a few seconds she comes upon a disturbing realizationshe's jealous.
What a miserable feeling, Maria thinks as she struggles in coming to grips with these alien emotions. She's not at all jealous of Jacob getting a shot at Sasha, that's so not her style. She's jealous of Sasha and that's what's bugging Maria. She can have Jacob on a whim, and he is accommodating, its just been too long. Years in fact. And it's not like she's not getting laid. The staff in C3 could be her personal harem if she so choose but Maria has avoided tapping that for obvious reasons. To get hers Maria has been sneekin' down to the casino at the Khafre pyramid which has yet to disappoint.
Two or three times a week Maria gets dressed-to-kill and starts her evening at the blackjack, roulette, or craps tables. At the casino she is nobody, just like everybody else, but she's such a laugh riot that hooking up with the hot single lady or couple is effortless for her. Humor is such a powerful tool and, armed with a big personality and a sardonic wit, Maria has no problem getting a little action. When Maria want's intimacy she'll opt to pay Nicole or Jacob a visit, in that order, but Nicole has been occupied as of late and she's been avoiding Jacob for quite some time. The why is something she cannot fathom or put to words until now. And while stepping out onto the airfield, under the roar of a Razorback drop ship performing a rolling take off, the thought dawns on Maria as if it were a punch in the face, I still have feelings for the stupid sonofabitch!
"Fuck that!" The Razorback drowns her out as she stamps her foot while screaming, "Uh-uh! No, no fuckin' way! I thought I totally got past his shit!" Maria then throws her head back and shouts out, "God, you asshole, strike me down! Show some mercy, motherfucker! Come on and…" She then bellows as if she were challenging God to stomp her like a bug, "DO IT, YOU FUUUUUUUU!"
Just then a com-alert flashes in Maria's head from Corporal Vossler in the C3, and Maria amazes herself as she switches from a primal-rage to sing-song pleasantness, "Yes, Corporal. Wazzup?"
["Waddya mean, wazzup? Where are you?"]
"Leaving?"
Even though Vossler is a corporal he's a retread, and what Maria can't shake is that long ago he was a Chief and she was a corporal three levels under himso privately he can speak his peace, ["The hell you are! Your meetings with Sandoval can wait."]
Maria pleads, "You're having a Murder Board! It's unorthodox for me to be sitting in on a review of my own plan don'cha think?"
Maria can almost hear the growl from Vossler, ["We're fast tracking this one, Ramirez. S.O.P. goes right out the window."]
"Voss, Sandoval has Frankensteined us a few game changers that will impact the plan in a good way."
["You can tell us on the hot-seat."]
Maria shakes her head, "Wait a minute? I'm the boss!"
["Maria Lynn!"] The fatherly-authoritarian tone hits its mark.
Maria stops, grits her teeth, turns about-face and stomps back towards the Spike all the while grumbling intelligible obscenities. Decades before Vossler's voice got results, and it pisses Maria off that it still works on her today.
["So, what's it gonna be?'] Vossler asks, knowing the answer.
"I'm comin', I'm a comin'!"
["Fucken-A, doodlebug! That's what I want to hear!"]
Maria knows he's right but flips the bird towards the top of the Spike out of frustration, "You owe me, Kevin!"
Vossler chuckles, ["I saw that."]
Maria breaks on a dime and leans forward with hands on hips, "Who's fucken' this monkey, hu?"
Put in his place, Vossler fumbles, ["Ah…you are?"]
"That's good to know, Voss." Maria starts again for the Spike. "We're on the same page."
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The Change We REALLY Want?
WITH THE ELECTION OF BARACK OBAMA, millions in the United States and around the world are hoping for relief from the dangerous arrogance and destructiveness of George Bush's foreign policy. President Obama is expected to take important positive initiatives — like closing Guantanamo and lifting the rule denying international organizations receiving U.S. aid the right to let women know about abortion. When the inevitable right-wing reaction to these initiatives comes, it will be crucial for us in the peace movement to defend them. On some broader questions, there is a chance that with strong continuing popular pressure — from both within and outside the United States — the pre-election hopes of many Obama supporters can be realized on issues such as an end to the war in Iraq or stepping back from Bush's attempt to install "missile defense" in Poland and the Czech Republic. The Obama administration will face a host of critical issues in foreign policy, such as how to relate to Iran, Afghanistan and Pakistan, Israel and Palestine, Cuba, Russia, China, Latin America, AFRICOM (the new Pentagon structure for Africa), North Korea, NATO expansion, weapons in space, nuclear and conventional weapons — and perhaps most important, the international economy and global warming. Popular movements can succeed in moving Obama to some degree on these questions, and that makes immediate mobilization imperative. But achieving a thoroughgoing and consistent progressive foreign policy will require a substantive, not just rhetorical, transformational politics in the United States that goes far beyond what we have reason to expect from Barack Obama's presidency. Obama's foreign policy advisors and appointments, campaign speeches and website remind us that he has already shown his support for many of the central tenets of U.S. imperial policy. More fundamentally, given the corporate interests with which Obama and the Democratic Party are intertwined, there are limits to how far his administration can or will go in transforming U.S. relations with the rest of the world. But people have been energized by the sweeping repudiation of Bush's policies and the election of a candidate who has spoken broadly, albeit often vaguely, of the need for change. If movements in this country and abroad can build on popular hopes and show that what is needed is genuinely progressive change, they can push U.S. foreign policy to those limits, and place on the public agenda more profound challenges to the way the United States relates to its own people and the rest of the world. In so doing we can begin the process of forging the radical-democratic transformational politics this country requires.
A New U.S. Foreign Policy
THE PEACE MOVEMENT HAS LONG BEEN doing extremely valuable work opposing the many wars, interventions, and weapons systems of the U.S. government. But it is also necessary to step back from these day-to-day defensive battles and think in a broad, positive way about what a progressive U.S. foreign policy would look like. The New York-based Campaign for Peace and Democracy (of which I am a co-director) has contributed to the discussion of a new foreign policy, advocating a "détente from below" approach to resolving international conflict by forging an alternative to great power politics, an alternative based on movements for peace, social justice and democratic liberties across national boundaries.1The Campaign calls for a new U.S. foreign policy that will:
Renounce the use of military intervention to extend and consolidate U.S. imperial power. This would mean withdrawing all U.S. troops from around the world and closing down the more than 900 U.S. global military bases.
End support for corrupt and authoritarian regimes.
Oppose, and end U.S. complicity in, all forms of terrorism worldwide.
Reject the notion that great powers have the right to "spheres of influence" that deny smaller nations their rights and autonomy.This means that Russia has no legitimate claim to hegemony over Georgia, Ukraine, or the rest of what it considers its "near abroad," but likewise that the U.S. has no right to intimidate Cuba, Venezuela, Bolivia, or other countries in the Caribbean, Central America or Latin America.
Support the right of national self-determination for all peoples; in the Middle East, this would include the Kurds, Palestinians and Israeli Jews.
End one-sided support for Israel in the PalestinianIsraeli conflict.
Take major unilateral steps toward renouncing weapons of mass destruction, including nuclear weapons, and vigorously promote international disarmament treaties.
End double standards whereby some countries are unjustly allowed to have nuclear weapons and others are not.
Abandon and replace a global economic system that brings mass misery and insecurity to people around the world.
These initiatives, taken together, would constitute a truly democratic foreign policy. Such a policy could begin to reverse the mistrust and outright hatred felt by so much of the world's population toward the United States. At the same time, it would weaken the rationale for imperial interventions by other great powers, and undercut the appeal of terrorism and reactionary religious fundamentalism. Though nothing the United States can do would decisively undermine these elements right away — they were, after all, a long time in the making — over time a new U.S. foreign policy would drastically undercut their power and influence.
Obama's Foreign Policy
PEOPLE AROUND THE WORLD ARE enormously relieved by the defeat of John McCain, and hope that it signals a rejection of eight years of the destructive policies of the Bush Administration. And indeed, we can expect that President Barack Obama will put an end to the macho cowboy style of George W. Bush, with his bellicose rhetoric of "If you're not with us, you're against us," "Bring 'em on," "Axis of Evil," "Dead or Alive," and "Global War on Terror." But the end to such provocations, while extremely welcome, is not enough. And a review of some highlights of Obama's foreign policy positions gives cause for concern, even alarm. 2 (1) Afghanistan and Pakistan PERHAPS THE MOST DISTURBING ELEMENT of Obama's program, repeatedly stated during his campaign and afterwards, is his plan to increase the U.S. military presence in Afghanistan — above the 30,000 troops already there, and quite possibly above the 20,000 additional troops recently requested by the Pentagon. Obama is also expected to try to pressure NATO countries to increase their military forces in Afghanistan, though he is likely to encounter considerable resistance from governments facing voters unhappy with the prospect of sending their soldiers into what appears increasingly to be a dangerous and unwinnable war. Obama has threatened to target Osama bin Laden and other "high value" al Qaeda figures in Pakistan, with or without the agreement of the Pakistani government. It is not yet clear whether Obama intends to continue Bush's policy of using American military power to attack Taliban forces in Pakistan's northern areas. In any case, U.S. military intervention in Afghanistan and Pakistan is doomed to fail, but beyond that, the U.S. ground and air wars routinely kill and wound large numbers of civilians, in the process recruiting waves of new supporters of terrorism and fundamentalism. Pakistani General Kayani declared after an American ground raid in September 2008 that Pakistan would defend its borders at "all costs" if there were further
incursions by U.S. troops, and President Bush was forced, at least temporarily, to cease these ground attacks. At first Pakistani authorities indicated that they would look the other way if U.S. military forces acted only from the air. However, public opinion in Pakistan was so inflamed by the violation of Pakistani sovereignty and the loss of life caused by U.S. air attacks that Pakistani politicians have been compelled to condemn U.S. aggression from the air as well as on the ground. After meeting with the new head of the U.S. Central Command, David Petraeus, on November 3, 2008, Pakistan's President Asif Ali Zardari revealed the pressure he was feeling when he said, "Continuing drone attacks on our territory, which result in loss of precious lives and property, are counterproductive and difficult to explain by a democratically elected government.
It is creating a credibility gap." 3Yet the Bush bombing goes on. Afghan President Hamid Karzai has likewise protested against aerial attacks that kill civilians, though it is unclear whether he called outright for ending the use of air power. But if it were so easy to avoid slaughtering civilians when fighting an insurgency from the air, the United States probably would have done so already. However, the alternative Obama has advocated so far, sending in more ground troops so as not to rely so heavily on aerial attacks,4 is no more likely to succeed than previous occupations by the British or the Russians. And as U.S. ground troops face near-inevitable defeats in fighting against the Taliban, the pressure to bring in air power will be hard to resist. Only a political, rather than a military, solution can offer any hope of undermining al Qaeda and rescuing Afghanistan from a restoration of Taliban rule. But this is impossible as long as the fight against al Qaeda and the Taliban is seen as part of a U.S. imperial agenda. We need to recall that al Qaeda was founded in the first place in opposition to the post-Gulf War U.S. military presence in Saudi Arabia— and it wasn't just Osama bin Laden's personal objection; he was able to exploit a deep resentment against U.S. forces throughout the Middle East. What is needed is precisely not to inject U.S. or NATO power into the politics of the region. Many analysts have argued that a
stable resolution to the conflict in Afghanistan will require some kind of regional settlement involving Afghanistan, Pakistan, India, and Iran. This may well be the case, but as an outside imperial force, deeply and rightly mistrusted, the United States should not be a player in any regional settlement (beyond providing aid and guarantees of noninterference). The United States will inevitably distort and poison the process as it attempts to configure the outcome to serve its military, corporate and realpolitik goals. Without the American presence, new, more democratic political groupings — alternatives to both the corrupt Karzai government and the Taliban — could have the chance to emerge over time. (2) Iran OBAMA'S ELECTION HAS BEEN MET WITH enthusiasm in the United States, Iran and throughout the Middle East (with the notable exception of Israel, where reaction is noticeably cooler). People hope that Obama's willingness to negotiate without preconditions and to tone down warlike threats can create a relaxation in tensions between the United States and Iran. But there are disturbing signs that the new Obama administration could nonetheless move toward war. The Washington-based Bipartisan Policy Center issued a report in September 2008 "Meeting the Challenge: U.S. Policy Toward Iranian Nuclear Development" that not only explored the idea of blockading Iran's gasoline imports, but also said that "a military strike is a feasible option and must remain a last resort." Among the report's authors is Dennis Ross, one of Obama's top Middle East advisers. New York Times editorial board member Carol Giacomo wrote a widely circulated editorial comment on November 3, 2008, expressing concern that this report and other Washington discussions about Iran were all too reminiscent of the climate that preceded the Iraq War. On the other hand, another report, the Joint Experts' Statement on Iran (www.justforeignpolicy.org/experts.pdf ), points in a less bellicose direction, though one that still sees a role for the exercise of U.S. power in the region. It remains to be seen whether Obama will follow the guidelines of either of
these two reports. Obama has often said categorically that the United States cannot allow Iran to have a nuclear weapon. But what if, as is more than likely, the Iranians insist in negotiations on having "everything but" a nuclear weapon — in other words, developing all of the components needed for a nuclear bomb without actually having one? In the October 29, 2008 London Review of Books, the respected scholar Ervand Abrahamian wrote that even the Iranian "minimalists," often defined in the West as "reformists," who see Ahmadinejad as being dangerously provocative, would nonetheless "like to develop the [nuclear] programme slowly, thus gaining the knowledge and equipment needed to produce weapons in the long term. In nuclear parlance, this is known as the Japanese option. Some thirty countries have this option, and it has probably been Iran's unstated goal for the last twenty years."5 The Iranian government will probably insist on pursuing at least this "minimalist" option, which is understandable if not supportable given the fact that the United States (along with the other nuclear powers), through decades of both Democratic and Republican administrations, has made clear its commitment to keeping and upgrading its own nuclear arsenal. As the Campaign for Peace and Democracy pointed out in its 2006 signon statement"Iran: Neither U.S. Aggression Nor Theocratic Repression":
An end to Washington's belligerence is a crucial step in preventing Tehran from joining the nuclear "club." Beyond that, the only way to stop proliferation is for those countries that have nuclear weapons to begin disarming — something the Bush administration and previous administrations of both parties have refused to do, despite the fact that the U.S. is a signatory to the NonProliferation Treaty which commits it to "pursue negotiations in good faith on effective measures relating to cessation of the nuclear arms race at an early date and to nuclear disarmament." At the same time the nuclear powers must work toward nuclear-free zones around the world, but especially in the Middle East, a particularly volatile and dangerous region.
The only effective way to prevent the further spread of nuclear weapons to Iran and other countries is for the nuclear powers to take disarmament initiatives that foster a political climate in which it's more difficult for them to go down this road. President Obama needs to feel public pressure to move toward disarmament, and any peace movement call for negotiations with Iran needs to avoid legitimating the idea that military threats should be made against Iran to convince them to abandon their pursuit of nuclear weaponry.6 Leading Iranian dissidents like Akbar Ganji and Shirin Ebadi have stressed that such threats, by offering a rationale for cracking down on human rights campaigners, feminists and other independent activists and intellectuals, only serve to strengthen the hand of Ahmadinejad.7 (3) Israel-Palestine RESOLUTION OF THE ISRAELI-PALESTINIAN conflict is the cornerstone of any lasting peace in the Middle East. But for too long, U.S. foreign policy and world peace itself have been held hostage to the aggressive policies of Israeli hawks. For decades both Democratic and Republican administrations have given lip service to the rights of Palestinians while giving billions of dollars in economic and military aid to Israel even as it flagrantly denies those rights. Will the Obama administration finally break from this destructive history and open the way for a real two-state solution? Throughout his campaign, Obama took positions on Israel-Palestine that were basically indistinguishable from the pandering to Israeli government policy of the Bush Administration, and his appointment of Rahm Emanuel as chief of staff is not encouraging. But it is conceivable — though unlikely — that Obama will move in a new direction on this critical issue. Anyone who hopes for peace in the Middle East should help put the greatest possible pressure on the new administration to make this happen. (4) Challenging the Empire Itself A CRUCIAL
FEATURE OF A NEW PROGRESSIVE U.S. foreign policy would be renunciation of the idea that the United States must be an uncontestable imperial force that dares not lose "credibility" and therefore has to be the "Number One" global military power. A look at the Obama-Biden campaign website shows a very different approach. Below are excerpts from the campaign positions on foreign policy and defense from the Obama-Biden campaign website. For the fuller positions readers can go to the site.
BUILD DEFENSE CAPABILITIES FOR THE 21ST CENTURY
Expand to Meet Military Needs on the Ground: Barack Obama and Joe Biden support plans to increase the size of the army by 65,000 soldiers and the Marines by 27,000 troops. Increasing our end strength will help units retrain and re-equip properly between deployments and decrease the strain on military families.
Fully Equip Our Troops for the Missions They Face: Barack Obama and Joe Biden believe we must get vitally needed equipment to our soldiers, sailors, airmen and Marines before lives are lost. We cannot repeat such failures as the delays in deployment of armored vehicles, body armor and Unmanned Aerial Vehicles that save lives on the frontlines.
Review Weapons Programs: We must rebalance our capabilities to ensure that our forces have the agility and lethality to succeed in both conventional wars and in stabilization and counter-insurgency operations. Obama and Biden have committed to a review of each major defense program in light of current needs, gaps in the field, and likely future threat scenarios in the post-9/11 world.
Preserve Global Reach in the Air: We must preserve our
unparalleled airpower capabilities to deter and defeat any conventional competitors, swiftly respond to crises across the globe, and support our ground forces. We need greater investment in advanced technology ranging from the revolutionary, like Unmanned Aerial Vehicles and electronic warfare capabilities, to essential systems like the C-17 cargo and KC-X air refueling aircraft, which provide the backbone of our ability to extend global power.
Maintain Power Projection at Sea: We must recapitalize our naval forces, replacing aging ships and modernizing existing platforms, while adapting them to the 21st century. Obama and Biden will add to the Maritime PrePositioning Force Squadrons to support operations ashore and invest in smaller, more capable ships, providing the agility to operate close to shore and the reach to rapidly deploy Marines to global crises.
National Missile Defense: An Obama-Biden administration will support missile defense, but ensure that it is developed in a way that is pragmatic and cost-effective; and, most importantly, does not divert resources from other national security priorities until we are positive the technology will protect the American public.
Ensure Freedom of Space: An Obama-Biden administration will restore American leadership on space issues, seeking a worldwide ban on weapons that interfere with military and commercial satellites. He will thoroughly assess possible threats to U.S. space assets and the best options, military and diplomatic, for countering them, establishing contingency plans to ensure that U.S. forces can maintain or duplicate access to information from space assets and accelerating programs to harden U.S. satellites against attack.
THUS, DESPITE SOME WELCOME hesitations on missile defense, Obama has committed himself to building a military suitable for sustaining a foreign policy of threats and interventions abroad. It was argued during the presidential campaign that Obama needed to say these things "in order to get elected,"
but he didn't really mean them. The time is now to put this hypothesis to the test. If we move quickly, we may be able to get Obama to reverse some of his retrograde campaign pledges,
whether he meant them or not. A good case in point is the proposed U.S. military radar in the Czech Republic and companion Interceptor missiles for Poland. President Bush has already signed agreements with both countries to install these bases. Obama has indicated a positive attitude toward expanding U.S. "missile defense," but has allowed for a loophole — that he wants to be assured that such systems work before moving ahead. Meanwhile, the movement against the Czech radar has been astoundingly successful. Over 70 percent of the population opposes the radar, and the government has not yet been able to achieve a parliamentary vote in favor of accepting it. The vote has been postponed, and will probably not take place until after Obama is in office. The Campaign for Peace and Democracy has worked with several other U.S. peace organizations to support its Czech friends and dissuade the Bush Administration from moving forward with this project.8 President Obama needs to hear from the opposition to this dangerous escalation into a new Cold War, not because "it won't work," but because it sharply raises the level of nuclear tension in the world. U.S. GLOBAL POWER AND INFLUENCE ARE on the decline — Latin America's leftward shift, the growing economic power of China, and European moves toward independence from the United States are all indications of the decline. But President Bush refused to acknowledge this reality and instead tried to compensate for the waning economic hegemony of the United States with wild and erratic military moves such as the war in Iraq, NATO expansion, war threats against Iran, attacks on Pakistan, support for the unstable Georgian president Mikheil Saakashvili, and the escalation of "Star Wars." How will Barack Obama respond to this horrific legacy? Obama's promises and rhetoric suggest a stepping back from the most reckless adventures of the Bush administration. But the imperial policies he embraces mean that the risk of dangerous confrontation remains substantial.
All too often many Obama supporters, and at times Obama himself, go further and suggest that in rejecting the failures of the last eight years, what we need to do is return to the Golden Age of the Clinton Administration, and/or to the more multilateral and restrained modus vivendi of the first President Bush. It is worth going back, then, to take a look at the foreign policy of the Clinton Administration and think about whether this is really where we want to go. Andrew Bacevich, who is far from a leftist, has captured Clinton's foreign policy legacy well in his important recent book, The Limits of Power:
During the first year of his administration, Clinton developed a prodigious appetite for bombing . . . Nowhere did Clinton's infatuation with air power find greater application than in Iraq, which he periodically pummeled with precisionguided bombs and cruise missiles.9 . . . [In 1993, Clinton] proceeded to foster a Pax Americana-lite, generously seasoned with American military might . . . . Bill Clinton dispatched U.S. troops to Somalia, Haiti and the Balkans, as U.S. missiles and bombs blasted Serbs, Sudanese, Afghans, and Iraqis. 10
Democratic Party critics of George W. Bush's foreign policy like Madeleine Albright often make Bush's unilateralism the focus of their critique. But "multilateralism" in and of itself does not necessarily a progressive foreign policy make. While it may restrain the United States from some of its more outlandish projects, multilateralism has typically offered a merely more cohesive and rational basis for imperial politics — for example, the decades of cooperation between Europe and the United States during the Cold War — or the 1991 Gulf War, when George H.W. Bush garnered support for using force from the United Nations Security Council. Today's dramatic international economic meltdown underscores the need for a radically different kind of multilateralism — a multilateralism of peoples and governments that genuinely
represent them, capable of creating an equitable and democratic global economic and political system. In a word, socialism. Today millions are victims of the gyrations of corporations, their markets, and the governments that are subservient to them. While greater corporate regulation should be demanded, the core problem is that the dynamics of capitalism tend to move beyond regulative constraints as the very logic of the system propels investment in the lowest-paid labor for the greatest profit, without regard for the social cost. Today we are suffering the human and environmental consequences of these dynamics. The reputation of socialism has been tragically scarred by the horrors of bureaucratic Communism, and it will be very difficult to revive the socialist ideal. But revive it we must, making absolutely clear our commitment to democracy as essential to any socialism worthy of support. While socialist victory is not on the agenda today, fewer and fewer people believe in the sanctity of markets and the legitimacy of corporations, which makes it once again possible to begin to challenge the sanctity and legitimacy of capitalism itself. In saying this, by no means do I mean to suggest that we should forget about immediate domestic and international struggles.This is not a time to say "Revolution is the only solution, reform is chloroform," but our work for immediate reform needs to be infused with a broader vision. It is still hard to believe that this country, with its deeply racist heritage, actually elected an African-American to the presidency. Barack Obama's victory showed that the American people are truly capable of change, and this can inspire us in the work that lies ahead. Although in response to the intensifying crisis and popular pressure, he may take more radical steps than he originally intended, Obama himself is likely to disappoint — he has already begun to do so. But the heightened expectations that Obama has engendered can end up sparking immense new movements for social change. Let us hope that the movements will not only be militant in the streets, but will move toward creating
a new political party free of the corporations, with labor and its allies setting the agenda. Such a party can actually begin to reshape our country's political landscape. —November 19, 2008
Footnotes
To learn more about the Campaign for Peace and 1. Democracy, visit the CPD website.
This article will only take up a few of the key foreign 2. policy issues the new administration will face. A fuller account would address American foreign policy toward Asia, Africa and Latin America in detail.
"Petraeus, in Pakistan, Hears Complaints About Missile 3. Strikes," by Jane Perlez, New York Times, Nov. 3, 2008.
Obama famously said about Afghanistan during his 4. campaign, "We've got to get the job done there and that requires us to have enough troops so that we're not just air-raiding villages and killing civilians, which is causing enormous problems there."
"Who's in Charge?" by Ervand Abrahamian, review of 5. Ahmadinejad: The Secret History of Iran'sRadical Leader by Kasra Naji and The Road to Democracy in Iran by Akbar Ganji, London Review of Books, Oct. 29, 2008.
We in the peace movement need to have a serious 6. discussion about what we mean when we call for negotiations by the United States, not only with Iran but also with other countries. The Prussian military historian and theorist Carl von Clausewitz once said that war is the continuation of politics by other means. The reverse also applies, i.e. politics — and negotiations — can be war or intimidation by other means. We need to ask, then, what are the goals of our government (or any other government for that matter) as it enters into specific negotiations. Are they legitimate? Are they worthy of our support?
See, for example "Shirin Ebadi: Don't Attack Iran," by 7. Robert Dreyfuss in The Nation, April 29, 2008.
For an account of the Campaign for Peace and Democracy's 8. work against the Czech radar, go to the CPD website.
The Limits of Power: The End of American Exceptionalism 9. by Andrew J. Bacevich, (New York: Metropolitan Books, Henry Holt and Company, 2008) p.55.
Bacevich, p. 116. 10.
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HERITAGE
Newsletter
Mole Hill is Affordable Heritage
Vancouver
by Sean R. McEwen
Mole Hill is in Vancouver's West End,
Since 1950, Mole Hill had been under threat of demolition for redevelopment and for proposals to extend Nelson Park to the north across Comox Street. A long public process has now culminated with the City's commitment to preserve the historic streetscapes of Mole Hill. The City is partnering with the Provincial government, and its community-based partner, the Mole Hill Community Housing Society, to restore the City-owned houses on the block as affordable housing.
bounded by Comox, Thurlow, Pendrell and Bute Streets. It is madeup of thirty-four houses built between 1888 and 1942, and one apartment building built in 1910. Twenty-eight of the houses are owned by the City, and the remaining five and the apartment are privately-owned.
The Provincial government, through its HOMES BC Program, will provide the construction financing for the upgrade of houses, and an on-going subsidy to assist lower-income households to keep rents affordable. The City will lease its City-owned land and its heritage houses to the Mole Hill Community Housing Society for 60 years at no cost. This partnership will allow the preservation of an important part of Vancouver's heritage, while providing affordable housing for low and moderate-income singles and families.
see Mole Hill page 3
Photo above of Mole Hill site in the West End and plan by Hotson Bakker Architects
Mole Hill Plan
May 1, 2000
HERITAGE
Vancouver
PRESENTS
Queen Anne style house, 602 Keefer St.
Wednesday, July 19, 2000 7:30 pm Strathcona Tour Meet at 921 Princess Avenue
SUMMER HV Events
In August, we'll meet outside the Vancouver Museum on the 16th at 7:30 pm for a walk in the neighbourhood, it will give us a chance to meet the members of Heritage Vancouver as we take a ramble looking at buildings and landscape. Its a perfect way to relax before we begin our regular program in September.
Our July meeting takes place in Strathcona. On Wednesday July 19th, we're going to look at some recent heritage projects in Vancouver's oldest neighbourhood. Recent developments in Strathcona have included restorations, new construction and infill buildings. For this meeting we'll meet two people working in the neighbourhood and tour their projects. We'll learn first hand about the challenges involved in working with heritage in this neighbourhood.
Vancouver Modern
Royal Bank puts on a pleasing front
by Robert Moffatt
Royal Bank building 798 Granville Street Underwood, McKinley, Cameron & Associates 1962-63
While it may not look particularly remarkable at first glance, especially in its current state of nearabandonment, the former Royal Bank building at Granville and Robson offers a surprisingly elegant exterior design for an extremely restricted site.
Building on a site only 42 feet wide, architects Underwood, McKinley, Cameron & Associates managed to present intricate and stylish elevations to the street. Flush, linear strips of reflective glass, charcoal-coloured granite and brushed aluminum were mixed with advancing and receding exterior wall planes, creating a tight, clean composition with pleasing visual interest. Pearly grey mosaic tile used inside and out added contrasting colour, if somewhat crude and dated in texture.
A George Norris water sculpture of aged copper set at the front corner provided a ground-level focal point until it was replaced by ATMs in the 1980s.
Architects Percy Underwood, Kenneth McKinley and their various partners and associates formed fairly prolific firms in Vancouver from the late 1940s through the 1970s. They were favourites of the Vancouver Parks Board, designing the Bloedel Conservatory and restaurant at Queen Elizabeth Park, the entrance pavilion at the VanDusen Botanical Garden, and the Parks Board offices on Beach Drive. Most of the city's larger parks and beaches have at least one of their structures.
Closed as a bank branch a few years ago and now vacant, the Royal Bank building's fate seems sealed as part of a redevelopment of the half-block of Granville opposite the old Eaton's department store.
Mark Your Calendar
Sunday, July 23 Annual Clayburn Village Heritage Day 1:00-5:30 pm Clayburn, B.C. (Abbotsford) Opening Ceremonies, Heritage Tours, Clayburn Church, Clayburn School, Brick Plant Site, Live Entertainment, Vintage Cars Contact Helene Sundberg 854-3960 for further information. www.faximum.com/clayburn
from Mole Hill cover
Central to the strategy of the block's redevelopment is the idea of turning the laneway which bisects the block between Comox and Pendrell streets, into a "living lane", where residents on the block, and others from beyond the bounds of Mole Hill, can come together in a variety of outdoor and indoor spaces that support community activity. The lane will be traffic-calmed, and while vehicles will be allowed to pass through, it will be clearly designed as a pedestrian priority area.
Phase One of the redevelopment of the block is set to begin construction in July 2000. It encompasses the renewal of ten of the houses, with the remaining sixteen houses comprising a second phase of planning and construction. The design intent is to rehabilitate the houses in a manner that is sensitive to the heritage aspects of the houses, including the house exteriors and the historic streetscapes and lanescapes of the block, as well as the interior features of the houses, most of which have benefitted from "benign neglect" over the years and are remarkably intact. At the same time, the intent is to create a variety of modestly-sized housing unit types, from studios through three-bedroom units, in sufficient numbers to create a core of community for the block.
The lane focuses at its mid-point on a community square, which is linked north and south to Pendrell and Comox streets with landscaped pedestrian paths through mid-block vacant lots. These paths will allow pedestrians moving through the site to view the handsome side elevations of some of the houses, which generally are not seen because of the small sideyards separating the houses.
Already well-used by West End pedestrians, with these enhancements, and with the upgrades to the houses themselves, including replacement of the rear fire escapes with a visually consistent set of painted steel stairs and decks, the lane should become even more of a feature of the West End's system of pedestrian ways and mini-parks.
The lane also features community garden plots, and community-oriented uses, such as a common laundry room, a workshop, a tool and garden shed, a refuse and recycling area, and meeting room, all installed in the small garages and existing house additions that back onto the lane. The lane itself, which is thirty-three feet wide, will be narrowed to the City-standard twenty feet, allowing for the verges on each side to be intensively landscaped, which will significantly add to the green character envisioned for the lane.
On Comox and Pendrell streets, the intent is to restore the fronts of thehouses to create a turn-of-the century streetscape. Later additions on the houses and non-heritage elements will be removed, and landscaping that reflects the original character of West End front yards will be introduced. The original colour schemes of the houses will be restored.
For the house interiors, floor plans have been developed which fit the original structural configuration of the houses. Generally, the intent is to respect all existing interior elements of heritage character and value. At present, most of the pre-existing units in the houses are comprised of housekeeping suites which share bathroom facilities. The new units will all have self-contained, modestly-sized bathrooms and kitchens, which along
The project is benefiting from last year's relaxations to the Vancouver Building Bylaw, which now more liberally allows for alternative code compliance methods to preserve heritage details on buildings. At Mole Hill this means that historic railings and stairs on the front porches, and original siding and windows in sideyards, can be retained. Inside the houses, it means that existing wood floors and lath and plaster walls can be retained in individual suites.
with new building services and life safety features, will be integrated into the structure of the existing houses to minimize impacts to existing heritage details.
Hopefully Mole Hill can point the way for other projects, in Vancouver and around the Province, for various levels of government, working in concert with communities and the private sector, to collaborate on initiatives that serve a wide variety of social needs, not the least is preserving important parts of our built heritage.
This approach, of respecting heritage detail and the building structure inside and out, is seen as a cost-effective approach to renewing the houses, and of meeting the rather stringent budget requirements of the Province's affordable housing programs. Typically, the Province's HOMES BC housing allocations have not allowed for the up-grade of existing, threatened rental stock, much less housing that has significant historic or heritage value. It is to the Province's credit that it has seen fit to expand its program base and support affordable housing and heritage renewal at the same time. As well, the City must also be congratulated for its cooperative attitude and for its contribution of land and the houses themselves.
Architects and urban designers for the Mole Hill Project are Hotson Bakker / S.R. McEwen Associated Architects; Landscape design is by Durante Kruek Ltd.; Heritage and "True Colour Consultant is Donald Luxton and Associates; Development Consultant for the Mole Hill Community Housing Society is Terra Housing.
Sean McEwen is a life-long Vancouverite with a keen interest in the built and social history of the City. A bit of a throw-back to an earlier era when many architects were social activists, he continues to try to turn an interest in social justice and environmental concern into a design career.
Mole Hill story continues in September
Words from the President
FINN SLOUGH ALERT!
Dear Members,
The following is an urgent appeal from the newsletter of the Finn Slough Heritage and Wetland Society:
Letters of support should be addressed to Alan Domaas, Fraser River Port Authority and Joan Sawicki, Minister of Environment Plans and Parks, but forwarded to Finn Slough for distribution. The Society has a sample petition letter. For more information, contact the Finn Slough Heritage and Wetland Society at (604) 878-FINN, or e-mail at firstname.lastname@example.org, or on the web: www.angelfire.com/bc/finnslough/.
"The situation at Finn Slough has changed. Until recently we have been involved in a process of negotiating to obtain leases for the heritage buildings and residences here at Finn Slough from the Fraser River Port Authority (FRHA). This has broken down as one of the upland owners (Toronto developer, Stephen Smith of "Smith Prestige" has stated he will deny the Slough the permissions necessary to obtain the leases. The FRHA has now stated its intention is to proceed as soon as possible to bring the question of lease acquisition to a close by evicting the residents and fishers and is demanding the destruction of the heritage buildings at Finn Slough. This is a time when the help of public opinion and exposure (which had been held back during the talks) is sorely needed. We are asking for your support in voicing your concerns to the possible dismantling of an important heritage village."
Cheers
John Atkin Interm President, Heritage Vancouver
In September see Peter Vaisbord's story on an excellent Seattle adventure
HV Members and Guest Event
Join us for the Grand Finale of Symphony of Fire, August 9th Fun, food and fireworks at Janet Leduc's place a spectacular view of English Bay. $20 per person limited tickets, reserve early to avoid disappointment. More details in the mail this month. Call HV for reservations.
Mole Hill Gets City Council Approval
"This is a momentous occasion for our community and the city as a whole," said Blair Petrie, long time resident and community activist. The occasion was the approval of the Mole Hill Block Plan Phase I of the Mole Hill Non-Market Housing and Heritage Project. A partnership between the city of Vancouver, BC through BC Housing and the Mole Hill Community Housing Society. The former foes began working in partnership two years ago when the Mole Hill Living Heritage Society brought the provincial government to the table as a partner. Mole Hill is the oldest intact block of heritage houses in Vancouver, dating back to1888, when Vancouver was just two years old.
Heritage Vancouver PO Box 3336, Main Post Office Vancouver BC V6B 3Y3
604.254.9411
http://home.istar.ca/~glenchan/hvsintro.shtml
Join Heritage Vancouver
Annual membership runs from October 1 st to September 30 th . Members receive a monthly newsletter, free admission to monthly speakers' programs and reduced rates for tours and other activities.
Charitable donation #1073758-52. Membership fees are not tax deductible.
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Please send cheque or money order to: Heritage Vancouver, P.O. Box 3336,Vancouver, BC V6B 3Y3
Newsletter by Piper Design
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'From the bare platform' A survey of community engagement in railway buildings
Photograph kindly provided by Sheila Dee, rail officer at Chester-Shrewsbury Rail Partnership
Foreword
This report provides further, important evidence of the array of 'community stations' projects we are seeing around the country, delivering positive benefits for local people, rail passengers and sustainable development. These innovative, empowering and communitydriven projects are diverse and wide-ranging, as this report shows, but they have in common a passion and determination to make a difference locally and ensure people can get the most from their railway stations. They are all about bringing stations back into the heart of communities, where they belong. This brings all sorts of social and economic benefits, from giving community groups welcoming spaces they can use in their work to enhance health, wellbeing and cohesion, to enabling people to appreciate local history, art and culture, to providing affordable and nutritious food sourced from local suppliers.
These projects are inspiring and exciting to hear about, but they have all faced challenges, and have aspirations to deliver wider, greater benefits to their communities and localities. It's therefore important that we learn from them, and share lessons across the community rail movement, rail industry, and public and third sector partners, so we can support more projects like these to come to fruition.
- Jools Townsend, Chief Executive, The Association of Community Rail Partnerships (ACoRP)
2
Introduction
In autumn 2017 Rose Regeneration circulated a 'call for information' through the Rural Services Network. This sought the views of people with experience of bringing train station buildings back to life, including from:
Community groups that had transformed stations for the benefit of local residents, businesses and passengers.
Community Rail Partnerships, Friends of Station groups or parts of the rail industry running rural stations.
Local Authorities, charities and/or voluntary & community sector organisations that had helped / were helping a local community to regenerate a station building.
People responding to the Information Call were requested to provide some details about:
The location of their station building.
How their station building is used – the activities that take place there.
When and why the project started.
Other people/organisations that have been /are involved in the project.
The key ingredients of their success – and any barriers faced and if/how these have been overcome.
How the project has been funded (capital and revenue costs).
Any plans for the future.
86 responses to the Information Call were received. We are very grateful to everyone who took the time to send us a response electronically and/or who telephoned us to tell us about their station building. We are also indebted to The Association of Community Rail Partnerships (ACoRP), Railway Heritage Trust (RHT) and Professor Paul Salveson ('the railway doctor') for their help in circulating the Information Call and/or for putting us in touch with station building groups.
We used the evidence we received to inform a feasibility study that we carried out for Mytholmroyd Station Building Group.
This document summarises all of the responses we received – and has been circulated to everyone who contributed to the Information Call.
This document is organised into three sections:
A. Write ups containing information about 43 station buildings.
C. Useful resources – links to websites, publications and other useful materials.
B. Write ups containing information about 7 Heritage and Community Buildings.
If you would like more information about this work please contact Jessica by email firstname.lastname@example.org, telephone 01522 521211, or post (Exchequergate House, 18A Minster Yard, Lincoln LN2 1PX).
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A: Station Buildings
We received information from community groups, Local Authorities, voluntary & community sector organisations, Community Rail Partnerships, Friends of Station groups and/or representatives from the rail industry about 43 station buildings:
1. Alston (Cumbria) and Slaggyford (Northumberland)
3. Bat & Ball Station (Kent)
2. Alverstone Station (Isle of Wight)
4. Beccles Station – Café and Community Rooms (Suffolk)
6. Caverswall Road Station (Staffordshire)
5. Castle Hedingham Station (Essex)
7. Coalbrookdale Station (Shropshire)
9. Cottingham Station (East Riding of Yorkshire)
8. Cooksbridge Station (East Sussex)
10. Croston Station (Lancashire)
12. Fishguard & Goodwick Station (Pembrokeshire)
11. Ellesmere Port Station (Cheshire)
13. Fremington Quay (Devon)
15. Great Malvern Station – the Worm (Worcestershire)
14. Gillingham Station (Dorset)
16. Hadlow Road Station (Cheshire)
18. Hebden Bridge Railway Station (West Yorkshire)
17. Hassocks Station (West Sussex)
19. Helmsdale Station (Sutherland, Scotland)
21. Liss Station (East Hampshire)
20. Irlam Station (Salford)
22. Longridge Station (Lancashire)
24. The Milkmaid Folk Arts Centre (Suffolk)
23. Maiden Newton Station (Dorset)
25. Narborough Station (Leicestershire)
27. Ottery St Mary (Devon)
26. Nuneaton Trent Valley – Art Alert Nuneaton (Warwickshire)
28. Petersfield Station – Old Parcels Office (Hampshire)
30. Ridgmont Station Heritage Centre (Bedfordshire)
29. Richmond – The Station (North Yorkshire)
31. Rushden Station (Northamptonshire)
33. Shillingstone Station (Dorset)
32. Saltash Station (Cornwall)
34. Sleaford Station (Lincolnshire)
36. Trimley Station (Suffolk)
35. Tetbury Goods Shed (Gloucestershire)
37. Wallingford Station (Oxfordshire)
39. Whaley Bridge (Derbyshire)
38. Warmley Signal Box (South Gloucestershire)
40. Whitegate Station House (Cheshire West)
42. Woody Bay Station (Devon)
41. Wolferton Station – The Royal Retiring Rooms (Norfolk)
43. Yatton Station – Strawberry Line Café (North Somerset)
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The following summarise the information we received about each station building. Some of the grids are more comprehensive than others – depending on who submitted information to the Call and what stage their project was at. Wherever possible we have included a link to the station building/group's website where you can go to find out more information.
We have used the following symbols to clearly identify the use/s of these buildings:
Cafe, restaurant, food and/or drink
Hertitage/literary
Arts, crafts, gallery and/or exhibition space
Community meeting space
Facilities for cyclists and/or walkers
Housing for residential and/ or tourism
Business/commercial space e.g. offices
Retail outlets
Community learning
Visitor centre:
Stations will also be described as either ACTIVE or DISUSED
Active: Station buildings where trains regularly stop
Disused: Station buildings where the railway line is disused, closed and/or derelict
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1. Alston (Cumbria) and Slaggyford (Northumberland)
Project summary from a representative from South Tynedale Railway Preservation Society Website: http://www.south-tynedale-railway.org.uk/
| When did the project start? | Alston: 1977 Slaggyford: 2015 |
|---|---|
| Why did the project start? | To rescue and recreate a community railway. |
| How is the station/building being used? | Railway stations, cafe/buffet, large car/coach parks, ticket offices, shops and access to the South Tyne Trail. The Society recently completed a major 3 year £6.5 million development programme to re-open Slaggyford Station, to renew Alston Station, to extend the South Tynedale Railway/South Tyne Trail, to create a unique Renewable Technologies demonstration site and to prepare the launch pad for the final push back to Haltwhistle. |
| Who has been involved in the project? | Cumbria County Council, Eden District Council, Northumberland County Council and Office of Rail Regulation. |
| How has the project been funded? | Capital costs = grants (e.g. Prince’s Countryside Foundation) and accumulated surplus. Revenue costs = met through earned income. |
| What factors have underpinned the success of the project? | Sheer dogged and tenacity at times of great adversity. NEVER take “no” as the final answer! |
| Have there been any barriers? | Lack of funding, gaining public sector support and technical input (e.g. from highways), costs overrun and change of design team. |
| Are there any lessons to pass on to other groups working on similar projects? | - Persevere, build and support strong networks, (e.g. a large “friends of...” group). - Develop an eye for opportunities. - Pursue funding opportunities with a vengeance - learn by experience, find an “angle”/tell the story. Learn to spot distractions (even those with potentially big purses). - Never, never, never give up - keep asking and keep learning. |
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2. Alverstone House (Isle of Wight)
Project summary from a representative of Alvestone Station Website: https://www.facebook.com/alverstonestation/
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3. Bat & Ball Station (Kent)
Project summary from a representative from Sevenoaks Town Council / Friends of Bat & Ball Station
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4. Beccles Station - Cafe & Community Rooms (Suffolk)
Project summary from a representative of Beccles and District Regeneration Company Limited Website: www.becclesstatiom.co.uk
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5. Castle Hedingham Station (Essex)
Project summary from a representative of ne Valley Railway Preservation Ltd. Website: http://www.colnevalleyrailway.co.uk/
6. Caverswall Road Station (Staffordshire)
Project summary from a representative from The Knotty Coach Trust Website: http://www.knottycoachtrust.org.uk/
7. Coalbrookdale Station (Shropshire)
Project summary from a representative of the Small Woods Association Website: http://smallwoods.org.uk/green-wood-centre/introduction/
8. Cooksbridge Station (East Sussex)
Project summary from a representative of Cooksbridge Station Partnership
9. Cottingham Station (East Riding of Yorkshire)
Project summary from a representative of Yorkshire Coast Community Rail Partnership Website: www.yccrp.co.uk
10. Croston Station (Lancashire)
Project summary from a representative from The Friends of Croston Station
11. Ellesmere Port Station (Cheshire)
Project summary taken from information provided by a representative from the Friends of Ellesmere Port Station
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12. Fishguard & Goodwick Station (Pembrokeshire)
Project summary from representative sat North Pembrokeshire Transport Forum & Pembrokeshire County Council. Website: http://www.nptf.co.uk/about.html
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13. Fremington Quay (Devon)
Project summary from a local resident
Website: http://www.fremingtonquay.co.uk/
14. Gillingham Station (Dorset)
Project summary from a representative of Friends of Gillingham Station
15. Great Malvern Station - The Worm (Worcestershire)
Project summary from a representative from Friends of Malvern's Railway Group / Malvern Civic Society
16. Hadlow Road Station (Cheshire)
Project summary from a representative of Friends of Hadlow Road Station Website: http://willastoninwirralresidents.org/friends-of-hadlow-road-station-2/
17. Hassocks Station (West Sussex)
Project summary from a representative of Hassocks Rail Group
18. Hebden Bridge Railway Station (West Yorkshire)
Project summary from a representative from Pennine Heritage
19. Helmsdale Station (Sutherland, Scotland)
Project summary edited from response received from a representative of Helmsdale Station Community Interest Company (HSCIC). Website: http://helmsdalestation.co.uk/
| Are there any lessons to pass on to other groups working on similar projects? | - Exchange good practice, advice and expertise in a targeted way with similar projects. - Employing a part-time caretaker/cleaner. - Insuring aspects of the building not covered by Network Rail, including public and employer liability. |
|---|---|
| What developments are planned going forward? | The project was highly commended in the 2014 Railway Heritage Awards, shortlisted for the 2015 Scottish Civic Trust Angel Awards and won the 2015 ACoRP Award for Innovation in Community Rail. |
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20. Irlam Station (Salford)
Project summary from a representative from The Hamilton Davies Trust Website: https://hamiltondavies.org.uk/grants/irlam-train-station/
How has the project been funded?
The total capital expended at Irlam is around £1,600,000. Providers of the majority of the funds outside the provision of personnel:
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21. Liss Station (East Hampshire)
Project summary from a representative from Liss Parish Council
22. Longridge Station (Lancashire)
Project summary from a representative from Longridge Social Enterprise Company
23. Maiden Newton Station (Dorset)
Project summary from a representative of Maiden Newton Parish Council
24. The Milkmaid Folk Arts Centre (Bury St Edmunds Station Project, Suffolk)
Project summary from a representative from The Milkmaid Folk Arts Centre CIC Website: http://www.milkmaidcentre.com/
25. Narborough Station (Leicestershire)
Project summary from a representative from the Friends of Narborough Station
26. Nuneaton Trent Valley - Art Alert Nuneaton (Warwickshire)
Project summary from a representative of Art Alert Nuneaton Website: http://www.artalertnuneaton.co.uk/home.php
27. Ottery St Mary (Devon)
Project summary from a representative from the Friends of Narborough Station
28. Petersfield Station - Old Parcels Office (Hampshire)
Project summary from an officer at East Hampshire District Council
29. Richmond - The Station (North Yorkshire)
Project summary provided from trustees and staff at The Station and local residents, businesses and visitors. Website: http://www.thestation.co.uk/
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30. Ridgmont Station Heritage Centre (Bedfordshire)
Project summary taken from information provided by a representative from Bedfordshire Rural Community Council. Website: http://bedsrcc.org.uk/ridgmont-station-heritage-centre
What factors have underpinned the success of the project?
- Volunteers - Ridgmont has an active Station Friends Group (formed in 2014 from the Heritage Centre volunteers). The Station Friends staff the gift shop and provide fuided visits of the restored booking office. They also assist with a variety of practical tasks around the building and surrounding land (including the car park). Some members of the Friends have additional responsibilities in researching exhibitions, publicity and assisting with the management of the gift shop.
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31. Rushden Station (Northamptonshire)
Project summary from a representative of Rushden Historical Transport Society Website: http://rhts.co.uk/
32. Saltash Station (Cornwall)
Project summary from a representative at Saltash Town Council
33. Shillingstone Station (Dorset)
Project summary from a representative of North Dorset Railway Trust Website: www.shillingstone-railway-project.org.uk
34. Sleaford Station (Lincolnshire)
Project summary from a representative from North Kesteven District Council
35. Tetbury Goods Shed (Gloucestershire)
Project summary from a representative from Tetbury Town Council Website: https://shed-arts.co.uk/
36. Trimley Station (Suffolk)
Project summary from a representative of The Trimley Station Community Trust Limited Website: http://www.trimleystation.org/
37. Wallingford Station (Oxfordshire)
Project summary from a representative of Cholsey and Wallingford Railway
38. Warmley Signal Box (South Gloucestershire)
Project summary from a representative of a Parish Council. Website: http://www.southglos.gov. uk/environment-and-planning/historic-environment/archaeology/historic-sites-and-monuments/ warmley-signal-box/
| Are there any lessons to pass on to other groups working on similar projects? | - Keep going! Don’t expect everything to happen at once and be in it for the long haul. - Remember this is fun as well as a worthy cause. |
|---|---|
| What developments are planned going forward? | Warmley Signal Box celebrates its 100th anniversary next year - possible community celebration. |
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39. Whaley Bridge (Derbyshire)
Project summary from a representative of the Friends of Whaley Bridge Station Website: https://www.friendsofwhaleybridgestation.org/
40. Whitegate Station House (Cheshire West)
Project summary from a representative at Whitegate Station Community Group Website: http://whitegatestation.org.uk/
41. Wolferton Station - The Royal Retiring Rooms (Norfolk)
Project summary from a local resident Website: http://www.wolfertonroyalstation.co.uk/
42. Woody Bay Station (Devon)
Project summary from a representative at Lynton & Barnstaple Railway Trust Website: http://www.lynton-rail.co.uk/
43. Yatton Station - Strawberry Line Cafe (North Somerset)
Project summary from a representative of Strawberry Line Café Website: http://www.strawberrylinecafe.co.uk/
B: Community Buildings
We received information from community groups, Local Authorities, charities and voluntary & community sector organisations about 7 community buildings:
1. Bucks Cross Village Hall (Devon)
3. Hudson House (North Yorkshire)
2. Gleneagles Centre (Redcar & Cleveland)
4. Kirkgate Centre (Cumbria)
6. Silver Rooms/Silver Road Community Centre (Norwich)
5. Oddfellows Hall (Nortfolk)
7. Welbourn Forge & Farriers (Lincolnshire)
The following tables summarise the information we received about each building. Some of the grids are more comprehensive than others – depending on who submitted information to the Call and what stage their project was at. Wherever possible we have included a link to the building/group's website where you can go to find out more information.
1. Bucks Cross Village Hall (Devon)
Project summary from a representative at Bucks Cross Village Hall
2. Gleneagles Centre (Redcar & Cleveland)
Project summary from a representative at New Marske Community Group Website: http://www.newmarskecommunitygroup.co.uk/
3. Hudson House (North Yorkshire)
Project summary from a representative at Hudson House Website: http://www.hudsonhouse.org/
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4. Kirkgate Centre (Cumbria)
Project summary from a representative at the Kirkgate Centre Website: https://www.kirkgatearts.org.uk/
5. Oddfellows Hall (Norfolk)
Project summary from a representative from a local community group Website: http://www.oddfellowshall.co.uk/
6. Silver Rooms/Silver Road Community Centre (Norwich)
Project summary from a representative from the Silver Road Community Centre Website: http://silverroadcc.org/
7. Welbourn Forge & Farriers (Lincolnshire)
Project summary from a representative of the Friends of Welbourn Forge Website: http://parishes.lincolnshire.gov.uk/welbourn
C: Useful Resources
The range of information available on approaches to station/community building projects (the facility itself and the activities that take place there) is vast. Here we provide a selection of information we collated during our work with the Station Building Group in Mytholmroyd that we found most helpful.
The Association of Community Rail Partnerships (ACoRP)
ACoRP is a membership body for almost 50 community rail partnerships, representing over 80 community rail lines across the UK, as well as more than 1,000 station adoption groups.
Website: https://communityrail.org.uk/
The news section on the ACoRP website regularly covers station projects around the country: https://communityrail.org.uk/news/
Reports, resources and tools to help people working in and around community rail are available online here: https://communityrail.org.uk/resources-ideas/reports-resources-tools/
Ideas of where to look for funds and some tips on how to apply can be found here: https:// communityrail.org.uk/resources-ideas/funding-advice/
You can sign up to ACoRP's monthly email newsletter to give you an overview of their activities here: https://communityrail.org.uk/news/train-online-sign/
Community Stations: Innovative community uses for railway stations and land (2017)
https://www.raildeliverygroup.com/files/Publications/2017-05_community_stations_acorp.pdf
This work, commissioned by the Rail Delivery Group (RDG) and produced by ACoRP, provides an overview of inspirational work by station groups, community rail partnerships, and their commercial, public and third sector partners, to return station buildings to community use. It shows the opportunities available in such work and provides examples, advice and recommendations relevant to community groups and the rail industry.
The Socially Enterprising Railway (2016)
https://www.raildeliverygroup.com/files/Publications/2016-05_socially_enterprising_railway. pdf
ACoRP published this study, commissioned by the Association of Train Operating Companies (ATOC), and was researched by the Heart of Wales Line Development Company Ltd. The report includes ten case studies:
1. Cafe des Fleurs at Rye Station
3. The Bistro @ Etchingham Station
2. Severn Dee Travel and Gobowen Station
4. Settle-Carlisle Railway Development Company
6. Kilmarnock Station Community Village
5. The Railway Heritage Trust in Scotland
7. Pollokshaws: South West Community Cycles
9. Tyne & Wear Metro
8. Veterans Centre at Dumbarton Central
10. GWR small business initiatives (lobsters and tea from the West Country)
The introduction, lessons learned and recommendations sections were prepared by Professor Paul Salveson ('the railway doctor'). The lessons learned include:
- A good relationship between the business and the train operating company has been fundamental to the success of projects. That takes time to build – it needs trust and consistency, ideally with little changeover of personnel.
- The contribution of the Railway Heritage Trust, not only funding capital improvements to buildings, but also ensuring they have an appropriate use.
- Having the flexibility and willingness to negotiate a reasonable rent that is realistic in terms of local or commercial potential – the train operating company's willingness to bring the premises up to a good standard and maintain them.
- Independent ticket retailing can work where a conventional train operating company approach won't – but it requires determination and energy.
- New entrants should be welcomed and encouraged – but it can be bewildering for a small business to find its way around the railway industry.
- Getting the right mix of people and the right structure for the business – enthusiasm and commitment are an essential starting point but on their own they are not enough. Having expertise such as financial management, HR, marketing and teamwork is essential.
- While celebration of successes and sharing of best practice is strongly urged, the occasional failure should not be feared.
The Railway Heritage Trust (RHT)
The Trust is an independent company limited by guarantee and is formally owned by its members, who are usually the Directors of the Trust, and is independent of both Network Rail and the Highways Agency, although both bodies provide its sponsorship. Its scope is basically buildings and structures either owned by Network Rail or part of the Highways Agency Historical Railways Estate. It does not support heritage railways directly, nor does it deal with rolling stock, other mobile heritage or artefacts. The Trust gives both advice and grants.
Website: http://railwayheritagetrust.co.uk/
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Volume 1
Club Web Site www.rcarc.info
March 2010
CLUB MEETING HIGHLIGHTS
Steve Judd, KB7BGS, opened the meeting at 7:32 pm. by welcoming all and visitors. He introduced the theme of the meeting which was "logging"
This writer is, at present, is a little perplexed over it all. I think there is something even better "around the corner" we haven't seen yet which will be a derivative of all this "protocol" and "water falls" I hear so much about. I have decided to take the "wait and see" stance and "see" what transpires—then dive into the pool at the deep end!
No, the Club has not turned into a wood cutting entity. "Logging", as known by amateur radio operators, is keeping track of the contacts one makes on the radio.
Ken Munford, N7KM, Steve Judd, KB7BGS, and Jon Rice, NR7T, led a presentation on the various ways amateurs documented their on-air radio contacts. Years ago, all HF contacts made were required to be "logged" in a station Log book, in a precise way, in a according to FCC rules. That rule has since been repealed and stations no longer are required to log contacts.
Many hams still log contacts for a variety of reasons; out of habit, as a "journal" of radio activity, award chasing, contesting and for the sheer fun of it.
Logging use to all be done on paper. Now days, there is a myriad of software programs available plus direct download from the radio to the computer at the time of the contact! That software is known as "contest logging" and is used almost exclusively by modern day contesters.
The sponsoring agency of the contest pretty much requires it. The software insure accuracy, speed contest results published in magazines and to detect cheaters. (Now, there wouldn't be any of those type of people in ham radio, would there?) All of these methods were discussed and the advantages and disadvantages of each.
. Along with that, additional computer programs were discussed and their application shown.
I wish to thank the people in the "know" for taking the time and explaining it to those of us in the dark so we have a little more understanding of evolution in the ham radio community.
The direction ham radio seems to be headed is the Digital Direction—which almost exclusively requires a computer connected to a radio and some form of "program" required to make everything connected together, work together. If all this seems a bit complicated—it is. People are having fun playing with it so you may have some fun too, if you choose.
And, yes, I log all my HF contacts still and I do it on paper— still, even though I do have a logger program on my computer. Problem is, the log book fits my desk OK, the computer doesn't.
SPECIAL EVENT STATION, WR7AAA
Looking outside you would not think it is Spring or that there is only 30 odd-days before the club's Special Event station operation. We talked about this way back in January—remember?
I thought so.
This year is the only year you will ever witness the Centennial Celebration of Scouting in America. We want people to remember the millions of men and women who have benefited from Scouting's ideals, aims and methods.
To do that we decided in January to join with Cedar Breaks District during their Scouting Expo with our own celebration, a Special Event station at the Expo, May 14 & 15.
How does this year differ from previous years involvement?
In past years we encouraged people at the Expo to come visit our "booth". The turnout of guests has been pretty poor, to say the least. I think all those "old guys" over there kinda scared off all but the real adventurous. Those that did venture in found it quite educational and fun.
This year, we will be operating our station independent of visitors. If none show up, we can still have a successful operation. Of course, we hope there are a few who will wander in. All we need are radio operators for 4 to 5 hours—and a few hands Friday evening to help set up our shelter for Saturday's half-day operation. If we have one or two others who would like to "stand by" to greet people, hand out literature, answer questions and show people around, that would be appreciated as well.
A Special Event station is just that; we call "Special Event station WR7AAA, celebrating 100 years of Scouting" and wait for others on the air to call us back. Pretty simple.
Of course you do have to explain what we are celebrating and who you are celebrating with (Cedar Breaks District Scouting Expo and Spring Camporee, celebrating 100 years of Scouting in America)
So now, all I need is---everything! I need radios, antennas, antenna trailer, coax, table and chairs and radio men or women willing to have some serious fun on Saturday. I can't do it alone (I could, but more is merrier!).
If this sounds like something you would like to do, please contact me and volunteer your equipment and services. Dick Parker, at: 586-2167. If you don't call, I will be contacting you!
CLUB UNIFORMS
Merlin Mackay, N7TCE, has taken a big responsibility upon himself and is pushing this often talked about but nothing been done, subject along.
A sample uniform will be presented during April's club meeting for inspection and approval. They will also be available for sale with lettering on the back, ready to go.
The reason for his effort: the club has been invited to participate in an emergency drill later on in the year. If we (meaning those who are interested) want to be used during an actual emergency we need to look the part of a professional organization as well as act the part. We have the skills and tools to communicate virtually anywhere, we need to step up to the plate and be as professional as we think we are.
Merlin has contacted several individuals to obtain their feelings regarding this facet of amateur radio service. Emergency communications is not for everyone, those not interested are welcome to "opt out" and go do something else. Those that are willing and interested must meet a minimum standard now set by Homeland Security for all agencies so interested.
Come to meeting this April and learn more.
APRIL MEETING FORECAST
Speaking of Club meeting, I thought it would be good to give a preview of what is coming up. Unfortunately, I don't know what is coming up so consider it a surprise meeting. I could call around but seeing as the newsletter is late already, just show up and be surprised at the content.
FOR SALE
You ordered it, now come get it. Ken Oliver, W7KBM, has several 500 foot spools of coaxial cable waiting for those who ordered it. He would like to clear the books and get the cable into the hands of those who ordered it.
Please contact him and make arrangements for payment, if you have not already done so. He can be reached at: 5869033.
EDITORIAL
Rainbow Canyons ARC has struggled for many years to be of value to the local amateur radio enthusiast. The elected club officers have tried a variety of ideas and interests to encourage involvement. And, like so many grass roots organizations, have met with some but not tremendous success.
I don't know about other "clubs" but ours is generating less than 10% of licensee in attendance at any one meeting. I doubt that other organizations would survive with only 8 to 10% attendance at their meetings.
I was once involved in an off-road driving club that generated close to 50% attendance at every meeting. Their meeting structure was similar to ours, their activities were limited to building and driving 4 wheel drive vehicles. Their attendance at these events was very good—usually a monthly trail ride with about the same number in attendance. Dues were collected and challenges were extended to other clubs in and around Southern Utah. We even hosted hard rock competition before it became nationalized as an Extreme Sport.
I have often wondered why they flourished so well with such a simple premise and RCARC struggles with just a handful of members in attendance each month? Are we not meeting your needs? Are the meetings and activities of little or no interest to you? Are meetings on the wrong date or at the wrong time? What can we do to increase interest in local events? I have yet to find an answer.
When you visit with club officials, will you take a few moments and tell them what you would like to "see" as RCARC? They would be most appreciative of your comments. For an organization that specializes in communication, we are "not doing so pretty good" as Kal Kahler, KB7FWR, often states on the breakfast net. Various nets are offered to encourage activity on all license levels. Got a problem you can't figure out? Communicate with someone and we will get it figured out. Need help setting up a station or mounting a mobile rig in a car? There are people available who do it all the time. Having interference problems from some electrical device? There are people available and willing to resolve it for you. Whatever your concern is relating to radio, someone in our club has expertise in resolving it. (Sorry, financial matters plague us all).
In all seriousness, please begin to enjoy your license privileges. Not satisfied with only being a Technician? We can help there too.
Russ Chaffee, N7BO, is scheduled to conduct another test session prior to club meeting, this month. If you have been studying and feel like you wish to challenge a test, contact him so he can prepare the necessary paperwork.
See you on the air or at club meeting.
Minutes March 9, 2010
President Stephen Judd, K7BGS, opened the meeting at 7:40 p.m. with 18 people present. He welcomed all and and a special welcome to 3 new visitors.
The minutes were read and approved.
The Presentation was paper logs versus electronic logs.
Stephen started the presentation with a 1960's Drake log book that he called a hypie log. He explained the items listed in the log.
Ken Munford N7KM continued the explanation of paper logs.
Jon Rice NR7T demonstrated N1MM logger computer program and explained how it worked in connection with the WINN Keyer interface.
Ken N7KM talked about the Ham Radio Deluxe program and it's logging program. His favorite log program is the N3FJP electronic program. Ken said that each program has it's pro's and con's, programs for contests and for normal operations. Some programs are connected to the transceiver and automatically inserts frequency and mode of operation and others the info is entered manually.
Throughout the presentation questions were fielded and answered by the presenters.
After the presentation Stephen asked for comments and Sylvia Clements KB7UMU reminded the group of the club breakfast at Denny's restaurant Saturday at 9 am. All are welcome.
Stephen adjourned the meeting at 8:55 pm.
Respectfully submitted;
Bill Stenger K6QOG Secretary
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Quiz # 9 – Chapters 8 / 9 Political Participation and American Political Parties
1. In U.S. presidential elections, voter turnout is typically
b. less than 30 percent.
a. less than 25 percent.
c. less than 60 percent.
e. nearly 100 percent.
d. more than 80 percent.
2. One unusual-but possible-explanation suggested by the text for the low rate of voter registration in the United States is that
b. many local governments do not require voters to register.
a. participation in government is denied to so many people.
c. the media discourage voter registration.
e. voters cannot actually find the places where they are supposed to vote.
d. people are happy with the way government is working.
3. Which of the following statements about the right to vote in the United States is correct?
b. The original U.S. Constitution ensured women the right to vote.
a. Not every U.S. citizen of voting age is allowed to vote.
c. In 1880 a higher percentage of British than Americans could vote.
e. The states originally had little say as to who could and could not vote.
d. The original U.S. Constitution specifically prohibited setting property restrictions on the right to vote.
4. Which Amendment stated "the right of citizens of the United States to vote shall not be abridged by the United States or by any state on account of race, color, or previous condition or servitude"? th
b. The 17 Amendment th
a. The 12 Amendment th
c. The 15 Amendment th
e. None of the above.
d. The 25 Amendment
5. Blacks first voted in large numbers in the South
b. after the Voting Rights Act of 1965.
a. in the 1970s
c. after World War II.
e. soon after the Civil War.
d. early in the twentieth century.
6. One way that blacks were prevented from voting prior to passage of the Voting Rights Act of 1965 was by requiring them to
b. register six moths in advance of an election.
a. meet qualifications found in Article III of the Constitution.
c. become U.S. citizens.
e. pass a literacy test.
d. memorize the Bill of Rights.
7. Between 1915 and 1925, the size of the eligible voting population in the United States almost doubled.
a. the Fifteenth Amendment to the U.S. Constitution was ratified.
The main reason for this was that
b. women were given the right to vote.
d. literacy tests for blacks were ruled unconstitutional.
c. the grandfather clause that denied voting to blacks was ruled unconstitutional.
e. voter registration laws were abolished in seventeen states.
8. When Congress passed the Voting Rights Act of 1970 and lowered the voting age to eighteen,
.
b. the 14 Amendment was overturned.
a. the president vetoed the Act th
c. the Supreme Court declared the adjustment unconstitutional.
e. the number of eligible voters instantly doubled.
d. thirty-five state governors protested the change.
9. Which of the following statements about 18-24 year olds is correct?
b. They vote about as often as senior citizens.
a. They are voting at record levels.
c. They have consistently voted at about the same level for thirty years.
e. They are voting less and participating in civic activities less.
d. They appear to vote less but participate in civic activities more.
10. One explanation given by the text for the decline in U.S. voter participation in presidential elections after 1900 is that
b. fewer citizens were directly affected by the outcomes of presidential elections.
a. parties began functioning to mobilize mass voter turnout.
c. other forms of political participation became less accessible to citizens,
e. the Republican party began to attempt to mobilize individuals who were least likely to vote.
d. election fraud was rampant in the nineteenth century.
11. When Voting Eligible Population (VEP) statistics are examined,
b. the apparent decline in voter turnout vanishes completely.
a. the decline in voter turnout is even more apparent.
c. it is apparent that voter turnout has not declined since the early 1970s.
e. None of the above,
d. mid-term congressional elections routinely feature turnout rates of above 55 percent.
12. Verba and Nie found that about ______ of the population was never active in politics in any way.
b. one-fifth
a. one-tenth
c. one-half
e. one-fourth
d. two-thirds
13. Youth, low income, and minority status are associated with which of the following participation
a. Inactives
groups?
b. Parochial participants
d. Campaigners
c. Communalists
e. Voting-specialists
14. Which of the following participation groups is distinguished from the others by its higher education and willingness to take strong stands on issues?
b. Campaigners
a. Voting specialists
c. Communalists
e. Inactives
d. Parochial participants
15. Which of the following participation groups appears to want to avoid conflict and tension more than the others?
b. Campaigners
a. Voting specialists
c. Communalists
e. Inactives
d. Parochial participants
16. The text suggests that one reason religious involvement increases political participation is because
b. a belief in God helps people make political decisions.
a. politics is a more simplistic form of theology.
c. the church provides a forum for differing viewpoints.
e. it leads to social connectedness and increases awareness of larger issues.
d. it leads to inwardness and thus more political insight.
17. According to studies, what effect does cynicism have on voter turnout?
b. It increases turnout across the board.
a. It decreases turnout.
c. It increases turnout for minor parties only.
e. It has no effect on turnout at all.
d. It decreases turnout when third parties are also a factor.
18. One cause of the decline in voter turnout may be the increasingly distant and bureaucratic image of
b. most interest groups.
a. most candidates for office.
c. state officeholders.
e. the major political parties.
d. local office holders.
19. Compared to the profile of voters in the United States, the social composition of voters in most European countries is
b. more skewed toward the upper classes.
a. closer to the general population
c. more skewed toward the middle classes.
e. more skewed toward government employees.
d. more skewed toward the working classes.
20. The most powerful determinant of political participation, other than education and information, is a. race.
c. employment.
b. gender.
d. region.
e. age.
21. Which of the following statements about political in the United States is true?
b. Parties today are relatively strong, but they are not strong in all areas of the country.
a. Parties in this country are relatively new, having emerged only after the Civil War.
c. Parties in this country have never been as strong, or meant as much, as in many European countries.
e. Parties are relatively strong today although loyalties are spread more widely.
d. Parties today are relatively weak, but they are not weak in all areas of the country.
22. The Founders saw political parties as
b. effective only raising money for campaigns.
a. an important aspect of democracy.
c. appropriate for a direct democracy but not for a republic.
e. factions motivated by ambition and self-interest.
d. a means communicating public opinion to the president.
23. The first organized political party in American history was
b. organized by Alexander Hamilton.
a. made up of the followers of Jefferson.
c. organized by the Federalists.
e. formed under the Articles of Confederation.
d. ruled unconstitutional by the Supreme Court.
24. The first Republican party, with its base of support in the South, was organized in the 1790s by
b. James Madison.
a. Thomas Jefferson.
c. Alexander Hamilton.
e. John Adams,
d. George Washington.
25. Which of the following statements about the modern Republican party is correct?
b. It was originally called the Antifederalist party.
a. It was founded by Thomas Jefferson to oppose the policies of Alexander Hamilton.
c. It emerged as a major party only after the Civil War.
e. None of the above.
d. It emerged around 1824 with Andrew Jackson's first run for the presidency.
26. The progressives favored all of the following except
b. strict voter registration requirements.
a. nonpartisan elections.
c. civil service reform.
e. primary elections.
d. better relations with business.
27. Procedures such as the initiative and the referendum arose as efforts to give
b. citizens a direct say in making laws.
a. Congress a way of controlling the president.
c. courts a system for prosecuting election fraud.
e. party regulars a say in nominating candidates.
d. governors more power in relation to legislatures.
28. Scholars have identified ____ critical or realigning periods in American politics,
29. The three clearest cases of critical or realigning elections seem to be
b. 1828, 1865 and 1896.
a. 1800, 1828 and 1865.
c. 1865, 1896 and 1932.
e. 1932, 1984 and 1992.
d. 1896, 1932 and 1984.
30. Which of the following were major issues in the three clearest cases of critical or realigning periods?
b. Crime and war
a. Slavery and economics
c. Suffrage and state's rights
e. The federal income tax and immigration
d. The electoral college and war debt
31. Which of the following statements about the critical election of 1896 in correct?
b. The Democrats carried most of the North.
a. The Republicans carried most of the South.
c. The Republicans won the support of those in cities.
e. The Democrats wanted higher tariffs.
d. The Democrats represented business interests.
32. The elections of Ronald Reagan could not have represented a realignment because
b. they left control of Congress in the hands of the Democratic party.
a. they featured low voter turnout.
c. they did not involve salient economic issues.
e. Republican governors were rarely reelected.
d. the vote of the electoral college was actually quite close.
33. Dramatic realignments, such as the one that occurred in 1932, may not occur again because
b. presidential candidates are rarely as popular with the voters as they used to be.
a. voter turnout has consistently decreased over the last forty years.
c. the electoral college is malapportioned.
e. economic issues rarely dominate presidential campaigns.
d. party labels have lost their meaning for a growing number of voters.
34. Beginning in the 1960s, the ________ became more bureaucratized, while the _______ became more factionalized.
b. major parties, minor parties
a. Republican party, Democratic party
c. Democratic party, Republican party
e. Republican party, minor parties
d. minor parties, major parties
35. The term "superdelegate" refers to
b. delegates representing special-interest caucuses, such as those organized to represent blacks or homosexuals.
a. elected officials and party leaders who are not required to pledge themselves in advance to a presidential candidate.
c. delegates-at-large who are chosen by a vote of the national party leadership.
e. delegates who received more than eighty percent of the vote necessary to achieve their status.
d. delegates chosen by primary elections and grassroot caucuses.
36. Over 40 percent of the delegates to the conventions of both parties
b. were African Americans.
a. were female.
c. were born again Christians.
e. had family incomes of $100,000 and over.
d. were gun owners.
a. 2
b. 3
c. 4
d. 5
e. 6
37. Unlike political machines, ideological parties tend to be
b. hierarchical.
a. unified.
c. disciplined.
e. factionalized.
d. committed to winning.
38. People can join a party for reasons other than patronage. The text cites all of the following other reasons except
b. to be friends (solidary associations).
a. to promote a cause (ideological parties).
c. to support a charismatic leader (personal followings).
e. to promote a philosophy (ideological parties).
d. to join a delegating committee (caucus groups).
39. To win in a plurality system such as that in the United States, a candidate must
b. win a runoff election.
a. exert considerable inside influence.
c. secure a majority of the votes,
e. gather more votes than anyone else.
d. secure at least 70 percent of the votes.
40. Why should elections based on a plurality system discourage new parties from forming?
b. Because a plurality system requires parties to form alliances with other parties to win elections
a. Because a plurality system discourages patronage and reduces voter interest in joining a party
c. Because under this winner-take-all system no incentive is given for finishing second (or lower)
e. Because a plurality system gives an advantage to savy political unknowns who grab the media spotlight
d. Because a plurality system requires each party to be as narrowly based as possible, leaving little room for new parties
41. The most dramatic example of the winner-take- all principle in the U.S. electoral system is the a. ideal of pluralism.
c. partisan judicial elections.
b. municipal elections in Cambridge, Massachusetts.
d. two-party system.
e. electoral college.
42. The Libertarian and Socialist parties in the United States are examples of
b. ideological parties.
a. one-issues parties.
c. economic-protest parties.
e. consensual parties.
d. factional parties.
|
Cisco ASR 9000 Series Ethernet Line Cards
Product Overview
The Cisco ® ASR 9000 Series Ethernet Line Cards are the latest generation of service-provider-focused Carrier Ethernet line cards from Cisco. These line cards deliver economical, scalable, highly available, line-rate Ethernet and IP/Multiprotocol Label Switching (IP/MPLS) edge services. The Cisco ASR 9000 Series Line Cards and other Cisco ASR 9000 Series platform components are designed to provide the fundamental infrastructure for scalable Carrier Ethernet and IP/MPLS networks, supporting profitable business, residential, and mobile services (Figure 1).
Page 1 of 10
Features and Benefits
Each Cisco ASR 9000 Series Ethernet Line Card provides hierarchical quality of service (HQoS) and simultaneous support for both Layer 2 and Layer 3 services and features, allowing operators to qualify and stock a single line card that can be deployed in any combination of Layer 2 and Layer 3 applications. This capability helps to reduce capital expenditures (CapEx) and operating expenses (OpEx), as well as reduce the time required to develop and deploy new services. With support for up to 512,000 queues, 32,000 interfaces, 1.3 million routes, 1 million MAC addresses, and 36,000 VPNs, the Cisco ASR 9000 Series Ethernet Line Cards set a new standard for service density, allowing operators to offer predictable, managed transport services while optimizing the use of network assets.
With their synchronization circuitry and dedicated backplane timing traces for accessing the route switch processor's (RSP's) Stratum-3 subsystem, the Cisco ASR 9000 Series Ethernet Line Cards provide standardsbased line-interface functions for delivering and deriving transport-class network timing, enabling support of network-synchronized services and applications such as mobile backhaul and time-division multiplexing (TDM) migration. Recognizing that real-time media dominate next-generation services, Cisco has integrated mediamonitoring technology into the Cisco ASR 9000 Series Ethernet Line Cards. This multimedia technology supports real-time, standards-based monitoring and statistics collection of real-time video and voice flows, delivering proactive maintenance and management of today's media-rich services.
Addressing the advantages of consolidating IP and dense wavelength division multiplexing (DWDM) networking, G.709 with Advanced Forward Error Correction (FEC) is provided. G.709 provides visibility into the DWDM transmission system to provide rapid detection and recovery from transmission-layer and DWDM impairments. Before traffic is lost and a link outage occurs, G.709 can also be configured for proactive protection if signal degradation is detected. The Advanced FEC extends transmission-layer performance, delivering extended performance over an amplified system without the cost of regeneration or transponders.
Table 1 lists the features and benefits of the Cisco ASR 9000 Series Line Cards. Scale support is software and hardware dependent.
Table 1. Features and Benefits of Cisco ASR 9000 Series Line Cards
Line Card Types
The Cisco ASR 9000 Series Line Cards are available in three scale types: Low Queue, Medium Queue, and High Queue. Each line card type provides the same features and performance. Line card types may be mixed within the same system. Table 2 lists the main differences between the line card types. Specific scale support is hardware and software dependent.
Table 2. Line Card Types
| Feature | Low Queue | Medium Queue | High Queue |
|---|---|---|---|
| Total queues | 8 per port | 96,000 – 192,000 | 376,000 - 512,000 |
| Policers | 8000 | 64,000 – 128,000 | 256,000 – 512,000 |
| Ethernet flow points (EFPs) | 4000 | 16,000 | 32,000 |
Line Card Feature Licenses
Optional feature licenses can be used with the line cards. These include licenses for enabling Layer 3 VPNs, G.709 and FEC, Lawful Intercept, and Video Monitoring. The L3VPN Line Card Licenses provide access to system VPN Routing and Forwarding (VRF) instances on a line card basis. Table 3 shows the VRF scale and line card compatibility of the three Layer 3 VPN licenses.
Table 3. L3VPN Feature Licenses
| L3VPN License Part Number | Feature | Low Queue Line Card | Medium Queue Line Card | High Queue Line Card |
|---|---|---|---|---|
| A9K-IVRF-LIC | Up to 8 VRF instances | X | X | X |
| A9K-AIP-LIC-B | Full-scale VRF instances | X | X | Not applicable |
| A9K-AIP-LIC-E | Full-scale VRF instances | Not applicable | Not applicable | X |
The Advanced Optical Line Card (A9K-ADV-OPTIC-LIC) License enables G.709 and FEC on a per-line-card basis. This license may be used on line cards with part numbers A9K-2T20GE-L, A9K-2T20GE-B, A9K-2T20GE-E, A9K8T-L, A9K-8T-B, A9K-8T-E and A9K-16T/8-B.
The Lawful Intercept License allows traffic traversing the Cisco ASR 9000 to be tapped by law enforcement agencies. This license may be used on any line card and is purchased on a per-line-card basis.
The Video Monitoring (A9K-ADV-VIDEO-LIC) License is a system license. This license allows inline video-flow monitoring on all of the Ethernet line cards within the system.
Product Specifications
Table 4 provides product specifications. Scale support is software and hardware dependent.
Table 4. Product Specifications
| Description | Specification |
|---|---|
| Cisco IOS XR Software support | ● Modular software design: Cisco IOS XR Software demonstrates Cisco networking leadership in helping |
| | customers realize the power of their networks and the Internet. The software provides exceptional routing- |
| | system scalability, high availability, service isolation, and manageability to meet the mission-critical |
| | requirements of next-generation networks. |
| | ● Operating system infrastructure protection: Cisco IOS XR Software provides a microkernel architecture |
| | that forces all but the most critical functions, such as memory management and thread distribution, outside |
| | of the kernel. This setup prevents failures in applications, file systems, and even device drivers from |
| | causing widespread service disruption. |
| | ● Process and thread protection: Each process – even individual process threads – occurs in its own |
| | protected memory space, and communications between processes are accomplished through well-defined, |
| | secure, and version-controlled application programming interfaces (APIs). This setup significantly |
| | minimizes the effect that any process failure can have on other processes. |
| | ● Process restart: The line cards offer the ability to restart critical control-plane processes both manually |
| | and automatically in response to a process failure, rather than restarting the entire OS. This feature helps |
| | to support the Cisco IOS XR Software goal of continuous system availability and allows for quick recovery |
| | from process or protocol failures with minimal disruption to customers or traffic. |
| | ● State checkpointing: The line cards offer the capability to maintain a memory and critical operating state |
| | across process restarts so that routing adjacencies and signaling state can be maintained during an RSP |
| | switchover. |
| Flexible Ethernet services | ● Ethernet virtual connections (EVCs): Ethernet services are supported using individual EVCs to carry |
| | traffic belonging to a specific service type or end user through the network. EVC-based services can be |
| | used in conjunction with MPLS-based L2VPNs and native Ethernet switching deployments. |
| | ● Flexible VLAN classification: VLAN classification into EFPs includes single-tagged VLANs, double- |
| | tagged VLANs (QinQ and 802.1ad), contiguous VLAN ranges, and noncontiguous VLAN lists. |
| | ● IEEE bridging: The line cards support native bridging based on IEEE 802.1Q, IEEE 802.1ad, 802.1ah, and |
| | QinQ VLAN encapsulation mechanisms. |
| | ● IEEE 802.1s Multiple Spanning Tree (MST): MST extends the 802.1w Rapid Spanning Tree Protocol |
| | (RSTP) to multiple spanning trees, providing rapid convergence and load balancing. |
| | ● MST Access Gateway: The MST Access Gateway provides a resilient, fast-convergence mechanism for |
| | aggregating and connecting to Ethernet-based access rings. |
| L2VPN services | ● Virtual Private LAN Services (VPLS): These services are included in a class of VPN that supports the |
|---|---|
| | connection of multiple sites in a single bridged domain over a managed IP/MPLS network. VPLS presents |
| | an Ethernet interface to customers, simplifying the LAN and WAN boundary for service providers and |
| | customers, and supporting rapid and flexible service provisioning, because the service bandwidth is not tied |
| | to the physical interface. All services in a VPLS appear to be on the same LAN, regardless of location. |
| | ● Hierarchical VPLS (HVPLS): HVPLS provides a level of hierarchy at the edge of the VPLS network for |
| | increased scale. Two options of HVPLS are supported: QinQ access and Ethernet over MPLS |
| | (pseudowire) access. |
| | ● Virtual Private Wire Service (VPWS) with Ethernet over MPLS (EoMPLS): EoMPLS transports Ethernet |
| | frames across an MPLS core using pseudowires. Individual EFPs or traffic from an entire port can be |
| | transported over the MPLS backbone using pseudowires to an egress interface or subinterface. |
| | ● Pseudowire redundancy: Pseudowire redundancy supports the definition of a backup pseudowire to |
| | protect a primary pseudowire that fails. |
| | ● G.8032: G.8032 is a feature that provides the sub-50-ms protection for Ethernet traffic in a ring topology. |
| | The implementation on the Cisco ASR 9000 Series is compliant with version 2 of the ITU-T standard. |
| | ● Multisegment pseudowire stitching: Multisegment pseudowire stitching is a method for interworking two |
| | pseudowires together to form a cross-connect relationship. |
| Multicast | ● IPv4 Multicast: The line cards support Internet Group Management Protocol Versions 2 and 3 (IGMPv2 |
| | and v3), Protocol Independent Multicast-Source Specific Multicast (PIM-SSM), PIM sparse mode (PIM- |
| | SM), PIM SSM Mapping, Multicast Source Discovery Protocol (MSDP), Multicast VPN, and Anycast |
| | rendezvous point (RP). |
| | ● IGMP v2 and v3 snooping: This Layer 2 mechanism efficiently tracks multicast membership on an L2VPN |
| | network. Individual IGMP joins are snooped at the VLAN level or pseudowire level and then results are |
| | summarized into a single upstream join message. In residential broadband deployments, this scenario |
| | allows the network to send only channels that are being watched to the downstream users. |
| OA&M | ● Ethernet OA&M (EOAM) (IEEE 802.3ah): Ethernet link layer OA&M is a vital component of EOAM that |
| | provides physical-link OA&M to monitor link health and assist in fault isolation. Along with 802.1ag, |
| | Ethernet link layer OA&M can be used to assist in rapid link-failure detection and signaling to remote end |
| | nodes of a local failure. |
| | ● EOAM (IEEE 802.1ag): Ethernet Connectivity Fault Management (E-CFM) is a subset of EOAM that |
| | provides numerous protocols and procedures that allow discovery and verification of the path through 802.1 |
| | bridges and LANs. |
| | ● EOAM (ITU Y.1731): Y.1731 provides two separate feature sets: Fault Management (FM) and |
| | Performance Monitoring (PM). Fault Management builds on 802.1ag message types to allow verification of |
| | the Ethernet network and provide a toolset for troubleshooting any found faults. Performance Monitoring |
| | allows service providers to provide SLAs to their end customers by measuring the delay, latency, and loss |
| | across an Ethernet network. |
| | ● Ethernet LMI (E-LMI): Ethernet Local Management Interface (E-LMI) is a protocol between the customer- |
| | edge (CE) device and the provider-edge (PE) device. It runs only on the PE-to-CE User Network Interface |
| | (UNI) link and notifies the CE device of connectivity status and configuration parameters of Ethernet |
| | services available on the CE port. |
| | ● MPLS OA&M: The line cards support label switched path (LSP) ping, LSP traceroute, and VCCV. |
| Layer 3 routing | ● IPv4 routing: Cisco IOS XR Software supports a wide range of IPv4 services and routing protocols, |
| | including Border Gateway Protocol (BGP), Intermediate System-to-Intermediate System (IS-IS), Open |
| | Shortest Path First (OSPF), Routing Information Protocol (RIP), static, IPv4 Multicast, Routing Policy |
| | Language (RPL), and Hot Standby Router Protocol (HSRP) and Virtual Router Redundancy Protocol |
| | (VRRP) features. |
| | ● IPv6 routing: Cisco IOS XR Software supports IPv6 services, including OSPFv3, IS-IS, Virtual Router |
| | Redundancy Protocol (VRRPv6), DHCPv6 relay, and static routing. |
| | ● BGP Prefix Independent Convergence (PIC): BGP PIC provides the ability to converge BGP routes using |
| | the fast-convergence innovation that is distinctive to Cisco IOS XR Software. |
| MPLS L3VPN | ● MPLS L3VPN: The IP VPN feature for MPLS allows a Cisco IOS Software or Cisco IOS XR Software |
| | network to deploy scalable IPv4 Layer 3 VPN backbone services. An IP VPN is the foundation that |
| | companies use for deploying or administering value-added services, including applications and data- |
| | hosting network commerce, and telephony services to business customers. |
| | ● Carrier supporting carrier (CSC): CSC allows an MPLS VPN service provider to connect geographically |
| | isolated sites using another backbone service provider and still maintain a private address space for its |
| | customer VPNs. CSC is implemented as defined by IETF RFC 4364. |
| | ● Selective VRF Download: This feature provides the ability to selectively download VRF forwarding |
| | information base (FIB) entries to line cards that have VRF membership for each VRF. This provides larger |
| | FIB scale at a chassis level without burdening line cards with unnecessary FIB entries. |
| | ● 6PE and 6VPE: 6PE and 6VPE allow for introduction of IPv6 from the edge, in a scalable way, without any |
| | IPv6 addressing restrictions and without putting a well-controlled IPv4 backbone in jeopardy. This provides |
| | a solution that has minimal risk and operational cost with no effect on either the existing IPv4/MPLS |
| | backbone or edge and customer IPv6 networks. |
| Description | Specification |
|---|---|
| MPLS Traffic Engineering (TE) | ● MPLS Traffic Engineering: Cisco IOS XR Software supports MPLS protocols, such as Traffic |
| | Engineering-Fast Reroute (TE-FRR), Resource Reservation Protocol (RSVP), Label Distribution Protocol |
| | (LDP), and Targeted Label Distribution Protocol (T-LDP). |
| | ● MPLS Traffic Engineering Preferred Path: Preferred tunnel path functions let you map pseudowires to |
| | specific traffic engineering tunnels. Attachment circuits are cross-connected to specific MPLS TE tunnel |
| | interfaces instead of remote provider-edge router IP addresses (reachable using Interior Gateway Protocol |
| | [IGP] or LDP). |
| | ● MPLS Traffic Engineering Auto-Bandwidth: MPLS TE automatic bandwidth adjustment provides the |
| | means to automatically adjust the bandwidth allocation for traffic engineering tunnels based on their |
| | measured traffic load. |
| | ● Point to Multipoint (P2MP) Traffic Engineering: The MPLS P2MP TE feature allows you to forward |
| | MPLS traffic from one source to multiple destinations. P2MP TE provides a single point of traffic control and |
| | the ability to configure explicit paths to optimize traffic distribution, while benefitting from extending FRR |
| | protection to P2MP TE sub-LSPs. |
| High availability | ● MPLS TE-FRR: MPLS Traffic Engineering-FRR delivers Layer 3 protection switching for networks currently |
| | configured with MPLS LSP. MPLS TE-FRR provides temporary rerouting around a failed link, node, or |
| | path. |
| | ● Bidirectional Forwarding Detection (BFD): BFD is a detection protocol that is designed to provide fast- |
| | forwarding path-failure detection times for all media types, encapsulations, topologies, and routing |
| | protocols. |
| | ● 802.3ad Link Aggregation Bundles: The line cards support a bundle of multiple links to provide added |
| | resiliency and the ability to load-balance traffic over multiple member links. |
| | ● Multichassis Link Aggregation Group (MC-LAG): MC-LAG provides a standards-based 802.3ad bundle |
| | for a connecting device to reach a pair of Cisco ASR 9000 Series Aggregation Services Routers that |
| | appear as a single router to the connecting device. Rapid restoration times are possible even if there is a |
| | link or node failure, which improves the operational environment for the connecting device. MC-LAG can |
| | work with a long list of solutions on the Cisco ASR 9000 Series routers, such as business L2VPN and |
| | L3VPN, residential service backhaul, mobile aggregation, and service provider edge. |
| Manageability | Cisco IOS XR Software manageability: This feature provides industry-standard management interfaces, |
| | including modular command-line interface (CLI), Simple Network Management Protocol (SNMP), Cisco |
| | Discovery Protocol (CDP), Link Layer Discovery Protocol (LLDP) and native XML interfaces. |
| | Smart Call Home (SCH): This proactive support capability identifies and reports problems before they affect |
| | your business. This allows for less time troubleshooting and a speedier resolution experience for network |
| | issues. |
| | Cisco Active Network Abstraction (ANA): Cisco ANA is a flexible, vendor-neutral management framework |
| | for a multitechnology, multiservice network environment. Operating between the network and the operations- |
| | support-system (OSS) layer, Cisco ANA aggregates virtual network elements (VNEs) into a software-based |
| | virtual network, much as real network elements create the real-world network. Cisco ANA dynamically |
| | discovers network components and tracks the status of network elements in near real time. Cisco ANA offers |
| | service providers: |
| | ● Simplified integration of OSS applications with network information |
| | ● A flexible common infrastructure for managing network resources |
| | ● Consistent procedures and interfaces for all network elements |
| Security | Cisco IOS XR Software: Cisco IOS XR Software provides comprehensive network security features, including |
| | access control lists (ACLs); control-plane protection; routing authentications; authentication, authorization, and |
| | accounting (AAA) and TACACS+; Secure Shell (SSH) Protocol; SNMPv3; and leading Routing Policy |
| | Language (RPL) support. |
| | Layer 2 ACLs: You can use this security feature to filter packets under an EVC based on MAC addresses. |
| | Layer 3 ACLs: This feature provides ACL matching by IPv4 packet attributes. |
| | Security: Many critical security features are supported: |
| | ● 802.1ad Layer 2 Control Protocol (L2CP) and bridge-protocol-data-unit (BPDU) filtering |
| | ● MAC limiting per EFP or bridge domain |
| | ● Unicast, multicast, and broadcast storm-control blocking on any interface or port |
| | ● Unknown Unicast Flood Blocking (UUFB) |
| | ● Dynamic Host Configuration Protocol (DHCP) snooping |
| | ● Unicast Reverse Path Forwarding (URPF) |
| | ● Control-plane security |
| | ● Dynamic ARP Inspection (DAI) |
| | ● IP Source Guard (IPSG) |
| Connectivity | 10-Mbps, 100-Mbps, 1-Gbps, and 10-Gbps 802.3 Ethernet |
| Memory | 4 GB DRAM |
| MIBs | Support for a large number of hardware and product-specific as well as software feature MIBs; following is a | |
|---|---|---|
| | partial list of MIBs supported. Cisco has further documentation available on any restrictions related to these | |
| | MIBs as part of the Cisco ASR 9000 MIB Guide. | |
| | ● IP-MIB (RFC4293) | ● CISCO-SYSLOG-MIB |
| | ● CISCO-BULK-FILE-MIB | ● EVENT-MIB |
| | ● CISCO-CONFIG-COPY-MIB | ● IF-MIB as well as RFC1213-MIB |
| | ● CISCO-CONFIG-MAN-MIB | ● SNMP-COMMUNITY-MIB |
| | ● CISCO-ENHANCED-IMAGE-MIB | ● SNMP-FRAMEWORK-MIB |
| | ● CISCO-ENHANCED-MEMORY-POOL-MIB | ● SNMP-NOTIFICATION-MIB |
| | ● CISCO-ENTITY-FRU-CONTROL-MIB | ● SNMP-TARGET-MIB |
| | ● CISCO-ENTITY-SENSOR-MIB | ● IPv6-MIB |
| | ● ENTITY-MIB | ● BRIDGE-MIB |
| | ● CISCO-ENTITY-ASSET-MIB | ● DOT3-OAM-MIB |
| | ● ENTITY-STATE-MIB | ● CISCO-IETF-PW-MIB |
| | ● ENTITY-SENSOR-MIB | ● CISCO-CLASS-BASED-QOS-MIB |
| | ● CISCO-ENTITY-ALARM-MIB | ● ETHERLIKE-MIB |
| | ● CISCO-FLASH-MIB | ● BGP4-MIB Including Cisco extensions. |
| | ● CISCO-IF-EXTENSION-MIB | ● MPLS TE STD MIB |
| | ● CISCO-MEMORY-POOL-MIB | ● TE-FRR-MIB |
| | ● CISCO-RF-MIB (1:1 RP Card) | ● CISCO-IETF-IPMROUTE-MIB |
| Physical dimensions (H x W x D); | 14 x 1.72 x 20.5 in.(35.56 x 4.37 x 52.07 cm) | |
| weight | 14 – 19 lb (6.35 – 8.62 kg) | |
| Power | Maximum 350W – 630W (depending on the card type); typical 310W – 565W (depending on the card type) | |
| Operating temperature (nominal) | 41 to 104ºF (5 to 40ºC) | |
| Operating temperature | 23 to 131ºF (–5 to 55ºC) | |
| (short-term) | | |
| Operating humidity (nominal) | 10 to 85% | |
| (relative humidity) | | |
| Storage temperature | –40 to 158ºF (–40 to 70ºC) | |
| Storage (relative humidity) | 5 to 95% | |
| | Note: Not to exceed 0.024 kg waterper 1 kg of dry air | |
| Operating altitude | –60 to 4000m (up to 2000m conforms to IEC, EN, UL, and CSA 60950 requirements) | |
| Network Equipment Building | Cisco ASR 9000 Series is designed to meet: | |
| Standards (NEBS) | ● SR-3580: NEBS Criteria Levels (Level 3) | |
| | ● GR-1089-CORE: NEBS EMC and Safety | |
| | ● GR-63-CORE: NEBS Physical Protection | |
| | ● VZ.TPR.9205: Verizon TEEER | |
| ETSI standards | Cisco ASR 9000 Series is designed to meet (qualification in progress): | |
| | ● EN300 386: Telecommunications Network Equipment (EMC) | |
| | ● ETSI 300 019 Storage Class 1.1 | |
| | ● ETSI 300 019 Transportation Class 2.3 | |
| | ● ETSI 300 019 Stationary Use Class 3.1 | |
| | ● EN55022: Information Technology Equipment (Emissions) | |
| | ● EN55024: Information Technology Equipment (Immunity) | |
| | ● EN50082-1/EN-61000-6-1: Generic Immunity Standard | |
Pluggable Interfaces
The Cisco ASR 9000 Ethernet Line Cards support a wide range of pluggable interfaces. Please see the Cisco ASR 9000 Transceiver Module data sheet for a complete list.
System Requirements
The Cisco ASR 9000 Series Line Cards may be deployed in both the 10-slot and 6-slot chassis. The Cisco ASR 9000 Series delivers superior scale, service flexibility, and high availability into access and aggregation networks. It is powered by Cisco IOS XR Software – an innovative self-healing, distributed operating system designed for always-on operation while scaling system capacity up into the Tbps.
Cisco ASR 9000 Series Carrier Ethernet applications include business services such as L2VPN and L3VPN, IPTV, Content Delivey Networks (CDNs), and mobile backhaul transport networks. Features supported include Ethernet Services; L2VPN; IPv4, IPv6, and L3VPN; Layer 2 and Layer 3 multicast; IP over DWDM (IPoDWDM); Synchronous Ethernet (SyncE); EOAM; MPLS OA&M; Layer 2 and Layer 3 ACLs; HQoS; MPLS TE-FRR; MCLAG; Integrated Routing and Bridging (IRB); Nonstop Forwarding (NSF); and Nonstop Routing (NSR).
The Cisco ASR 9000 Series also has a comprehensive portfolio of shared port adaptors (SPAs) to facilitate the multiservice edge (MSE) and Ethernet MSE (E-MSE) capability on the Cisco ASR 9000 Series. The Cisco ASR 9000 Series MSE and E-MSE capabilities allow enterprises to offer powerful business VPN services with strong SLA enforcement. This complements the high-queue (-E) class of Ethernet linecards that are designed for hightouch high-scale business-VPN E-MSE services. Such services typically require simultaneous scale increases across multiple dimensions, for example, the number of Virtual Route Forwarding (VRF) interfaces, IPv4 and IPv6 route scaling, Bidirectional Forwarding Detection (BFD) sessions and instances of Border Gateway Protocol (BGP) Non-Stop Routing (NSR) interfaces. A Cisco ASR 9000 Series system configuration requiring high multiple dimensional scale requires the Cisco ASR 9000 Series Route Switch Processor with 8 GB memory to support the increased system scale.
Table 5 shows the minimum software releases required.
Table 5. Minimum Software Release Requirements
| Line Card | Low Queue (-L) | Medium Queue (-B) |
|---|---|---|
| 40-Port Gigabit Ethernet | 3.9 | 3.7.2 |
| 4-Port 10 Gigabit Ethernet | 3.9 | 3.7.2 |
| 8-Port 10 Gigabit Ethernet | 3.9 | 3.7.2 |
| 20-Port Gigabit Ethernet+2-Port 10 Gigabit Ethernet | 3.9.1 | 3.9 |
| 8-Port 10 Gigabit Ethernet | 3.9 | 3.9.1 |
| 16-Port 10 Gigabit Ethernet | N/A | 3.9.1 |
Ordering Information
Table 6 provides ordering information for the Cisco ASR 9000 Series Ethernet Line Cards.
Table 6. Ordering Information
| Product Description | Part Number |
|---|---|
| 40-Port GE Low Queue Line Card, requires SFPs | A9K-40GE-L |
| 40-Port GE Medium Queue Line Card, requires SFPs | A9K-40GE-B |
| 40-Port GE High Queue Line Card, requires SFPs | A9K-40GE-E |
| 4-Port 10GE Low Queue Line Card, requires XFPs | A9K-4T-L |
| 4-Port 10GE Medium Queue Line Card, requires XFPs | A9K-4T-B |
| 4-Port 10GE Extended Line Card, requires XFPs | A9K-4T-E |
| 8-Port 10GE Low Queue Oversubscribed Line Card, requires XFPs | A9K-8T/4-L |
| 8-Port 10GE Medium Queue Oversubscribed Line Card, requires XFPs | A9K-8T/4-B |
| 8-Port 10GE Oversubscribed Extended Line Card, requires XFPs | A9K-8T/4-E |
| 2-Port 10GE, 20-Port GE Low Queue Combo Line Card, requires XFPs for 10GE, SFPs for GE | A9K-2T20GE-L |
| 2-Port 10GE, 20-Port GE Medium Queue Combo Line Card, requires XFPs for 10GE, SFPs for GE | A9K-2T20GE-B |
| 2-Port 10GE, 20-Port GE High Queue Combo Line Card, requires XFPs for 10GE, SFPs for GE | A9K-2T20GE-E |
| 8-Port 10GE Low Queue Line Card, requires XFPs | A9K-8T-L |
| 8-Port 10GE Medium Queue Line Card, requires XFPs | A9K-8T-B |
| 8-Port 10GE High Queue Line Card, requires XFPs | A9K-8T-E |
| 16-Port 10GE Medium Queue Oversubscribed Line Card, requires XFPs | A9K-16/8T-B |
| L3VPN Service Line Card License, for use with -B Line Cards and –L Line Cards | A9K-AIP-LIC-B |
| L3VPN Service Line Card License, for use with -E Line Cards | A9K-AIP-LIC-E |
| Infrastructure VRF Line Card License | A9K-IVRF-LIC |
| Advanced Optical Line Card License | A9K-ADV-OPTIC-LIC |
| Lawful Intercept Line Card License | A9K-LI-LIC |
| Advanced Video Monitoring System License | A9K-VIDMON-LIC |
To Download the Software
Visit the Cisco Software Center to download Cisco IOS Software.
Cisco Services for the Cisco ASR 9000 Series
Through a lifecycle services approach, Cisco delivers comprehensive support to service providers to help them successfully deploy, operate, and optimize their IP Next-Generation Networks (IP NGNs). Cisco Services for the Cisco ASR 9000 Series Aggregation Services Routers provide the services and proven methodologies that help assure service deployment with substantial return on investment, operational excellence, optimal performance, and high availability. These services are delivered using leading practices, tools, processes, and lab environments developed specifically for Cisco ASR 9000 Series deployments and post-implementation support. The Cisco Services team addresses your specific requirements, mitigates risk to existing revenue-generating services, and helps accelerate time to market for new network services.
For More Information
For more information about Cisco Services, contact your local Cisco account representative or visit http://www.cisco.com/go/spservices.
|
SCHEME OF AMALGAMATION
BETWEEN
MARICO CONSUMER CARE LIMITED
AND
MARICO LIMITED
AND
THEIR RESPECTIVE SHAREHOLDERS AND CREDITORS
(Under Sections 230-232 and other applicable provisions of the Companies Act, 2013)
("the Scheme")
PREAMBLE
This Scheme of Amalgamation ('Scheme') is presented under Sections 230 to 232 of the Companies Act, 2013 and other applicable provisions of the Companies Act, 2013, for the amalgamation of Marico Consumer Care Limited (hereinafter referred to as "MCCL" or "the Transferor Company") with Marico Limited (hereinafter referred to as "Marico" or "the Transferee Company") and various other matters consequential or otherwise integrally connected therewith.
DESCRIPTION OF COMPANIES
MCCL was incorporated on the 20th day of April, 2012 as a Public Limited Company, bearing Corporate Identity Number (CIN): U24233MH2012PLC229972, having its registered office at 7 th Floor, Grande Palladium, 175, CST Road, Kalina, Santacruz (East) Mumbai – 400 098, Maharashtra. MCCL is an unlisted public company.
MCCL was formed with the main objective of carrying out the business of fast-moving consumer products. Presently, it owns various Intellectual Property Rights which are licensed to Marico.
Marico Limited was incorporated on the 13 th day of October, 1988 as a Public Limited Company under the Companies Act, 1956, as "Marico Food Limited". Subsequently, the name of the Transferee Company was changed to "Marico Industries Limited" on the 31 st day of October, 1989. Further, the name of the Transferee Company was changed to "Marico Limited" with effect from 25 th day of April, 2005. Marico is currently having its registered office at 7 th Floor, Grande Palladium, 175, CST Road, Kalina, Santacruz (East) Mumbai – 400 098, Maharashtra. The Corporate Identity Number (CIN) of Marico is L15140MH1988PLC049208. The shares Marico are listed on BSE Limited and National Stock Exchange of India Limited.
Marico operates in the Fast-Moving Consumer Goods ('FMCG') segment.
RATIONALE AND PURPOSE OF THE SCHEME
Marico mainly operates in the Fast-Moving Consumer Goods segment.
MCCL, a wholly owned subsidiary of Marico, was formed as a Special Purpose Vehicle to acquire the personal care business housed in Halite Personal Care Private Limited (Halite). Halite (currently under liquidation) owned various Intellectual Property Rights (IPR) which were distributed to its sole shareholder i.e. MCCL on liquidation of Halite. MCCL has licensed these IPRs to Marico and is earning royalty income thereon.
The management of MCCL and Marico believe amalgamation of MCCL with Marico, inter alia, would have the following benefits:
i. Consolidation of business;
ii. Elimination of a multi layered structure;
iii. Reduction in administrative, compliance and other operational costs
PARTS OF THE SCHEME
This Scheme is divided into the following parts:
a) PART I deals with Definitions and Interpretations;
b) Part II deals with details of Share Capital of MCCL and Marico;
c) PART III deals with provisions relating to amalgamation of MCCL with Marico;
d) PART IV deals with General Clauses, Terms and Conditions applicable to this Scheme.
PART I – DEFINITIONS AND INTERPRETATIONS
1. DEFINITIONS
In this Scheme (as defined hereunder), unless inconsistent with the subject or context thereof, the following expressions shall have the following meaning:
1.1 "Act" or "the Act" means the Companies Act, 2013 including the rules and regulations made thereunder, and any alterations, modifications, amendments made thereto and/or any re-enactment thereof, as applicable and for the time being in force;
1.2 "Applicable Law(s)" means: (a) all applicable statutes, enactments, acts of legislature or parliament, laws, ordinances, rules, bye-laws, regulations, circulars, listing agreements, notifications, guidelines or policies of any applicable country and/or jurisdiction, (b) administrative interpretation, writ, injunction, directions, directives, judgment, arbitral award, decree, orders or governmental approvals of, or agreements with, any governmental authority or recognized stock exchange, and (c) international treaties, conventions and protocols, as may be in force from time to time;.
1.3 "Appointed Date" means April 1, 2020 or such other date as may be agreed by the Board of MCCL and Marico or as the Hon'ble National Company Law Tribunal, Mumbai Bench, may decide/approve;
1.4 "Board of Directors" or "Board" in relation to MCCL and Marico, as the case may be, means the Board of Directors of such company, and shall include a committee duly constituted and authorized by each of the companies and/or their respective Boards, for the purposes of various matters pertaining to the Scheme and/or any other related, connected or incidental matters;
1.5 "Effective Date" means the last of the dates on which the certified copy of the Order sanctioning this Scheme as passed by the National Company Law Tribunal, Mumbai Bench is filed by MCCL and Marico with the Registrar of Companies, Mumbai. Any references in the Scheme to "upon the Scheme becoming effective" or "effectiveness of the Scheme" or "upon coming into effect of this Scheme" shall mean the "Effective Date";
1.6 "Encumbrance" means any: (a) charge, lien (statutory or other), or mortgage, any easement, right of way, right of first refusal or other encumbrance or security interest
securing any obligation of any person; (b) pre-emption right, option, right to acquire, right to set off or other third party right or claim of any kind, including any restriction on use, voting, Transfer, receipt of income or exercise; or (c) any equity, assignments hypothecation, title retention, restriction, power of sale or other type of preferential arrangements; or (iv) any agreement to create any of the above, and the term "Encumbered" shall be construed accordingly;
1.7 "Governmental Authority" means any applicable central, state or local government or semi-government, legislative body, executive, regulatory or administrative authority, local authority, agency or commission or any court, tribunal, board, department, commission, entity, agency, bureau, instrumentality, official, judicial or arbitral body, statutory body or stock exchange, or any other organization to the extent that the rules, regulations and standards, requirements, procedures or orders of such authority, body or other organization have the force of law;
1.8 "Income Tax Act'' means the Income Tax Act, 1961, including the rules made thereunder, and any amendments, alterations, modifications made thereto or any reenactments thereof for the time being in force;
1.9 "MCCL" or "Transferor Company" means Marico Consumer Care Limited, a public company limited by shares, incorporated on April 20, 2012 under the provisions of the Companies Act, 1956 and having its registered office at 7th floor, Grande Palladium, 175, CST Road, Kalina, Santacruz (East), Mumbai – 400098;
1.10 "Marico" or "Transferee Company" means Marico Limited, a public company limited by shares, incorporated on October 13, 1988 under the provisions of the Companies Act, 1956 and having its registered office at 7th floor, Grande Palladium, 175, CST Road, Kalina, Santacruz (East), Mumbai – 400098;
1.11 "National Company Law Tribunal" or "NCLT" or "Tribunal" means the National Company Law Tribunal, Mumbai Bench, constituted by the Central Government under Section 408 of the Act having jurisdiction in relation to MCCL and Marico;
1.12 "Scheme" or "the Scheme" or "this Scheme" means this Scheme of Amalgamation between Marico Consumer Care Limited and Marico Limited and their respective
shareholders and creditors, in its present form as submitted to the NCLT or this Scheme with such modification(s), if any made, as per Clause 17 of the Scheme;
1.13 "Taxation" or "Tax" or "Taxes" means all forms of taxes (whether direct or indirect) and statutory, governmental, state, provincial, local governmental or municipal impositions, duties, contributions and levies and whether levied by reference to income, profits, book profits, gains, asset values, turnover, added value or otherwise and shall further include payments in respect of or on account of Tax, whether by way of deduction at source, advance tax, minimum alternate tax or otherwise or attributable directly or primarily to MCCL and Marico and all penalties, charges, costs and interest relating thereto.
2. INTERPRETATIONS
2.1 All terms and words not defined in this Scheme shall, unless repugnant or contrary to the context or meaning thereof, have the same meaning ascribed to them under the Act, Income Tax Act, Indian Accounting Standards, other Applicable Laws, rules, regulations, bye-laws, as the case may be or any statutory modification or re-enactment thereof from time to time.
2.2 In this Scheme, unless the context otherwise requires:
2.2.1 Words denoting singular shall include plural and vice versa;
2.2.2 headings and bold typeface are only for convenience and shall be ignored for the purposes of interpretation;
2.2.3 references to the word "include" or "including" shall be construed without limitation;
2.2.4 a reference to an article, clause, section, paragraph or schedule is, unless indicated to the contrary, a reference to an article, clause, section, paragraph or schedule of this Scheme;
2.2.5 reference to a document includes an amendment or supplement to, or replacement or novation of, that document; and
2.2.6 references to a person include any individual, firm, body corporate (whether incorporated or not), Government, state or agency of a state or any joint
venture, association, partnership, works councilor employee representatives body (whether having separate legal personality or not).
2.2.7 references to any of the terms, taxes, duty, levy, cess in the Scheme shall be construed as reference to all of them whether jointly or severally.
2.2.8 word(s) and expression(s) elsewhere defined in the Scheme will have the
meaning(s) respectively ascribed to them.
2.2.9 references to dates shall be construed to be references to Indian dates;
2.2.10 any reference to any statute or statutory provision shall include:
i. all subordinate legislations made from time to time under that provision (whether amended, modified, re-enacted or consolidated from time to time or not) and any retrospective amendment; and
ii. such provision as from time to time amended, modified, re-enacted or consolidated (whether before or after the filing of this Scheme) to the extent such amendment, modification, re-enactment or consolidation applies or is capable of applying to the matters contemplated under this Scheme and (to the extent liability there under may exist or can arise) shall include any past statutory provision (as amended, modified, re-enacted or consolidated from time to time) which the provision referred to has directly or indirectly replaced.
3. DATE OF TAKING EFFECT AND OPERATIVE DATE
3.1 The Scheme set out herein in its present form or with any modification(s) approved or imposed or directed by the NCLT or made as per Clause 17 of the Scheme, shall be effective from the Appointed Date but shall be operative from the Effective Date.
PART II - SHARE CAPITAL
4. SHARE CAPITAL
4.1 The authorized, issued, subscribed and paid up share capital of MCCL as on March 31, 2020 is as under:
Subsequent to the above date, and as on the date of filing this Scheme with the NCLT, there has been no change in the authorized, issued, subscribed and paid up share capital of MCCL. As on the date of filing this Scheme with the NCLT, the entire issued, subscribed and paid up equity share capital of MCCL is held by Marico and its nominees.
4.2 The authorized, issued, subscribed and paid up share capital of Marico as on March 31, 2020 is as under:
| Share Capital | Amount (Rs. in Crore) |
|---|---|
| Authorized Share Capital | |
| 150,00,00,000 Equity Shares of Re. 1/- each | 150.00 |
| 6,50,00,000 Preference Shares of Rs. 10/- each | 65.00 |
| Total | 215.00 |
| Issued, Subscribed and Paid-up Share Capital | |
| 1,29,10,18,088 Equity Shares of Re. 1/- each | 129.10 |
| Total | 129.10 |
Subsequent to the above date, and as on the date of filing this Scheme with the NCLT, there has been no change in the authorized share capital of Marico. However, the issued, subscribed and paid up share capital of Marico, has increased due to exercise of employee stock options under various ESOP Schemes of Marico. As on date of filing this Scheme with the NCLT the revised share capital details of Marico are as under:
PART III - AMALGAMATION OF MCCL WITH MARICO
5. TRANSFER AND VESTING
5.1 With effect from the opening of business as on the Appointed Date and upon the Scheme becoming effective, the entire business and whole of the undertaking of MCCL shall, pursuant to the provisions of Sections 230-232 and all other applicable provisions of the Act, and without any further act, instrument, deed, matter or thing, stand transferred to and vested in or deemed to be transferred to and vested in Marico, as a going concern, so as to become, as from the Appointed Date, the assets and liabilities of Marico in the following manner:
5.1.1 All assets of MCCL as are movable in nature or incorporeal property or are otherwise capable of being transferred and vested by manual delivery or by endorsement and delivery shall stand transferred and vested from MCCL in favour of Marico and shall become the assets of Marico. The vesting pursuant to this clause shall be deemed to have occurred by manual/constructive delivery and/or by delivery of possession and/or by endorsement and delivery, as appropriate in relation to the property/asset, towards the end and intent that
the title of the asset is transferred and vested with Marico on such delivery without requiring any deed or instrument of conveyance for the same. Any investment of MCCL held in dematerialized form will be transferred to Marico by issuing appropriate delivery instructions to the depository participant with whom MCCL has an account. Such delivery and transfer shall be made on a date mutually agreed upon between the respective Boards of MCCL and Marico, being a date after the sanction of the Scheme by the NCLT.
5.1.2 The moveable assets of MCCL, other than those specified in the clause above, including actionable claims, sundry debtors, outstanding loans and advances, if any, recoverable in cash or in kind or for value to be received, bank balances and deposits including deposits paid in relation to outstanding litigations, if any, with Governmental Authority or other authorities and bodies, customers and other persons, shall, without any further act, instrument or deed, be transferred to and vested in as the property of Marico. Marico may, if required, give notice in such form as it may deem fit and proper to each person or debtor that, pursuant to the Scheme, the said person or debtor should pay the debt, loan or advance or make good the same or hold the same to its account and that the right of Marico to recover or realise the same is in substitution of the right of MCCL and that appropriate entry should be passed in its respective books to record the aforesaid charges. Any document of title pertaining to the assets of MCCL shall also be deemed to have been mutated and recorded as title of Marico to the same extent and manner as originally held by MCCL to the end and intent that all the ownership, right, title and interest so vesting in Marico will be such as if Marico was originally MCCL. Marico shall, be entitled to the delivery and possession of all documents of title including all related documents of all such movable assets of MCCL.
5.1.3 Without prejudice to any of the Clauses above, with effect from the Appointed Date and upon the Scheme becoming effective, all immoveable properties, including land together with buildings and structure and rights thereon, whether freehold or leasehold, relating to MCCL and any documents of title, rights, interests, claims, including leases, licenses and easements in relation thereto,
shall, pursuant to the applicable provisions of the Act and the Scheme, without any further act, instrument, deed, matter or thing, stand transferred to and vested into Marico, as of the Appointed Date. The mutation of the title to the immoveable properties shall be made and duly recorded by the appropriate authorities pursuant to the sanction of the Scheme and upon the Scheme becoming effective, in accordance with the terms hereof, in favour of Marico without requirement of execution of any further documents for registering the name of Marico as owner thereof and the regulatory authorities, including Subregistrar of Assurances, Talati, Tehsildar, etc. may rely on the Scheme along with the copy of the Order passed by the NCLT, to make necessary mutation entries and changes in the land or revenue records to reflect the name of Marico as owner of the immovable properties.
5.1.4 All intellectual property rights including registrations, licenses, trademarks, logos, service marks, copyrights, domain names, trade names, and applications relating thereto, goodwill, know how, trade secrets, various business and commercial rights or any other property of like nature, of MCCL, if any, whether recorded in the books of accounts of MCCL or not, shall stand vested in Marico without any further act, instrument or deed. Any document of title pertaining to the intangible assets of MCCL shall also be deemed to have been mutated and recorded as title of Marico to the same extent and manner as originally held by MCCL to the end and intent that all the ownership, right, title and interest so vesting in Marico will be such as if Marico was originally MCCL. Marico shall, be entitled to the delivery and possession of all documents of title including all related documents of all such assets of MCCL.
5.1.5 Without prejudice to the generality of the forgoing, it is clarified that upon the coming into effect of this Scheme, all permits, authorizations, licenses, consents, registrations, approvals, municipal permissions, industrial licenses, registrations, privileges, easements and advantages, facilities, rights, powers and interest (whether vested, contingent or impending), of every kind and description of whatsoever nature in relation to MCCL, to which MCCL is a party to or to the benefit of which MCCL may be eligible and which are subsisting or having effect
immediately before the Appointed Date shall subject to Applicable Law, stand transferred to and vested in or shall be deemed to be transferred to and vested in Marico as if the same were originally given or issued to or executed in favour of Marico, and the rights and benefits under the same shall be available to Marico. Further, MCCL and / or Marico shall execute such further deeds or documents as may be required to give effect to this Clause.
5.1.6 All cheques and other negotiable instruments, payment order, electronic fund transfers (like NEFT, RTGS, etc.) received or presented for encashment which are in the name of MCCL after the Effective Date shall be accepted by the banker(s) of Marico and credited to the account of Marico, if presented by Marico or received through electronic transfers. Similarly, the banker(s) of Marico shall honour all cheques/electronic fund transfer instructions issued by MCCL for payment after the Effective Date.
5.1.7 With effect from the Appointed Date and upon the Scheme becoming effective, all debts, liabilities, contingent liabilities, duties and obligations, secured or unsecured, of every kind, nature and description, whether or not provided in the books, of MCCL, shall, under the provisions of Sections 230-232 of the Act, and without any further act or deed, be transferred to or be deemed to be transferred to Marico so as to become, from the Appointed Date, the debts, liabilities, contingent liabilities, duties and obligations of Marico and it shall not be necessary to obtain the consent of any third party or other person, who is a party to any contract or arrangement by virtue of which such debts, liabilities, contingent liabilities, duties and obligations have arisen, in order to give effect to the provisions of this Clause.
5.1.8 All inter-se liabilities, between MCCL and Marico, if any, due or outstanding or which may at any time immediately prior to the Effective Date become due or remain outstanding, shall stand cancelled and be deemed to have been discharged by such cancellation and consequently, there shall remain no interse liability between them as of Effective Date and corresponding effect shall be given in the books of account and records of Marico.
5.1.9 All the existing securities, mortgages, charges, encumbrances or liens, if any, as on the Appointed Date and those created by MCCL after the Appointed Date, over the assets of MCCL transferred to Marico shall, after the Effective Date, continue to relate and attach to such assets or any part thereof to which they are related or attached prior to the Effective Date. Such securities, mortgages, charges, encumbrances or liens shall not relate or attach or extend to any of the other assets of Marico.
Similarly, Marico shall not be required to create any additional security over assets vested under this Scheme for any loans, debentures, deposits or other financial assistance already availed of or to be availed of by it, and the encumbrances in respect of such indebtedness of Marico shall not extend or be deemed to extend or apply to the assets so vested.
5.1.10 Subject to applicable laws, any undertaking of MCCL, which is binding on MCCL as on the Appointed Date of this Scheme, to give a guarantee to any person in respect of any obligation of MCCL shall continue in full force and effect against Marico.
5.1.11 Where any of the liabilities and obligations attributed to MCCL on the Appointed Date have been discharged by MCCL on after the Appointed Date and prior to the Effective Date, such discharge shall be deemed to have been for and on behalf of Marico.
5.1.12 Upon the Scheme becoming effective, all taxes payable by, or refundable to, MCCL, including any refunds, claims or credits (including credits for income tax, withholding tax, advance tax, self-assessment tax, minimum alternate tax, CENVAT credit, goods and services tax credits, other indirect tax credits and other tax receivables) shall be treated as the tax liability, refunds, claims, or credits, as the case maybe, of Marico. Marico shall be entitled to initiate, raise, add or modify any claims in relation to such taxes on behalf of MCCL.
5.1.13 Taxes, if any, paid or payable by the Transferor Company after the Appointed Date shall be treated as paid or payable by the Transferee Company and the Transferee Company shall be entitled to claim the credit, refund or adjustment
for the same as may be applicable. If MCCL is entitled to any unutilized credits (including balances or advances), benefits, subsidies, grants, special status and other benefits or privileges of whatsoever nature under the incentive schemes and policies including tax holiday or concessions under any Tax Laws or Applicable Laws, the same shall, to the extent statutorily available and along with associated obligations, stand transferred to and be available to Marico as if Marico was originally entitled to all such benefits, entitlements, incentives and concessions and Marico shall be entitled as an integral part of the Scheme to claim such benefit or incentives or unutilised credits as the case may be automatically without any specific approval or permission.
5.1.14 Upon the Scheme becoming effective, Marico shall have the right to revise its financial statements and returns along with prescribed forms, filings and annexures under the Tax Laws and to claim refunds and/or credit for Taxes paid and for matters incidental thereto, if required, to give effect to the provisions of the Scheme.
5.1.15 It is hereby clarified that in case of any refunds, benefits, incentives, grants, subsidies, etc., MCCL, shall, if so required by Marico, issue notices in such form as Marico may deem fit and proper stating that pursuant to the NCLT having sanctioned this Scheme under Sections 230 to 232 of the Act, the relevant refund, benefit, incentive, grant, subsidies, be paid or made good or held on account of Marico, as the person entitled thereto, to the end and intent that the right of MCCL, to recover or realise the same, stands transferred to Marico and that appropriate entries should be passed in their respective books to record the aforesaid changes;
5.2 This Scheme has been drawn up complying with the conditions relating to "Amalgamation" as specified under Section 2(1B) of the Income-tax Act, 1961. Further, if any terms or provisions of the Scheme are found or interpreted to be inconsistent with the said provisions at a later date including resulting from an amendment of law or for any other reason whatsoever, the provisions of the said section of the Incometax Act, 1961 shall prevail and the Scheme shall stand modified to the extent
determined necessary to comply with Section 2(1B) of the Income-tax Act, 1961. Such modification will however not affect other parts of the Scheme.
6 CONSIDERATION
6.1 The entire issued, subscribed and paid-up share capital of MCCL is held by Marico and its nominees.
6.2 Upon the Scheme becoming effective, no shares of Marico shall be issued or allotted in lieu or exchange of its holding in MCCL and, investment in the share capital of MCCL held by Marico as on Effective Date shall stand cancelled accordingly.
7 ACCOUNTING TREATMENT IN THE BOOKS OF MARICO
7.1 Upon the Scheme becoming effective and with effect from the Appointed Date, Marico shall account for the amalgamation in its books of accounts as under:
7.1.1 All the reserves, assets, and liabilities as appearing in the books of accounts of MCCL shall stand transferred to and vested in Marico and shall be recorded by Marico at their respective carrying values as appearing in the books of accounts of MCCL.
7.1.2 The carrying value of the investments in the equity share capital of MCCL and the corresponding provision for impairment on such investments, as appearing in the books of accounts of Marico, as on the Effective Date, shall stand cancelled.
7.1.3 Inter-Company outstanding balances, if any, will stand cancelled.
7.1.4 The net surplus / deficit, if any, arising out of the amalgamation in the books of Marico, after providing for the adjustments provided in clause 7.1.2 and 7.1.3 above, shall be transferred to Capital Reserve account
7.2 In case of any differences in the accounting policy between MCCL and Marico, the accounting policies followed by Marico will prevail and the difference shall be adjusted in Capital Reserves of Marico, to ensure that the books of accounts of Marico reflect the financial position on the basis of consistent accounting policy.
8 AGGREGATION OF AUTHORISED SHARE CAPITAL
8.1 Upon the Scheme becoming effective and with effect from the Appointed Date, the authorized share capital of Marico shall automatically stand increased, without any further act, instrument or deed on part of Marico including payment of stamp duty and fees payable to Registrar of Companies, by the authorized share capital of MCCL as on the Effective Date.
8.2 The Memorandum of Association of Marico (relating to the authorized share capital) shall, without any further act, instrument or deed, be and stand altered, modified and amended and no future resolutions under section 13, 61 and any other applicable provisions of the Act would be required to be separately passed. The stamp duties and fees paid on the authorised capital of MCCL shall be utilized and applied to the increased authorised share capital of Marico and shall be deemed to have been so paid by Marico for increase in the authorised share capital on such combined authorised share capital and accordingly no extra stamp duty and/or fee shall be payable by Marico for increase in the authorised share capital to that extent. The Memorandum of Association and Articles of Association of Marico shall be amended as may be required to give effect to this clause.
8.3
It is clarified that the approval of the members of Marico to the Scheme shall be deemed to be their consent / approval also to the alteration of the Memorandum and Articles of Association as may be required under the Act.
8.4 Upon giving effect to the Scheme, the capital clause of Memorandum of Association of Marico would be restated as under:
"The Authorized Share Capital of the Company is Rs. 295,00,00,000 (Rupees Two Hundred and Ninety Five Crore) divided into 150,00,00,000 (One Hundred and Fifty Crore) Equity Shares of Re. 1 (Rupee One) each aggregating to Rs. 150,00,00,000 (Rupees One Hundred and Fifty Crore), 8,00,00,000 (Eight Crore) equity shares of Rs. 10 (Rupees Ten) each aggregating to Rs. 80,00,00,000 (Rupees Eighty Crore) and 6,50,00,000 (Six Crore and Fifty Lacs) Preference Shares of Rs. 10 (Rupees Ten) each aggregating to Rs. 65,00,00,000 (Rupees Sixty Five Crore) with the power to the Company to increase or reduce or modify the share capital of the Company and/or divide all or any of the shares in the capital for the time being into several classes and classify and reclassify such shares from the shares of one class into shares of other class or classes and attach thereto respectively such preferential, deferred, qualified or other special rights, privileges, conditions, or restrictions as may be determined by or in accordance with the Articles of Association of the Company for the time being and to vary, modify or abrogate any such rights, privileges, conditions or restrictions in such manner as may be permitted by the legislative provisions or by the Articles of Association of the Company for the time being in force."
9 CONDUCT OF BUSINESS TILL EFFECTIVE DATE
With effect from the Appointed Date and upto and including the Effective Date:
9.1 MCCL shall be deemed to have been carrying on and shall carry on its business and activities and shall be deemed to have held and stood possessed of and shall hold and stand possessed of all its properties and assets for and on account of and in trust for Marico. MCCL undertakes to hold the said assets with utmost prudence until the Effective Date.
9.2 MCCL shall carry on its business and activities with reasonable diligence, business prudence and shall not, except in the ordinary course of business or with prior written consent of Marico, undertake additional financial commitments of any nature whatsoever, borrow any amounts or incur any other liabilities or expenditure, issue any additional guarantees, indemnities, letters of comfort or commitment either for themselves or on behalf of its respective affiliates or associates or any third party; or alienate, charge, mortgage, encumber or otherwise deal with or dispose of any business or part thereof.
9.3 All the profits or income accruing or arising to MCCL or expenditure or losses arising or incurred or suffered by MCCL shall for all purposes be treated and be deemed to be accrued as the income or profits or losses or expenditure as the case may be of Marico. All taxes (including Income Tax, Service Tax, Value Added Tax, Goods and Services Tax, etc.), paid or payable, whether by way of deduction at source, advance tax or otherwise, by MCCL, in respect of the profits or activities or operations of business after the
Appointed Date, the same shall be deemed to be paid or payable on behalf of Marico and shall, in all proceedings, be dealt with accordingly.
9.4 MCCL shall not vary the terms and conditions of employment of any of its employees, except in the ordinary course of business or with the prior written consent of Marico or pursuant to any pre-existing obligation undertaken by it, as the case may be, prior to the Appointed Date.
10 EMPLOYEES
10.1 Upon the Scheme becoming effective, all staff, workmen and employees of MCCL, if any, who are in service as on the Effective Date shall become staff, workmen and employees of Marico by operation of law, without any break in their service and on the basis of continuity of service, and the terms and conditions of their employment with Marico shall not be less favorable than those applicable to them with reference to their employment with MCCL. Marico agrees that the services of all such employees with MCCL, up to the Effective Date shall be taken into account for purposes of all retirement benefits to which they may be eligible as on the Effective Date.
10.2 It is expressly provided that, on the Scheme becoming effective, the Provident Fund, Gratuity Fund, Superannuation Fund or such other Special Fund, if any, or Trusts (hereinafter collectively referred as 'Funds') created for the benefit of the staff, workmen and employees of MCCL shall, with the approval of the concerned authorities, become Funds of Marico, or shall be transferred to or merged with other similar funds of Marico for all purposes whatsoever in relation to the administration or operation of such Funds or in relation to the obligation to make contributions to the said Funds in accordance with the provisions thereof as per the terms provided in the respective Trust Deeds or other agreements, if any, to the end and intent that all rights, duties, powers and obligations of MCCL in relation to such Funds shall become those of Marico. It is clarified that the services of the staff, workmen and employees will be treated as having been continuous for the purpose of the said Funds.
10.3 Services of all employees of MCCL, shall be taken into account by Marico for the purposes of all benefits to which such staff, workmen, and employees may be eligible, including in relation to the level of remuneration and contractual and statutory
benefits, incentive plans, terminal benefits, gratuity plans, provident plans and other retirement benefits and accordingly, such benefits shall be reckoned from the date of their respective appointment in MCCL. Marico undertakes to pay the same, as and when payable under Applicable Laws.
10.4 MCCL will transfer/handover to Marico, copies of employment information of all such transferred employees of MCCL, including but not limited to, personnel files (including hiring documents, existing employment contracts, and documents reflecting changes in an employee's position, compensation, or benefits), payroll records, medical documents (including documents relating to past or ongoing leaves of absence, on the job injuries or illness, or fitness for work examinations), disciplinary records, supervisory files and all forms, notifications, orders and contribution/identity cards issued by the concerned authorities relating to benefits transferred pursuant to this sub-clause.
10.5 Marico shall continue to abide by any agreement(s)/ settlement(s) entered into by MCCL with its employees, which are subsisting or having effect immediately prior to Appointed Date and continuing from Appointed Date till the Effective Date.
11 LEGAL PROCEEDINGS
11.1 Upon the Scheme becoming effective, all suits, appeals, action, legal, administrative or other proceedings of whatsoever nature, by or against MCCL in any court or before any authority, judicial, quasi-judicial or administrative, any adjudicating authority pending on the Effective Date, shall not abate or be discontinued or in any way be prejudicially affected by reason of amalgamation or by anything contained in this Scheme, but the same shall be continued and enforced by or against Marico in the manner and to the same extent as would have been continued, prosecuted and enforced by or against MCCL as if this Scheme had not been made. MCCL shall not be liable to pay any amounts arising out of such proceedings including interest, penalties, damages, costs etc. and the same shall be paid only by Marico.
11.2 Marico undertakes to have all legal or other proceedings initiated by or against MCCL referred to in clause 11.1 above, transferred into its name and to have the same continued, prosecuted and enforced by or against Marico to the extent legally
permissible after the Scheme being effective. To the extent such proceedings cannot be taken over by Marico, the same shall be pursued by or against MCCL for and on behalf of Marico as per the instructions of and entirely at the cost and expenses of Marico.
12 BORROWING LIMITS AND CORPORATE APPROVALS
12.1 With effect from the Effective Date, the borrowing and investment limits of Marico under the Act shall be deemed without any further act or deed to have been enhanced by the borrowing and investment limits, if any, of MCCL, such limits being incremental to the existing limits of Marico.
12.2 Any corporate approvals obtained by MCCL, whether for the purposes of compliance or otherwise, shall stand transferred to Marico and such corporate approvals and compliance shall be deemed to have been obtained and complied with by Marico.
13 CONTRACTS, DEEDS, OTHER ENTITLEMENTS, ETC.
13.1 Subject to the other provisions of this Scheme, all contracts, deeds, bonds, insurance, letters of intent, undertakings, arrangements, policies, agreements and other instruments, if any, of whatsoever nature (including but not limited to all leave and license agreements/deeds, lease agreements/deeds, bank guarantees, performance guarantees and letters of credit, hire purchase agreements, lending agreements and such other agreements, deeds, documents and arrangements) pertaining to MCCL, which is subsisting or having effect as on the Effective Date, shall be in full force and effect against or in favour of Marico, and may be enforced by or against Marico as fully and effectually as if, instead of MCCL, Marico had been a party or beneficiary thereto.
13.2 Marico shall enter into and/or issue and/or execute deeds, writings or confirmations or enter into any arrangements, confirmations or novations, to which MCCL will, if necessary, also be party, in order to give formal effect to the provisions of this Scheme. Marico shall be deemed to be authorised to execute any such deeds, writings or confirmations on behalf of MCCL and to implement or carry out all formalities required on the part of MCCL to give effect to the provisions of this Scheme.
14 SAVING OF CONCLUDED TRANSACTIONS
The transfer and vesting of the assets and liabilities of MCCL under Clause 5 above and the continuance of proceedings by or against MCCL under Clause 11 above shall not affect any transaction or proceedings already concluded by MCCL on and after the Appointed Date till the Effective Date, to the end and intent that Marico accepts and adopts all acts, deeds and things done and executed by MCCL in respect thereto as done and executed on behalf of itself.
15 DISSOLUTION OF MCCL
15.1 On the Scheme becoming effective, with effect from the Effective Date, MCCL shall without any further act, instrument or deed, stand dissolved automatically without being wound-up in accordance with the provisions of Section 230 and 232 of the Act.
15.2 On and from the Effective Date, the name of MCCL shall be struck off from the records of the Registrar of Companies, Mumbai, Maharashtra.
PART IV - GENERAL TERMS AND CONDITIONS
16 APPLICATION TO NCLT
16.1 MCCL and Marico shall, with all reasonable dispatch, make all necessary applications, under Sections 230 to 232 and other applicable provisions of the Act, to the NCLT for seeking approval to the Scheme under the provisions of law.
16.2 Marico shall be entitled, pending the sanction of the Scheme, to apply to relevant Governmental Authority, if required, under Applicable Law(s) for such consents and approvals which Marico may require to carry on the business of MCCL without any interruption.
17 MODIFICATION OR AMENDMENTS TO THE SCHEME
MCCL and Marico (through their respective Boards or the committees as may be empowered by the Board), in their full and absolute discretion, jointly and as mutually agreed in writing may:
17.1 Assent to and/or consent to any alteration(s) or modification(s) or amendment(s) or addition(s) / deletion(s) to this Scheme or to any conditions or limitations which the NCLT and/or any other Governmental Authority may deem fit to direct or impose, or which may otherwise be considered necessary, desirable or appropriate as a result of subsequent events or otherwise by them (i.e. the Board) and to do all acts, deeds and things as may be necessary, desirable or expedient for the purposes of this Scheme;
17.2 Take all such steps as may be necessary, desirable or proper to resolve any doubts, difficulties or questions of law or otherwise, whether by reason of any directive or orders of any other authorities or otherwise howsoever arising out of or under or by virtue of the Scheme and/or any matter concerned or connected therewith;
17.3 Modify or vary the Scheme or any part thereof, prior to the Effective Date, in any manner and at any time, subject to such modification being compliant with applicable laws;
17.4 It is clarified that the approval of the shareholders and/or creditors of MCCL and Marico, as may be applicable, to the Scheme shall include any subsequent modifications to the Scheme which may be undertaken by the Boards of MCCL and Marico under this clause.
18 WITHDRAWAL
MCCL and Marico, acting through their respective Board of Directors shall each be at liberty to withdraw from this Scheme in case any condition or alteration imposed by any authority / person or otherwise is unacceptable to any of them, in which case the Board of the other company shall decide consequent actions as considered appropriate by them.
19 CONDITIONALITY OF THE SCHEME
This Scheme is and shall be conditional upon and subject to:
19.1 The Scheme being approved by the requisite majorities in number and value of such classes of persons including the shareholders and creditors of MCCL and Marico as required under the Act and as may be directed by the NCLT;
19.2 The requisite consent, approval or permission of any Governmental Authority, which by law or otherwise may be necessary for the implementation of this Scheme;
19.3 The Scheme being sanctioned by the NCLT or any other authority under Sections 230232 of the Act and the rules made thereunder;
19.4 The certified copy of the order of the NCLT sanctioning the Scheme is filed with the Registrar of Companies, Mumbai, by MCCL and Marico;
19.5 All other sanctions and approvals as may be required by law in respect of this Scheme being obtained;
20 EFFECT OF NON-RECEIPT OF APPROVALS
In the event of any of the said sanctions and approvals referred to in the preceding clause not being obtained and/ or the Scheme not being sanctioned by the NCLT or such
other competent authority, if applicable and/or the order not being passed as aforesaid before December 31, 2021 or within such further period or periods as may be mutually
agreed upon between MCCL and Marico, by their respective Board of Directors (and which the Board of Directors of the companies are hereby empowered and authorized
to agree to and extend the Scheme from time to time without any limitation), this
Scheme shall stand revoked, cancelled and be of no effect, save and except in respect of any act or deed done prior thereto as is contemplated hereunder or as to any rights,
liabilities or obligations which might have arisen or accrued pursuant thereto and which shall be governed and be preserved or worked out as is specifically provided in the
Scheme or as may otherwise arise in law.
COSTS, CHARGES AND EXPENSES
Save and except as provided elsewhere in the Scheme, all costs, charges, taxes including duties, levies and all other expenses, if any, incurred in carrying out and implementing
the terms and provisions of this Scheme and matters incidental thereto, shall be borne and paid by Marico.
In the event that this Scheme fails to take effect, or the scheme is revoked in terms of
Clause 18 and Clause 19 of this Scheme, then, MCCL and Marico, shall bear their own costs and expenses incurred by them, in relation to or in connection with the Scheme.
For MARICO LIMITED
HEMANGI YATEEN
GHAG
Digitally signed by HEMANGI YATEEN GHAG Date: 2020.07.17 10:01:42 +05'30'
Hemangi Ghag Company Secretary & Compliance Officer
Date: July 17, 2020
21
21.1
21.2
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Measuring the Effect of Fish Diversion Screens On Turbine Efficiency with the Acoustic Scintillation Flow Meter At Unit 5, McNary Dam
D. D. Lemon 1 , R. J. Wittinger 2 , W. W. Cartier 1 , and R. Emmert 3
Abstract
Turbine efficiency measurements were carried out at Unit 5, McNary Dam on the Columbia River in January, 1998. Measurements were made for three different cam curves and one off-cam setting, both with and without ESBS fish screens in place. The cam curves were derived from a previous set of index tests carried out in 1993, and from two different hydraulic modelling techniques of the unit. In each case, power, head and discharge were measured at a series of wicket gate settings. Relative discharge measurement data were collected using Winter-Kennedy taps; absolute discharges were measured with the ASFM. Turbine performance curves were then computed for each case, and the measured performance was compared to that predicted by the modelling techniques and the 1993 index test. The effect of the ESBS screens on the turbine efficiency was calculated; an efficiency loss of 2 to 3% was found over the operating range when the screens were in place. The ASFM is a new instrument, which offers some unique advantages for measuring discharge in low head plants. The principles of each discharge measurement method are briefly reviewed. Factors affecting the accuracy and precision of the ASFM discharge measurement are discussed, and an assessment of the advantages obtainable by using the absolute discharge measured by the ASFM over the relative value provided by the Winter-Kennedy method under these conditions is made.
1 ASL Environmental Sciences Inc., 1986 Mills Rd., Sidney, BC V8L 5Y3, Canada
3 Department of the Army, Walla Walla District, Corps of Engineers, 201 North Third Ave., Walla Walla WA 99362-1876
2 Department of the Army, Portland District, Corps of Engineers, Hydroelectric Design Center, P.O. Box 2946, Portland OR 97208-2946, USA
Introduction
The Corps of Engineers is currently engaged in a program of improving fish passage through Kaplan turbines, as part of an ongoing upgrading of its facilities on the Columbia and Snake Rivers. The Corps turbine development program is aimed at developing an understanding of areas within an operating turbine environment which may contribute to physical injury of fish, developing design changes to those areas to minimize physical injury and improving turbine performance which has been degraded by the presence of fish screens or other diversion devices. Collecting efficiency information for existing turbines is an important part of the program. A series of measurements were made in Unit 5 at McNary Dam, Umatilla Co., Oregon in January, 1998 for that purpose. The measurements were made to evaluate a series of turbine operating curves and to assess the effect of fish diversion screens on turbine operation, using field-measured data. The predicted operating curves were obtained from previous index testing and from two different turbine modelling techniques. At the plant, power output, head and discharge were measured over a range of operating conditions. Relative discharge through the turbine was obtained from Winter-Kennedy taps and absolute discharge was measured using the Acoustic Scintillation Flow Meter (ASFM).
Plant Configuration
McNary Dam is located at river mile 292 on the Columbia River. The primary purposes of the project are inland navigation and hydroelectric power generation. The powerhouse contains 14 Kaplan turbine/generator sets. Generator nameplate ratings are 70 MW each and can be operated continuously at 115 percent of rated capacity with a maximum power output of 80.5 MW. Each of the Kaplan turbines (5 blade, 280-inch diameter runner, 85.7 RPM) develops 111,300 hp at a design head of 80-feet. The turbines were manufactured by S. Morgan Smith company in the 1950's and have operated satisfactorily since installation.
An individual turbine intake consists of three 20-feet wide bays. Each bay contains slot openings for an operating head gate (emergency closure) and an upstream slot for bulkheads (see Figure 2). To protect downstream migrating juvenile salmonids, fish diversion screens are installed in the bulkhead slot. The screens divert juvenile fish and water up the bulkhead slot where the juvenile fish can enter a system designed to bypass the fish safely to the tailrace of the dam. The screens are installed in the intakes of the turbine units from March 15 through December 15 each year.
Desirable near uniform flows into a turbine intake are disrupted when fish diversion screens are installed. The diversion screens create large scale eddies within the intake resulting in decreased turbine performance. Decreased turbine performance results in less power production and may also create a more harmful environment to some of the juvenile fish which are not intercepted by diversion screens and pass through the operating units.
Derivation of Operating Cam Curves
The cam curves field-tested were derived from three sources: a 1993 Index Test, a low head performance model test and a high head performance model test (VAMCE, 1997). The development of the "On Cam" wicket gate and blade positions are derived from the "off cam" fixed blade angle performance curves measured in each of the techniques used (USACE, 1998). The performance model is a 1:25 scale model of the same prototype turbine field tested in 1993 and 1998 (USACE, 1993; 1998). The initial technique was performance model tested under 1:25 scale water surface conditions (i.e. 75.0 feet of prototype gross head is equivalent to 3.0 feet of model gross head) which has been termed as a Froude condition (which it really is not). The second model technique is the industry standard according to IEC 193 and its addenda. Both of the model tests were performed at the same wicket gate positions and same runner blade angles. The model tests performed a duplication of the field tests and full operating head range performance tests for three conditions: without Fish Screens, with Submerged Travelling Fish Screens and with Extended Submerged Bar Screens (ESBS). The field and model measurements described herein only address turbine operation without fish screens and with ESBS screens installed. The required brevity of this paper permits only presentation of summary information. The following figure presents a comparison of the derived "on cam" curves with no screens installed for each technique.
ASFM Installation and Operating Principles
The ASFM's ability to measure absolute discharge under the conditions prevailing in low-head plants was the reason for its use in the Unit 5 tests at McNary Dam. The ASFM uses a technique called acoustic scintillation drift (Farmer & Clifford, 1986) to measure the flow speed of water perpendicular to a number of acoustic paths established across the intake to the turbine. Fluctuations in the acoustic signals transmitted along a path result from turbulence in the water carried along by the current. The ASFM measures those fluctuations (known as scintillations) and from them computes the lateral average (i.e. along the acoustic path) of the flow perpendicular to each path. Both the magnitude and inclination of the flow speed are measured. The ASFM computes the discharge through each bay of the intake by integrating the horizontal component of the flow speed over the height of the intake. The discharges from each bay are then summed for the total discharge. Since 1992, the ASFM has been used in several hydro-electric plants and in some instances compared with other discharge methods such as current meters (Lemon, 1995, Lemon, Caron, Cartier & Proulx, 1998; Lemon et al, 1998).
The ASFM was scheduled for installation in the head gate slots of Unit 5. Unit 5 has three intake bays, each of which was to be equipped with 10 acoustic paths. The transducers were installed on three support frames, one for each bay. The transducer support frames were designed and supplied by the Walla Walla District. Figure 2 shows the location of the measurement plane in the intake and its relationship to the ESBS screen (when installed), and the definition of the quantities measured.
Data Collection
Two sets of measurements were scheduled to be made, one without the ESBS fish screens and one with the ESBS fish screens. In each case, three cam curves were to be tested and one set of off-cam measurements was to be made. The three cam curves will be referred to as the 1993 Cam, the Froude Cam and the High-head Cam. Two different versions of each exist: one for use without fish screens and one for use with the fish screens in place.
Index Test Measurements Made
The index test procedure generally followed the salient portions of the ASME PCT-18 and IEC 41 test codes. The following measurements were made during the testing: Upper and Lower water surface elevations, Winter-Kennedy differential pressure and independent leg Winter-Kennedy tap pressures, scintillation flows, generator output, wicket gate angle and servomotor stroke, and runner blade angle. Repeatable wicket gate positions were obtained by use of servomotor blocks. The existing electronic control unit (ECU) adjusted the runner blade angle to the stored "on cam" data table for the selected test condition. Test data was also collected from the electronic control unit (ECU), control room, regular manual check measurements made and zero checks made at the beginning and end of each days testing. Electronically measured data was available in real time with corresponding graphical information instantly available for examination during the testing. The preliminary scintillation flow measurements were manually input into the data set prior to changing to another wicket gate setting, a procedure which could easily be automated in future.
Velocity and Discharge Results: ASFM
Typical intake velocity distributions as measured by the ASFM are shown in Figure 3, without ESBS screens and with the screens in place.
The screens cause an increase in the current speed in the lower part of the intake, and a strong descending component in the upper part of the intake, which includes a significant flow down the gate slot. The roof and floor of the intake tunnel, and the path followed by the sides of the frame holding the ASFM transducers define a plane surface through which the flow into the intake bay must pass.
The discharge, Q, in terms of the laterally averaged velocity v is:
where v(z) is the magnitude of the laterally averaged flow at elevation z, θ(z) is the corresponding inclination angle, L is the width between the transducer faces and H is the height of the tunnel roof above the floor. The lateral averaging performed by the ASFM is continuous, while the sampling in the vertical was at ten discrete points. Calculating Q then requires estimation of the integral in equation 1 when the integrand is known at a finite number of points. The integral was evaluated numerically using an adaptive Romberg integration, with a cubic spline interpolation in the integrand between the measured points. The measured points do not extend all the way to the tunnel roof and floor; as a result, complete evaluation of the integral requires an evaluation of the flow in the zones next to those boundaries.
The boundary flow at the floor is affected by the presence of the support frame's lower cross-bar, a pipe 0.32 m in diameter, centred 0.37 m above the tunnel floor and 0.49 m upstream of the measurement plane. The lowest ASFM measurement level was 0.93 m above the tunnel floor, so the effect of the cross-pipe had to be taken into consideration in evaluating the flow in the lower boundary. Measurements were made in the existing 1/25 scale physical model of Unit 5 at the USACE Waterways Experiment Station both for the lower boundary zone and for the upper boundary zone at the top of the tunnel. A numerical simulation of the flow around the lower cross-pipe was also performed, using the computational fluid dynamics code CFX TASCflow. The simulation was done because it became apparent that the Reynolds number of the flow around the pipe in the intake (between 250,000 and 900,000) was sufficiently high that the 1/25 scale physical model would not properly represent the wake separation behind the pipe. The results of the numerical simulation showed much better agreement with the data from Unit 5 in the region above the cross-pipe and therefore were used in determining the form of the lower boundary layer approximation. The computations done using different inlet velocities showed that the form of the profile of the horizontal velocity between the floor and the top of the zone influenced by the cross-pipe is invariant over the range of speeds normally found in the intake. A simplified profile of the form [z/z0] 1/7 having the same discharge when integrated between the floor and the top of the boundary zone was therefore used.
The treatment at the open upper boundary depends on the presence or absence of the ESBS screens. As may be seen from Figure 3, the presence of the screens causes a strong vertical flow down the gate slot. Figure 2 shows the position of the measurement plane in the intake, in which it can be seen that the measurement plane is slightly upstream of the downstream edge of the gate slot, a distance of 24 cm. The surface of integration cannot be closed without the addition of this area through which water descending the gate slot can travel to the turbine without passing through the primary measurement plane. Since the ASFM measures both components of the laterally averaged velocity, the magnitude of the descending flow can be estimated from the measurement at the uppermost level. Examination of the model measurements in the gate slot showed that even with no screens in place, some descending flow was still present in the gate slot and bypassing the main measurement plane. Computation of the discharge through the gap, QG, is therefore required in both cases. The model data were used to evaluate QG and then in each case to derive a formula for it in terms of the measurements made at the uppermost measurement level:
Screens in: QG = 1.06⋅L⋅v10⋅sin(θ10)⋅wB
Screens out: QG = 0.4⋅L⋅v10⋅sin(θ10)⋅wB
where L is the width of the intake and wB is the width of the gap.
The strong descending flow from the gate slot when the ESBS screens are in place also causes mixing and alters the shape of the upper boundary layer. Using the model results as a guide, with no screens in place, V h was forced to zero at the roof elevation, zR, along a curve of the form [(zR-z)/0.70] 1/4 from an elevation 0.70 meters below the roof, after an extrapolation from the uppermost measured point. With the screens in place, V h was forced to zero at the roof elevation, z R, along the curve [(zRz)/1.20] 2/3 from 1.20 meters below the roof, again after an extrapolation from the uppermost measured point.
The total discharge through Unit 5 was then computed for flow condition using the boundary layer forms described above. A measure of the random error present in the resulting discharges may be computed from nine repeat measurements made during the tests. After correction for head changes, the average difference in total discharge between repeat runs was 0.38%. The maximum observed difference was 1.07% and three of the differences were less than 0.1%.
Power and Relative Discharge (Winter-Kennedy) and ASFM Discharge Results
Winter-Kennedy differential pressure measurements were made simultaneously with the scintillation measurements. A standard method for establishing a scalar multiplier to be applied to the square root of the differential pressure measurement was used, Q = K * (D)^1/2. However, for a particular condition the optimum efficiency point was determined using the head adjusted Winter-Kennedy and scintillation flow measurements. The scintillation flow for that optimum point was then used in the above equation along with the appropriate Winter-Kennedy differential pressure to compute the scalar multiplier K. The following Figure 6 shows the comparison of the head-adjusted flows from the scintillation measurements and those computed from the Winter-Kennedy differential pressure measurements. It shows a comparison of the without screen condition and ESBS condition measurements for the Froude model test predicted cam curves.
Performance Comparison
The Froude model performance predicted at the common gross head of 75.0 feet and the field measured performance using the scintillation flows are compared for the with and without screen conditions. Figure 6 shows the no screens case.
It should be noted that all model test predictions use model test measured efficiency with no efficiency step-up. Also shown for comparison are the field measurements for a fixed runner blade angle of 28 degrees to identify an "on cam" point from an "off cam" curve. Figure 7 shows the ESBS screens comparison of model predicted to field measured. Again shown for comparison are the field measurements for a fixed runner blade angle of 28 degrees to identify an "on cam" point from an "off cam" curve.
P d i
d
Figure 7: Froude Model Predicted Prototype Performance With ESBS Screens Compared to Field Measured Performance Using Scintillation Flow Measurements.
Conclusions
The presence of the ESBS diversion screens in the intake cause a loss of 2% to 3% in turbine operating efficiency in the normal operating range. Their presence also decreased full load power production by 6%. The field measurements indicate that using a model efficiency step-up over-predicts prototype efficiency, and that field testing provides better accuracy than model testing in the development of blade-gate relationships for Kaplan turbines. The ASFM appears to provide a reasonable measurement of the actual flow quantity and hence of absolute efficiency, and is an effective method for determining the effects of intake modifications on turbine performance. Comparison tests with current meters (Lemon, Caron, Cartier & Proulx, 1998; Lemon et al, 1998) have shown agreement in measured discharge to within 1.5% or better. However additional work is necessary to identify and fully quantify boundary layer effects and the overall accuracy of the method.
Acknowledgements
The authors wish to thank the USACE operations staff at McNary Dam for their co-operation and assistance during the test program, which would not have been possible without their contributions. The model turbine performance testing was performed by Voest-Alpine MCE at their model test laboratory in Linz, Austria. Bob Davidson at the USACE Waterways Experiment Station in Vicksburg, Mississippi made the physical hydraulic model measurements. Computational Design Consulting of Victoria, BC carried out the numerical simulation.
References
Davidson, R. 1998. Pers. comm. of results of measurements made at the Waterways Experiment Station. (unpublished data)
Farmer, D. M. and S. F. Clifford, 1986. Space-time acoustic scintillation analysis: a new technique for probing ocean flows. IEEE J. Ocean Eng. OE-11 (1), 42-50.
Lemon, D. D. 1995. Measuring intake flows in hydroelectric plants with an acoustic scintillation flowmeter. Waterpower '95, ASCE, 2039-2048.
Lemon, D. D., N. Caron, W. W. Cartier and G. Proulx, 1998. Comparison of turbine discharge measured by current meters and Acoustic Scintillation Flow Meter at Laforge-2 power plant. Proc. IGHEM, Reno 1998, 39-52.
Lemon, D. D., C. W. Almquist, W. W. Cartier, P. A. March and T. A. Brice, 1998. Comparison of turbine discharge measured by current meters and Acoustic Scintillation Flow Meter at Fort Patrick Henry power plant. Proc. HydroVision '98, Reno, 1998.
USACE, March 1967, McNary Dam, Turbine Ratings by the Current Meter Method
USACE, Hydroelectric Design Center, March 1993, McNary Power Plant, Turbine Index Test, Unit No. 5, Volumes 1, 2 and 3.
USACE, Hydroelectric Design Center, July 1998, Turbine "On Cam" Performance Development for No Fish Screens and With Fish Screens Installed using 1993 Field Index Test Data, Froude Model Test Data, High Head (Reynolds) Model Test Data, McNary Unit 5.
USACE, Hydroelectric Design Center, January 1998, Turbine Performance With And Without Fish Screens, McNary Powerhouse, Unit 5.
PTC 18-1949, ASME Power Test Code, Hydraulic Prime Movers
IEC Publication 41, 1963, International Code for the Field Acceptance Tests of Hydraulic Turbines
VAMCE, March 1997, Final Report Phase II on Model Test for McNary Lock and Dam, Umatilla County Oregon, Contract No. DACW68-93-C-0012.
VAMCE, July 1997, Report on Model Test for McNary Lock and Dam High Head Model Testing, DACW68-93-C-0012.
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Performance advancement in the spiral wound RO/NF element design
Craig Bartels Ph. D, Masahiko Hirose, Hiroki Fujioka* Hydranautics – A Nitto Denko Company. Oceanside, CA *Nitto Denko, Kusatsu, Japan
Abstract
New spiral wound element improvements have been made so that RO/NF products are more robust. One improvement is the design of vents in the seal carrier or ATD's on the ends of the elements. This feature has proven to quickly equalize the pressure on the inside of and outside of the element and prevent rupture of the FRP shell. A second improvement is the development of feed spacers which have lower pressure drop. Thicker spacers with a unique geometry have been shown to have less pressure drop and reduce the frequency of chemical cleaning when treating water of poor feed quality.
Introduction
Spiral wound elements have become the most popular and economical form of packaging reverse osmosis (RO) and nanofiltration (NF) membranes. The reason is a result of the high membrane packing area that can be achieved, the efficient water flow and mass transfer in the element, and the low-cost of the materials that are used to construct the element.
The basic components of a spiral wound element are the flat sheet membrane, the feedbrine spacer, the permeate carrier, the leaf adhesives, the seal carrier (also called the antitelescoping device [ATD]), the product water tube, and the epoxy outer shell. Over the past twenty years, the design and materials of the spiral wound element have slowly been optimized to enhance the performance and lower the cost. Some of the improvements include specialized feed spacer designs to improve mixing and vary thickness to optimize feed flow through the element. Also, various weaves and materials have been used for the permeate carriers to reduce pressure drop when transmitting the permeate to the product water tube. Also, improved adhesives have been developed which allow easier processing of the element, improved chemical resistance at higher and lower pH, as well as stability at higher temperatures.
Two items have recently received more attention to give better performance of the spiral wound element. One item is the seal carrier or ATD. Historically, this part, which is placed at both ends of the spiral wound element, has had two roles – one being to carry the u-cup brine seal which prevents feed liquid by-passing the membrane. The other function is to support the back face of the element and prevent the membrane leaves from telescoping due to the pressure differential across the element. The former function is provided on the upstream side of the element, while the latter is provided on the down-stream side.
One role of the seal carrier has been little understood, which is the venting of the air from the pressure vessel. In a commercial RO/NF system, there are usually 6-8 elements in a pressure vessel. Due to the presence of the u-cup brine seal, water does not readily flow
around the outside of the spiral wound element. As the water flows on the inside of the element, it becomes pressurized to the feed pressure, which can be 60 to 80 bar for seawater applications. In some cases, especially when starting a new system, there can be air on the outside of the element, in the annular gap between the element and the vessel. This annular gap can also be partially full of water, which is common if there is some drain down of liquid when an operating plant is stopped. In either case, the air in this gap must be purged from the system. Since there is no flow path for water around the outside of the element, the air must be removed and displaced with water where the two elements contact the face of each other or by-passing the u-cup seal. This venting can be difficult due to the differential pressure across the elements in the vessel which forces the two seal carriers tightly together. For systems that ramp pressure up too quickly, the air in the annular gap may not be quickly removed. This results in a large pressure differential across the epoxy fiberglass shell. In some cases this pressure differential can rupture the shell and irreversibly damage the element. This paper will discuss the issues associated with poor versus effective venting of air at this position.
The other item which has received attention is the design of the feed spacer. This material is responsible for maintaining a flow channel between the two faces of membrane in the spiral wound element. The feed spacer must provide a clear path for flow of the water, promote turbulence to keep the saline solution mixed and should have minimal pressure drop for water traveling tangentially to the membrane. For a system with good pretreatment, the feed spacer can be quite narrow and function well. This allows the element designer to pack the maximum area in the element. However, for poor quality feedwater, the fouling tendency of the water is much higher and can rapidly plug the channels created by the feed spacer. This results in a higher operating pressure and more frequent cleaning. With the use of RO/NF technology for more surface water applications, there is a need to optimize the feed spacer design for more difficult applications.
Seal Carrier Improvements
A detailed analysis of pressures and water flow in a multi-element vessel has revealed that there are issues related to purging air from a pressure vessel due to the U-cup seals preventing the natural flushing of the annular gap. Figure 1 shows a schematic diagram of a pressure vessel with RO elements. In Figure 1a, the vessel does not contain any water, while in Figure 1b, the schematic shows water in the vessel immediately after the first addition of water.
Figure 1 Schematic of spiral elements in a pressure vessel, 1a After loaded and before water introduced, 1b Just after water first starts to enter the vessel.
It can be seen that the water easily floods the vessel in front of the first element by displacing the air down through the elements. Also, the water fills the back of the vessel all the way to the U-cup seal of the last element. The air is displaced out of the vessel. However, the U-cup seal prevents the water from going to the next to last element. The only way to get the air out of the annular gap of elements 1 and 2 is to pressurize the water so it will flow past the u-cup seal; however, the air would then have to go against the seal to escape or go forward in the vessel to the next element position. Alternatively, the water may flood the annular gap by pressurizing the feedwater so it will separate the two facing seal carriers between 1 and 2 or 2 and 3. This would allow water into the annular gap and air to go out through the element. Either of these mechanisms are not very effective for venting the air from the system.
This issue is particularly problematic for seawater systems. In a seawater system the feed in the element is being pressurized to 60-80 bar of pressure. Until the water fully floods the annular gap, the pressure in the gap will be much lower than in the element. This pressure differential can lead to catastrophic damage. Figure 2 shows an element which has a ruptured fiberglass outerwrap. This element, from an operating plant, saw failure of the fiberglass reinforced plastic (FRP) epoxy outerwrap. It takes very high pressure differentials to cause this to happen. Such pressure can be generated when pressure ramps up quickly, and the air cannot be removed as rapidly.
This issue has recently been addressed in the development of a new seal carrier which can allow rapid venting of the air from the annular gap. The new design incorporates a number of recessed areas in the seal carrier which act as vents (Figure 3). When two opposing seal
carriers are face to face, these small gaps provide an opening which allows the water to flow through (usually at the bottom of the seal carrier) and the air to pass through (usually through the top of the seal carrier). Since each element has this feature, the annular gaps can rapidly fill with water and the air can be expelled.
Laboratory Evaluation of Pressure Distribution
An experiment was performed to measure the pressures as a function of time during a typical start-up. The experimental set-up is shown in Figure 4. A variety of pressure gauges were installed to measure pressure at different points in the vessel. To visually Figure 3 New seal carrier design with recessed vents
Figure 4 Design of the 2-element vessel for pressure differential measurements
observe the water flow, a pressure vessel was made of acrylic plastic so that the water in the vessel could be seen. A photograph of this experimental rig is shown in Figure 5.
A picture of the edge of a new seal carrier is shown in Figure 3. This shows the recessed portion of the edge of the seal carrier that acts as a vent to allow air and water to pass between the seal carriers. There are six of these evenly dispersed on the edge of the seal carrier. As these are only a few mm deep, they do not compromise the strength of the part.
The test unit was then run to pass water to the two elements that are in series. The water entered from right to left. The pressure was measured at the inlet to the vessel, at the annular gap next to the first element, and the annular gap of the second element. From Figure 6, it can be seen that the inlet pressure rises at around 40 seconds. At about 60 seconds, the inlet pressure has risen to about 10.0 bar while the pressure at P1 and P2 are still nearly zero. Thus the pressure differential across the element shell will be 10 bar. At about 80 seconds of operation, the pressure at P1 has nearly equaled the inlet pressure, but P2 is still about 5 bar less than Pin. Thus, elements in the middle of the vessel may be at a greater risk of damage. Although this pressure differential did not damage the FRP shell in this case, the much larger pressure differentials in seawater applications may lead to element failure. Naturally, many other factors will also determine if the element FRP shell will be damaged, such as how much dP there is, and the ramp up speed of the high pressure pumps. This is one of the key reasons why it is good to have a pump ramp-up speed that does not exceed 0.7 bar per second.
In contrast Figure 7 shows the pressure profile in a three element experiment where the new vented seal carrier of Figure 3 was used. In this case the pressure profile is very balanced. The pressure at the inlet, P1 and P2 are approximately equal at all times. This is due to the seal carriers allowing the air to quickly vent from the annular gap and be replaced by water. This new design will prevent the large pressure differential across the shell and prevent element damage.
Feed Spacer Improvements
Spiral wound RO and NF elements have traditionally used feed spacers that range between 0.66 and 0.81 mm thick. Significant research has been done to model and improve these spacers and understand the flow dynamics in elements using such spacers. 1 Figure 8 shows the schematic design of a spiral wound element, with a magnified electron microscope view of the feed spacer. The narrower (less height) the feed spacer the more membrane area can be designed into the element. For this thickness range, the difference in area would be about a 13% reduction in area if everything else remained constant. In most cases, RO/NF feedwater is of high quality, and it is the most optimum condition to use the narrower feed spacer to achieve the higher area. Figure 9 shows the pressure drop in a plant where a standard 0.66 mm spacer is used. It can be seen that the pressure drop in the system has been fairly stable and little plugging of the channels has occurred. No cleaning has been done on this system over the 2 years of operation.
In contrast, membranes are being used more frequently to treat feedwaters of poor quality. In these cases, the pressure rises more quickly than desired due to channel plugging. For this scenario, it would be more advantageous to use a feed spacer that is more open. This would provide lower pressure drop, less rapid plugging and more effective cleaning. Such feed spacers are being used in special products for high fouling applications, including the CPA3-LD, LFC3-LD and the CPA5 RO elements. The former two use a 0.79 mm (31 mil) spacer, while the latter uses a 0.86 mm (34 mil) spacer. To overcome the problem of lost area, automation has been utilized to control glue line placement, as well as some other element design changes. These changes have allowed these elements with thicker feed
spacers to be made with the standard 37.2 sq m (400 sq ft) membrane area. In addition to using thicker feed spacers, the geometry of the spacer has also been optimized. This has resulted in additional reduction of the pressure drop. Figure 10 shows the pressure drop measured for a variety of elements using different feed spacers. It can be seen that these
result in about 50% pressure drop reduction when compared to a standard 0.66 mm (26 mil spacer). The newly designed 0.81 mm (34 mil) spacer used in CPA5 has 16% less pressure drop than an element made with standard 34 mil spacer.
As a result, these new 37.2 sq m (400 sq) elements can save additional energy. In a two stage brackish RO system, the pressure drop will be about 2-3 bar. For example, a two stage system operating at 25 lmh (15 gfd) and 80% recovery at 25 C, will have about 2.6
bar of pressure drop with a CPA3 element using 0.66 mm feed spacer. For CPA3-LD, this would be 1.6 bar (39% less) and 1.3 bar (49% less) for CPA5. Again more importantly for poor feedwater quality, these elements will not have channel plugging as rapidly, and are more readily cleaned. As evidence of this, Figure 11 shows the performance of a RO system running on surface water feed. The operation was done in three phases, first with a standard 0.71 mm (28 mil) spacer, then a new geometry 0.79 (31 mil) spacer, and finally the new geometry 0.86 (34 mil) spacer. The most stable operation was achieved with the last 2 types, and the lowest dP was achieved with the 34 mil spacer. It is also seen that the conventional 0.71 mm spacer element ha numerous clean-in-place (CIP) events to maintain the acceptable pressure drop in the vessel.
Conclusion
The spiral wound element design improvements described here will ensure that the elements maintain good physical integrity over a long period of time and will also reduce the operating cost. The added feature of vents provided in the new seal carrier designs will ensure that air can be readily removed from the annular gap between the outside of the element and the pressure vessel wall. This ensures rapid pressure equalization between the inside and outside of the spiral element. As a result, aggressive operation will be much less likely to cause damage, such as bursting of the FRP shell.
The new, thicker brine spacers will be advantageous for more consistent operation when treating poor quality feedwaters. The lower pressure drop will reduce cleaning frequency, allow cleaning to be more effective, and reduce the potential for element damage caused by high dP. Due to improved automation, these new brine spacers can be implemented without reducing membrane surface area.
References
1. "Spiral wound modules and spacers, Review and analysis", J. Schwinge, D.E.Neal, Wiley, D.F. Fletcher, and A.G. Fane, JMS 242 (2004) 129-153.
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ABSTRACTS
IPSERA Online Conference 2021 Abstracts
Addressing the
challenges in
sustainability performance
measurement in the food supply chain: The case of the organic
Italian wine
Authors
Dr. Verónica León-Bravo - Politecnico di Milano
Prof. Federico Caniato - Politecnico di Milano
Abstract
This study aims at investigating the challenges that companies in different supply chain stages face when implementing sustainability performance measurement (SPM). A set
of eight cases in the Italian organic wine supply chain are studied for identifying and analysing the challenges of SPM application in three supply chain stages: winery
cellars, distributors and retailers. Finding in this study evidence that the organic wine supply chain in Italy is active in implementing SPM though companies face several
challenges (lack of relevance, costly measurement processes and the pressures from external and internal supply chain actors); and, need to manage several trade-offs.
Track
Competitive Papers
Topic Areas
Sustainability
A framework for implementing gamification in Purchasing and
Supply Management education.
Authors
Dr. Stephen Kelly - Edge Hill University
Dr. Peter Vangorp - Edge Hill University
Mr. Dennis Meyer - TU Dortmund University
1
Mr. Vincent Delke - University of Twente
Abstract
This paper uses the findings from a literature review and series of expert interviews to develop a richer and Purchasing and Supply Management (PSM) context-specific perspective of the different key techniques, tools and principles that can be used to develop gamified learning to enhance the skills required by PSM professionals in dealing with current and future challenges, such as the transformation to Industry 4.0. It also provides further details of the different stages of implementing gamified learning, which can enhance the success of any such provision.
Track
Competitive Papers
Topic Areas
Purchasing Competence
A Kraljic and Competitive Rivalry Perspective on Hospital
Procurement During a Pandemic (Covid-19): A Dutch Case Study
Authors
Ms. Barbara Tip - University of Twent
Dr. Frederik Vos - University of Twente
Ms. Esmee Peters - Public Procurement Research Centre, Enschede
Mr. Vincent Delke - University of Twente
Abstract
The application of purchasing portfolio models in hospitals as well as the impact of a pandemic shock on product classifications remains largely unknown. This research
aims to assess hospital purchasers' procurement strategies during the Covid-19 pandemic and how the purchasing portfolio categorizations hold up in this situation.
This is a qualitative study of hospital purchasing in the Netherlands with thirteen
2
IPSERA 2021 Conference Abstracts
informants, supported by secondary data from official government publications. An important finding is that purchasers and governments fulfill the role of being
important gatekeepers in channeling factor market rivalry, thereby reducing potential harmful competition between and within hospitals.
Track
Competitive Papers
Topic Areas
Public Procurement
Analysing drivers and hinders for green purchasing transportation policy: A systematic review
Authors
Prof. Richard Calvi - USMB
Prof. GISELE MENDY BILEK - UPPA
Dr. Youcef MECHOUAR - UPPA
Prof. Daniel Erhel - USMB
Abstract
The coordination of Logistics actors (shippers i.e buyers, Logistics Service Providers and Carriers) could be at the service of reducing GHG emissions. This article relies on
a systematic review to identify the main research topics and contribution for green purchasing of sustainable road transportation in a collaborative approach. This
2
systematic review contributes in analysing drivers, barriers, practices for CO
emissions reductions. Further, by comparing buyers and sellers’ views on environmental
sustainability behaviour's, contrasting patterns will emerge based on the actor's different roles in the supply chain providing further depth trough conceptualising how
their different conditions influence green logistics purchasing practices.
3
Track
Working Papers
Topic Areas
Sustainability
A resource dependency perspective on supplier resource mobilization
Authors
Mr. Lars Goossen - University of Twente
Dr. Frederik Vos - University of Twente
Mrs. Bita Mirzaei - University of Twente
Prof. Holger Schiele - University of Twente
Abstract
This paper analyses supplier's willingness / acceptance of being dependent upon a particular customer. Based on a survey, it was found that competition uncertainty and awarding preferred customer status have a positive effect on dependence, i.e. acceptance of dependence seems to be a relative phenomenon, not an absolut one.
Track
Competitive Papers
Topic Areas
Buyer-Supplier Relationships
4
A soft skills experiment in an academic course
Authors
Mr. Klaas Stek - University of Twente
Abstract
The turbulence caused by digitisation and focus on sustainability issues changed PSM
personnel requirements. Machines are taking over processes and humans' contribution in the new era. Machines may act like humans but can only support humans in their
'creativity' and 'strategic thinking' but cannot replace humans' soft skills in this role.
Learning objectives in PSM courses in higher education are evaluated for not covering soft skills. This study presents an educational soft skills experiment that provides evidence
that soft skills learning can successfully involve existing courses.
Track
Competitive Papers
Topic Areas
Purchasing Competence
Assistance for the implementation of AI in procurement - An analysis of maturity models
Authors
Mr. Dennis Meyer - TU Dortmund University
Mr. Matthias Brüggenolte - TU Dortmund University
Mr. Tan Gürpinar - TU Dortmund University
Prof. Michael Henke - TU Dortmund University
Abstract
The implementation of Artificial Intelligence (AI) in business processes shows great potential, this is particularly the case for procurement processes. In practice, however,
5
there are only few use cases for the implementation of AI in procurement. To address this gap, in this paper maturity models are identified by a systematic literature review and analysed concerning procurement processes and the management dimensions human, technology, organization, and information. As a result, no maturity model addresses all dimensions. Hence, it is discussed whether a maturity model is the most promising methodological support at this stage, or whether a procedure model is more appropriate.
Track
Working Papers
Topic Areas
Technology and Digitalization
Attracting suppliers in project-based relationships
Authors
Mr. Gregor Möllers - University of Twente
Dr. Niels Pulles - University of Twente
Prof. Louise Knight - University of Twente
Abstract
A preferred customer status helps to obtain better resource allocation from suppliers. In project-based buyer-supplier relationships, this can be difficult because there are discontinuities in the relationship and varying project complexity, which influence supplier expectations. It is crucial that these specific expectations are addressed if a project-based customer seeks to become a preferred customer. Therefore, in this study we present quadrant based on project relation continuity and project complexity, that addresses specific important topics around suppliers' expectations per quartile. If these expectations are met or exceeded by the customer, it is likely that it will receive a preferred customer status.
6
Track
Competitive Papers
Topic Areas
Projects, Buyer-Supplier Relationships, Public Procurement
Big Data Analytics and Machine Learning pathway to Supply Chain
Sustainability: The Role of Organizational Agility and Environmental
Dynamism
Authors
Prof. Mihalis Giannakis - Audencia Business School
Ms. Linjing Huang - University of Warwick
Abstract
We explore the effect of Big Data Analytics (BDA) and Machine Learning (ML) tools on supply chain sustainability (SCS). We develop a conceptual model that hypothesizes the mediating effect of organizational agility (OA) and the moderating effect of environmental dynamism (ED) on the link between BDA, ML, and SCS. We draw data from a large survey amongst 280 supply chain professionals. We find that BDA/ML have a more prominent effect on the environmental and economic dimensions of SCS, whereas ED moderates the mediating role of OA on SCS. We draw conclusions on how organizations can effectively integrate these technologies.
Track
Working Papers
Topic Areas
Technology and Digitalization
7
Blockchain as a tool for improving social issues in the fashion supply chain
Authors
Ms. Ana Terra - COPPEAD Graduate School of Business
Dr. Leonardo Marques - COPPEAD Graduate School of Business
Abstract
This document aims to bring a guideline of how blockchain can be used to ensure traceability in the fashion supply chain, resulting in a tool that can be used to monitor social issues through it. By addressing the theory behind the concepts used in this new technology, it is possible to ground the main idealization of the project. The study's scope will also disclose a Brazilian initiative that has already started this theory into practice. To sum up, it will show how traceability can work in the real management world.
Track
Working Papers
Topic Areas
Sustainability, Technology and Digitalization, Networks, Projects, Transparency, Traceability, Visibility
Brand Power Use and Innovative Sources Of Supplier Power in the
Fashion Industry in Response to COVID-19
Authors
Dr. Hakan Karaosman - University College Dublin
Prof. Donna Marshall - University College Dublin
Prof. Veronica Villena - The Pennsylvania State University
8
Abstract
This research investigates the cashmere fashion supply chain consisting of global brands and Italian suppliers over three tiers. We aim to explore the effect of COVID19 on suppliers across different tiers of the supply chain (SC). We identify external and internal antecedents and their responses; at the brand and supplier levels; to COVID19 and to brands' power use. We also identify innovative power use by suppliers adding to the power discourse with new power constructs and mechanisms.
Track
Working Papers
Topic Areas
Sustainability, Buyer-Supplier Relationships
Building supply chain resilience through ambidexterity in the context of COVID-19: A single case study from information processing perspective
Authors
Dr. Lujie Chen - Xi'an Jiaotong-Liverpool University
Mr. Fangxu Yan - Xi'an Jiaotong-Liverpool University
Prof. Fu Jia - University of York
Abstract
This paper attempts to develop a theory of supply chain resilience through ambidexterity during COVID-19 pandemic. We conducted a case analysis by choosing one of the biggest Chinese cross-border e-commerce enterprises as our sample. Through case analysis, we identified that a fit between information processing requirements of a firm and its information processing capability leads to greater ambidexterity, which in turn improves supply chain resilience (SCRE). Corporate social responsibility (SCR)-oriented culture also moderates the relationship between SCRE and ambidexterity. This study identified two types of ambidexterity,
9
exploration/exploitation ambidexterity and instrumentality/morality ambidexterity, as risk mitigation strategies to strengthen SCRE.
Track
Competitive Papers
Topic Areas
Sustainability
Challenges and benefits of transcontinental sourcing - a study with selected companies
Authors
Mr. Thomas Körber - University of Twente
Prof. Holger Schiele - University of Twente
Abstract
This study shows challenges, corresponding solutions, motives and trends regarding transcontinental sourcing as an extreme form of global sourcing. Therefore, 21 interviews with companies affected by transcontinental sourcing are conducted. To structure data gained from the interviews, we use Gioia`s model. To sum up, high similarities to global sourcing are found regarding challenges and solutions. Some differences concerning motives and trends can be identified. For example, know-how and technology of transcontinental suppliers are essential motives for purchasing companies. Strong relationships and collaboration with suppliers are named. Despite of crises like Covid-19, companies believe, that transcontinental sourcing will remain important.
Track
Competitive Papers
IPSERA 2021 Conference Abstracts
Topic Areas
Purchasing Competence, Networks, Transparency, Traceability, Visibility, BuyerSupplier Relationships
Collaborators and supplementers : Profiling the social and health care delivery options of Finnish municipalities through cluster
analysis
Authors
Prof. Katri Kauppi - Aalto University
Dr. Suvituulia Taponen - Aalto University
Abstract
Municipalities methods to deliver health and social services are under constant public debate. To better understand how different types of municipalities currently deliver these services, and what are the associated costs, we analyse data for all Finnish municipalities on the delivery of 10 social and healthcare services. We cluster the municipalities based on their service delivery choices, and then examine the differences in municipal background factors and the costs of service delivery between the clusters. The results provide a more detailed understanding of the factors that drive the use of different service delivery decisions, and their overall cost impacts.
Track
Competitive Papers
Topic Areas
Services, Healthcare, Public Procurement
Conceptualization and theorization of lean supply management
Authors
Mr. Fernando Naranjo - Western University
Dr. Larry Menor - Western University
Dr. Fraser Johnson - Western University
Abstract
We present a novel conceptualization and theorization of lean supply management (LSM) that captures contextually specific supply challenges that firms face in fulfilling their LSM performance objectives and their contingent association with specific lean practices. We illustrate the practical relevance of our contextual contingent LSM conceptualization using a Delphi survey of Canadian agri-food experts to examine what specific supply challenges and lean pillars are associated with pursued LSM performance objectives, and explore what lean supply management means from a practitioner's perspective. The theorization underlying this study's novel LSM conceptualization is rooted in insights emanating from tenets of the practice-based view.
Track
Competitive Papers
Topic Areas
Transparency, Traceability, Visibility, Buyer-Supplier Relationships, Other
Contextual considerations when specifying transport services to reduce CO2 emissions
Authors
Mr. Javad Ghanei - IVL Swedish Environmental Research Institute
Dr. Dan Andersson - Chalmers University of Technology
Dr. Linda Styhre - IVL Swedish Environmental Research Institute
Abstract
This paper focus on how contextual factors interact with shippers' level of service specification in their transport-purchases and how the latter interacts with logistical variables influencing CO2 emissions. Preliminary results of a survey of 146 Swedish manufacturing and wholesale companies provide insight into interactions between some external contextual factors and the level of specification. However, no evidence found suggesting interaction with internal (organisational) factors. Results show that level of service specification influence logistic-related variables. Results provide companies an insight into effects of specifying transport services in their transportpurchases on CO2 emissions.
Track
Working Papers
Topic Areas
Purchasing Competence, Sustainability, Buyer-Supplier Relationships
COVID-19 crisis and supply chains
Authors
Dr. Ioannis G. Theodorakis - INSEEC Grande École INSEEC U.
Dr. Marek Vins - Prague University of Economics and Business
Dr. Efthymia Kottika - Prague University of Economics and Business
Dr. Ayşegül Özsomer - Koç University
Dr. Miroslav Karliček - Prague University of Economics and Business
Mr. Konstantinos G. Kottikas - Athens University of Economics and Business
Abstract
The COVID-19 crisis impacted all aspects of life and business including how supply chains work across industries. Focusing on the automotive industry, this paper seeks to conceptualize relevant human-, business-, and broader environmental-centric factors that affect the reaction of the supply chains amidst the dramatic disruption of their normal function due to the current health crisis. As a basic outcome of such a conceptualization, there appears transiliency a significant notion referring to the ability of an organization to both maintain its resiliency under extreme conditions and to transform elements of its business that help it move forward.
Track
Working Papers
Topic Areas
Purchasing Competence, Networks, Other
Critical review of use of qualitative 'big data' for PSM to anticipate shortages in a pandemic
Authors
Ms. Esmee Peters - Public Procurement Research Centre, Enschede
Prof. Louise Knight - University of Twente
Ms. Daphne Theodorakopoulos - University of Twente
Dr. Gwenn Englebienne - University of Twente
Dr. Shenghui Wang - University of Twente
Abstract
The rationale underpinning this exploratory study is to assess whether purchasing managers might be able to leverage publicly available big data to anticipate shortages. The analysis was conducted on two publicly available big data sources: one medicaland one governmental database. The most important findings include: 1) potential governmental warning signals categorized in the factor rivalry framework, 2) an analysis of evolution (e.g., frequency of occurrence) of critical materials and supply terms in medical data, and 3) a plot of the timeline of worldwide active measurements
IPSERA 2021 Conference Abstracts
with a direct influence on PPE shortage—to enhance shortage anticipation for purchasing managers.
Track
Competitive Papers
Topic Areas
Healthcare, Public Procurement
Deep tier Supply Chain Finance: an empirical investigation
Authors
Ms. Elisa Medina - Politecnico di Milano
Dr. Luca Mattia Gelsomino - Windesheim University of Applied Sciences
Prof. Federico Caniato - Politecnico di Milano
Mrs. Antonella Moretto - Politecnico di Milano
Abstract
Supply Chain Finance (SCF) has received attention from both academic research and managerial practice, but the research focus is limited to buyer-supplier dyads. This is no longer suitable in distributed and complex Supply Chains (SC), since major financial issues are often faced by second or third tiers suppliers, with negative consequences for the whole SC. Thus, this paper analyses cases of SCF solutions that go beyond the first SC tier, called "deep tier SCF", to solve financial constraints of actors in need and contributing to the sustainability of the SC. Four models of deep tier SCF are identified and discussed.
Track
Working Papers
Topic Areas
Supply Chain Finance
Delivering socially useful products and services to the underserved:
A resource dependence perspective
Authors
Ms. Feigao Huang - University of Tennessee
Dr. Wendy Tate - University of Tennessee
Abstract
Companies need to cope with various supply chain uncertainties to provide socially useful products and services to the poor people. Interviews with social enterprises and text analysis of inclusive business reports were conducted to understand this phenomenon. Drawing on resource dependence theory, this research identified five main sources of uncertainty in the supply chain and six major coping strategies that companies adopted in response to supply chain uncertainties to achieve social and economic viability. Besides, this study also found a high interdependence in the companies operating in low-income markets and that motivates companies to employ coping strategies to reduce uncertainty.
Track
Working Papers
Topic Areas
Sustainability
Design and Adoption of Agility in Purchasing and Supply
Management: Conceptual findings based on case study data
Authors
Mrs. Vanessa Kraft - TU Dortmund University
Prof. Elmar Holschbach - South Westphalia University of Applied Sciences
Abstract
Agility is receiving increased attention by practitioners and researchers alike. Although the benefits of agility are widely recognized, research on agility in Purchasing and Supply Management (PSM) is still scarce. A review of the literature revealed large ambiguities in definitions and inaccuracies in the proposed frameworks. It remains unclear how agility can be successfully adopted in PSM organizations. This paper provides an overview of agile practices that are successfully applied in managerial practice based on the preliminary results of 11 case studies. Six categories of agile practices are presented, and their most important characteristics are highlighted.
Track
Working Papers
Topic Areas
Purchasing Competence, Other
Designing pre-commercial procurement: how procurement practices facilitate commercialization of innovative solutions
Authors
Mr. Yannick Beverloo - Rotterdam School of Management, Erasmus University
Dr. Kostas Selviaridis - Lancaster University Management School
Prof. Finn Wynstra - Rotterdam School of Management, Erasmus University
Abstract
This research identifies and quantifies factors influencing the commercialization of innovative solutions developed through pre-commercial procurement instruments, specifically the Dutch SBIR program. Through a GLM- and OLS-analysis on the basis of public data and semi-structured interviews, we find that commercial aspects of an innovative solution should be emphasized more in the early stages of the contracted R&D project so suppliers consider possible commercialization issues for their innovations early in development. This study contributes to the literature by
IPSERA 2021 Conference Abstracts
examininghow R&D procurement processes can influence successful market entry of new products or services.
Track
Competitive Papers
Topic Areas
Public Procurement, Other
Developing Sustainable Purchasing and Supply Management Competences Using Critical Incidents
Authors
Dr. Heike Schulze - Manz University of Applied Sciences
Prof. Lydia Bals - Manz University of Applied Sciences
Prof. Jon Warwick - London South Bank University
Abstract
Many companies still struggle with fully implementing sustainable purchasing and supply management (SPSM) practices within their supply chains. While the importance of individual competences of buyers for change toward such practices has been emphasized, how to develop such SPMS-related competences remains under researched. This paper highlights the value and potential of the Critical Incident Technique (CIT) for developing competences in this field. It highlights how the critical incidents (CIs) were developed and how they were applied in training interventions within higher education, public procurement and private procurement settings, following an action research approach.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Sustainability
Diffusing sustainability in supply networks: from the top down or bottom up?
Authors
Prof. Thomas Johnsen - Audencia Business School
Dr. Toloue Miandar - University of Padova
Prof. Federico Caniato - Politecnico di Milano
Prof. Osama Meqdadi - Audencia Business School
Abstract
This paper investigates the diffusion of sustainability in supply networks and the role of the purchasing and supply management (PSM) function in this process. Based on an in-depth case study of a supply network in the coffee industry, we analyze how a focal company seeks to diffuse sustainability through a range of strategies, and the role of PSM in interaction with other internal functions. Emerging findings show that sustainability is diffused not only top-down from the focal company but also bottomup from suppliers.
Track
Competitive Papers
Topic Areas
Sustainability, Networks
Digitization and its effects on the future of the PSM function in new product development – A Delphi study
Authors
Mr. Manuel Wehrle - Friedrich Alexander Universität
Dr. Hendrik Birkel - Friedrich Alexander Universität
Prof. Evi Hartmann - Friedrich Alexander Universität
Abstract
Bringing innovative products to markets is essential for companies, particularly in markets with intense competition. One of the driving forces behind new product development's (NPD) success is the integration of the functions involved. While intensive research has been conducted on purchasing and supply management (PSM) in the context of driving innovation, research on the future of the PSM function in NPD has been mostly neglected. The present study is concerned with this subject and examines to what extent ever more spreading digitization influences the future of the PSM function in NPD.
Track
Working Papers
Topic Areas
Technology and Digitalization, Other
Driving supplier commitment in strategic buyer-supplier relationships: how can buyers keep their "customer of choice" status?
Authors
Dr. Andrea Patrucco - Florida International University - College of Business
Mrs. Antonella Moretto - Politecnico di Milano
Prof. Tobias Schoenherr - Michigan State University - Eli Broad College of Business
Abstract
Obtaining preferential treatment from suppliers has become essential for many buying firms, as supply networks play a critical role in ensuring differentiation and market success. Once given preferential treatment, what the buyer should do to retain a high level of attractiveness, increase the suppliers' perceived value of the relationship and, ultimately, enhance their commitment? Our research develops a theoretical framework to offer guidance for buyers on how to retain their preferred status. The model is tested through PLS regression using primary survey data collected from 204 suppliers reporting on their relationship with buyers that they deem as strategic or preferred.
Track
Working Papers
Topic Areas
Buyer-Supplier Relationships
Effects of Virtual Communication and Framing on Buyer-Supplier
Negotiations
Authors
Dr. Henrik Franke - ETH Zürich
Dr. Nadine Kiratli - Maastricht University
Dr. Eline van Poucke - Universiteit Antwerpen
Abstract
The objective of this paper is to examine two under-researched realities of managing buyer-supplier (B-S) negotiations. First, it considers that both buyers and suppliers increasingly bring several types of specialists to the negotiation table and, second, picks up the recently accelerated trend of online negotiations via video chats. It sketches a theoretical model combining these elements and their effects on the perceived creative and political climate during the B-S negotiation. The aim of this submission is also to receive feedback on the internal logic of the preliminary hypotheses, potential alternative arguments, or logical extensions.
Track
Working Papers
Topic Areas
Technology and Digitalization, Buyer-Supplier Relationships, Other
Ethical Resource Management In Bottom Of The Pyramid Contexts: Toward A Social Resource Orchestration Theory (SROT)
Authors
Prof. Lydia Bals - Mainz University of Applied Sciences
Prof. Eugenia Rosca - Tilburg University
Dr. Wendy Tate - University of Tennessee
Ms. Feigao Huang - University of Tennessee
Abstract
Beside resource constraints and institutional voids, ethics is an integral part of value creation in BoP contexts. Data was collected via expert interviews, field visits and text analysis with focal firms and support organizations in BoP settings. The focus was on understanding how focal firms engage with external stakeholders to leverage, bundle and structure resources to address environmental contingencies and ethical challenges. The findings imply that companies need to dynamically manage capabilities both internally and externally and engage in resource orchestration with multiple stakeholders. The emergent integrated framework suggests a move toward a social resource orchestration theory (SROT).
Track
Competitive Papers
Topic Areas
Sustainability
Evolutions and disruptions in Procurement Digital Transformation
Authors
Prof. Jean POTAGE - Kedge Business School
Abstract
This paper proposes to unravel what digital technologies have to offer using proven academic models, in order to make a distinction between what may be considered as evolution or disruption in Procurement. The evolution in value creation through process digitization is first of all quantified according to purchasing maturity, and two disruptions are then analyzed: the ongoing platformization of purchases and the upcoming use of Big Data and Artificial Intelligence. At each stage, the operational consequences for the change management to be effected by CPOs are analyzed and discussed. Four tracks for future research in that direction are proposed.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Technology and Digitalization, Buyer-Supplier Relationships
Exploring how startups organize the purchasing function
Authors
Mr. Juliano Tessaro - University of Twente
Dr. Rainer Harms - University of Twente
Prof. Holger Schiele - University of Twente
Abstract
Suppliers are an essential resource for startup success. Startups need suppliers to innovate. Also, a professional purchasing function is vital to manage supplier relationships properly. However, the purchasing function may be immature in startups. As a result, startups may poorly manage supplier relationships. This paper investigates how startups organize the purchasing function through an exploratory approach based on semi-structured interviews conducted with startups in three development stages. Early findings suggest that startups and established companies have similar structures; however, they differ in growth, flexibility, and operative excellence. Also, we offer four propositions for future research.
Track
Working Papers
Topic Areas
Purchasing Competence, Buyer-Supplier Relationships
Exploring Industry 4.0 Professional Roles and Skills within Purchasing and Supply Management
Authors
Mr. Vincent Delke - University of Twente
Dr. Elina Karttunen - LUT
Dr. Stephen Kelly - Edge Hill University
Mr. Klaas Stek - University of Twente
Dr. Michal Tkáč - University of Economics in Bratislava
Abstract
Professional roles, including specific skills for each role, are a step towards higher professionalism and maturity within purchasing and supply management (PSM). The global development towards increasing digitalization, Industry 4.0, globalization, and increasing attention for corporate social responsibility force change within the purchasing organizations. Here, PSM's professional roles and skills are a good starting point to manage these changes by redefining professional roles organized by specific skills and responsibilities. For this reason, based on a systematic literature review and three World Cafés with 29 purchasing professionals, this study compiles a list of Industry 4.0 professional roles and skills in PSM.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Technology and Digitalization
Exploring Supply Chain Finance opportunities in the Agri-food industry
Authors
Ms. Elisa Medina - Politecnico di Milano
Prof. Federico Caniato - Politecnico di Milano
Mrs. Antonella Moretto - Politecnico di Milano
Abstract
Agri-food supply chains' (SC) peculiar characteristics generate financing needs that are not always satisfied at all SC levels, with upstream actors more exposed and struggling to access resources. Innovative financial solutions are needed, and Supply Chain Finance (SCF) can play an important role in solving agri-food financial problems. However, SCF potential in the industry has not been deeply investigated by previous studies. This paper tries to fill the gap in literature regarding SCF implementation in the agri-food industry with a SC perspective, investigating the adoption of different solutions at different SC levels through a series of case studies in Italy.
Track
Competitive Papers
Topic Areas
Supply Chain Finance
Exploring the effects of relational and formal governance on supplier satisfaction
Authors
Mrs. Sigrid Weller - Graz University of Technology
Dr. Niels Pulles - University of Twente
Prof. Bernd M. Zunk - Graz University of Technology
Abstract
The importance of supplier satisfaction has been discussed and shown many times. While supplier satisfaction can impact supplier performance, it can also have an impact on the supplier's pricing policy. In this working paper, we examine how expectations in buyer-supplier relationships shape supplier satisfaction and how this is affected by either relational or formal contracts. We develop hypotheses and describe an experimental setting in which the hypotheses are tested.
Track
Working Papers
Topic Areas
Buyer-Supplier Relationships
Fostering sustainability by the right use of power: a multi-tier supply chain approach
Authors
Ms. Kati Marttinen - LUT University
Prof. Anni-Kaisa Kähkönen - LUT University
Abstract
A firm's ability to cascade sustainability requirements further to the lower tiers of suppliers might be affected by the power relations between the firms. This paper investigates the sources of power in multi-tier supply chains and studies how power can be used to ensure sustainability in multi-tier supply chains. In this paper, we put the traditional power perspectives to the context of sustainable multi-tier supply chains, and with a case study data of 16 companies, we show that power sources and relations affect the dissemination of sustainability requirements, but also that sustainability complicates the power relationships between the companies.
Track
Working Papers
Topic Areas
Sustainability, Networks, Transparency, Traceability, Visibility, Buyer-Supplier Relationships
Framing the Role of Entrepreneur Suppliers in the Circular Bioeconomy
Authors
Dr. Orlagh Reynolds - University College Dublin
Dr. Aideen O'Dochartaigh - Dublin City University
Prof. Andy Prothero - University College Dublin
Prof. Donna Marshall - University College Dublin
Dr. Enrico Secchi - University College Dublin
Abstract
This action research study examines the factors hindering and facilitating entrepreneur supplier inclusion in circular bioeconomy supply chains through collaborative platforms. Many suppliers in the bioeconomy demonstrate entrepreneurial capabilities and potential which, if fostered, can provide income diversification opportunities, and improve the innovation potential of the circular bioeconomy. We examine the development of a circular bioeconomy platform and the factors facilitating and hindering entrepreneur supplier inclusion by identifying how framing processes shape 'interaction flows'. Through frame analysis, we aim to develop a framework for successful inclusion of entrepreneur suppliers in circular bioeconomy supply chains through platformisation.
Track
Working Papers
Topic Areas
Sustainability, Networks, Buyer-Supplier Relationships
From supplier diversity to economic inclusion: A sustainable model driving social and business value
Authors
Dr. Andrea Sordi - University of Tennessee
Dr. Wendy Tate - University of Tennessee
Ms. Feigao Huang - University of Tennessee
Mr. Ryan Lile - University of Tennessee
Ms. Sahra Nur - University of Tennessee
Abstract
Companies have been launching supplier diversity programs for decades. However, those programs are not a truly sustainable inclusion ecosystem fostering competitive advantage for buyers, suppliers and society. Companies are recognizing the potential of supplier diversity programs in business growth, such as response to the changing demographics and benefits including innovation and flexibility. Yet, challenges remain. Borrowing the 7 pillars Inclusion model from sports, we have renamed it as "The 7 Pillars of Economic Inclusion" to help companies develop sustainable diversity programs, namely, Culture, Competencies, Strategies, Ecosystem, Governance and Structure, Plan & Measure, and Communication.
Track
Working Papers
Topic Areas
Sustainability
Governing blockchain networks
Authors
Mr. Max Emanuel Schwarzer - TU Dortmund University
Abstract
Distributed ledger technologies (DLT) are said to have disruptive potential in operations and supply chain management. Despite the promising outlook, DLT business implementations can rather rarely be observed at the present time. Particularly, a lack of sophisticated governance models turned out to be one of the main problems for practitioners. This note provides a literature review categorizing relevant literature related to DLT governance research. Four different streams of research related to governance of DLT systems were identified. The literature review process also emphasizes the necessity for further research on DLT governance models for inter-organizational applications and platform economies.
Track
Working Papers
Topic Areas
Supply Chain Finance, Technology and Digitalization, Networks, Transparency, Traceability, Visibility
IPSERA 2021 Conference Abstracts
Green public procurement and energy performance contracting
Exploring the linkage and improvement opportunities
Authors
Mr. Hasan Hamdan - NTNU
Prof. Luitzen De Boer - NTNU
Prof. Mohamed Hamdy - NTNU
Abstract
Energy Performance Contracting (EPC) is a method to finance energy efficiency investments from cost savings in the building sector. In public projects, public
procurement and green public procurement (GPP) are the carrying vehicles of EPC.
Though EPC has received much attention in the building sector and can probably be considered among the most effective mechanisms for energy efficiency in the public
sector, very few studies have looked at EPC from a public procurement perspective.
The current study aims to explore the link between GPP and EPC and propose improvement opportunities for EPC capitalizing on knowledge and practices derived
from GPP.
Track
Working Papers
Topic Areas
Sustainability, Projects, Public Procurement
Green Supply Chain Management and Organizational Performance:
Analysis of environmental and financial performance in the sports nutrition industry
Authors
Mr. Dieter Wijnen - Open Universiteit
30
Prof. Janjaap Semeijn - Open Universiteit
Dr. Wim Lambrechts - Open Universiteit
Abstract
This research identifies relationships between Green Supply Chain Management (GSCM) and organizational environmental and financial performance, with focus on supplier collaboration; customer monitoring and regulatory pressures. Quantitative research was set up using the partial least squares method with a sample of 128 respondents in a B2B context. The results imply that supplier collaboration positively affects the implementation of GSCM practices which in turn positively impacts environmental performance. Furthermore, organization size did not seem to affect the relationship between internal GSCM practices and organizational performance, implying that companies of all sizes could see performance benefits through implementing GSCM.
Track
Competitive Papers
Topic Areas
Sustainability, Buyer-Supplier Relationships
Hegemony and dependency in sustainable supply chains
Authors
Mr. Tim Else - The University of Sheffield
Prof. Andrea Genovese - The University of Sheffield
Dr. Sonal Choudhary - The University of Sheffield
Abstract
The UK dairy supply chain is familiar to multifaceted challenges when it comes to sustainable supply chain management. Based on interviews with multiple stakeholders,
this study explores the different perceptions of sustainability in the dairy industry, and how power relates to those perceptions. Resource Dependence Theory and the
Cultural Hegemony concept are drawn on to explain influences on sustainable practices. A selection of factors relating to sustainable perceptions emerge from the data, as well as the importance of consumers and their associated loop of power. The central theme of value is then blended with the theoretical lenses.
Track
Competitive Papers
Topic Areas
Sustainability
Here and there: tackling modern slavery in local authority procurement
Authors
Mr. Oliver Kennedy - University of Liverpool
Dr. Joanne Meehan - University of Liverpool
Dr. Bruce Pinnington - University of Liverpool
Abstract
This research sheds light on how Local Authorities account for modern slavery in their procurement practices. Case studies and secondary data were used to explore the interplay between public procurers and political actors. The findings suggest political actors' pressure public procurers to bound efforts to a locality, but this clashes with the unbound nature of modern slavery. We develop the concept of political fidgeting - political interference in operations - to reveal how it harms Local Authorities' ability to tackle systemic modern slavery. The research provides a deeper appreciation of modern slavery by introducing boundaries and tension between public servants.
Track
Competitive Papers
Topic Areas
Transparency, Traceability, Visibility, Public Procurement
Highway to hell: Can collaborative contracting be more than a road paved with good intentions?
Authors
Mr. Tom Aben - Tilburg University
Prof. Wendy van der Valk - Tilburg School of Economics and Management
Prof. Henk Akkermans - Tilburg University
Abstract
Contract literature generally argues that buyers should design contracts to safeguard against self-interested suppliers. However, it could also be argued that suppliers, given their expertise, are better equipped to write contracts, indicating the need to collaborate with suppliers, if not give them the lead. This paper investigates two unique cases in which a supplier leads the contract design process. Preliminary results show that the suppliers are not able to write effective contracts. A plausible explanation seems to lie in the supplier's honest incompetence rather than the self-interested behaviour that suppliers typically should display as assumed in current literature.
Track
Working Papers
Topic Areas
Purchasing Competence, Public Procurement, Buyer-Supplier Relationships
How PSM should manage complex situations. Testing requisite variety theory.
Authors
Prof. Herbert Ruile - Logistikum Schweiz GmbH
Mr. Lukas Lichtsteiner - Logistikum Schweiz GmbH
Abstract
Contemporary purchasing faces ever rising complexity, internally and externally to the company. By investigating how purchasing decision makers act in situations of various complexity, this research attempts to extend on the law of requisite variety. It is assumed, that purchasing decision makers will apply appropriate approaches to cope with increasing complexity. A cross industry survey on managing complex supply projects was performed to investigate senior supply management task recommendation on complex and less complex situations. The analysis of the structural equation model indicates significant correlation between situation and task complexity.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Technology and Digitalization, Networks
How to react to supply chain disruption. A successful case study during COVID-19 pandemic.
Authors
Dr. Margherita Molinaro - University of Udine
Prof. Pietro Romano - University of Udine
Mr. Gianluca Sperone - Zoppas Industries Heating Element Technologies
Abstract
This paper aims at exploring reactive organizational practices to manage the postdisruption phase of extreme events. Even if existing literature clearly identifies them, no specific indications exist on how the reactive organizational practices should be effectively implemented and managed. We address this gap through an extensive case study of an Italian company that successfully dealt with all the disruptions caused by the COVID-19 pandemic. The results show not only the importance of having a structured reactive process coordinated among the functional areas, but also the need of adopting a cyclic rather than linear approach based on a continuous improvement attitude.
Track
Working Papers
Topic Areas
Purchasing Competence, Transparency, Traceability, Visibility
Impacts of Digitization on Freight Forwarding: A Delphi Study
Authors
Mr. Benjamin Müßigmann - Friedrich Alexander Universität
Prof. Evi Hartmann - Friedrich Alexander Universität
Prof. Heiko von der Gracht - Steinbeis University
Abstract
The freight forwarding (FF) industry plays a key role in running global supply chains, with an expected sales revenue of 155$ billion in 2020. Digitization in supply chain management presents both challenges and opportunities for the FF industry and requires freight forwarders and their customers to adapt. The aim of this study is to examine upcoming changes in the FF industry expected by FF professionals by 2050 against the background of current technological developments in artificial intelligence, big data analytics and blockchain technology. 100 Experts are being surveyed as part of a real time Delphi study, conducted in multiple rounds.
Track
Working Papers
Topic Areas
Technology and Digitalization, Transparency, Traceability, Visibility, Other
Implications of Industry 4.0 implementations on Supply Chain Governance – an interorganizational multi-tier perspective
Authors
Ms. Yuko Melanie Pfaff - Friedrich Alexander Universität
Dr. Hendrik Birkel - Friedrich Alexander Universität
Prof. Evi Hartmann - Friedrich Alexander Universität
Abstract
In the field of Purchasing and Supply Chain Management, organizations no longer compete as individual entities, but rather as integrated supply chains, designed to be economically competitive providing competitive advantage. Their success is based on the integrative ability to manage supply networks of interorganizational relationships. The digital era poses a radical change impacting the structural dynamics of governance beyond organizational boundaries. Contributing to this field by a multiple case study, examining how Industry 4.0 influences governance mechanisms involving multi-tier SCs, the results show a significant impact on relational and contractual governance mechanisms such as new dimensions challenging the existing literature.
Track
Working Papers
Topic Areas
Technology and Digitalization, Networks, Buyer-Supplier Relationships, Other
Industry 4.0 and supply chain resilience
Authors
Mr. Maximilian Gebhardt - Friedrich-Alexander University Erlangen-Nuremberg
Mr. Alexander Spieske - Friedrich-Alexander University Erlangen-Nuremberg
Mr. Matthias Kopyto - Friedrich-Alexander University Erlangen-Nuremberg
Dr. Hendrik Birkel - Friedrich-Alexander University Erlangen-Nuremberg
Abstract
The COVID-19 pandemic has enforced the focus on supply chain resilience (SCRES) and triggered a reevaluation of how digital technologies can support the concept. We provide empirical foresight for the post-COVID-19 maturity of Industry 4.0 technologies in a SCRES context by conducting a two-round Delphi study. We developed 13 future projections, and 64 supply chain management experts evaluated them. We reveal that visibility-enhancing digital solutions will be widely employed for improving SCRES in 2030. Organizations' digital maturity comprising their workforce's digital competencies and their ability to collect and share data in real-time will also be prominent levers.
Track
Working Papers
Topic Areas
Technology and Digitalization, Transparency, Traceability, Visibility
Industry 4.0 influence in supply chains
Authors
Ms. Honey Zimmerman - University of Missouri-St. Louis
Abstract
This study focuses on supply chain relationships and agility in the context of I4.0. Using mixed methods, we set out to answer the research question: Does I4.0 technology influence buyer supplier relationships and supply chain agility, and if so, how? In this exploratory research, we will first interview focus groups from one large buying firm and individuals from its suppliers. Hypotheses will be developed from analyzing the qualitative data and tested in the second phase using surveys of buyer-supplier dyads. The findings of this study add to the supply chain literature around the value and impact of advanced I4.0 technologies.
Track
Working Papers
Topic Areas
Technology and Digitalization, Buyer-Supplier Relationships
Information processing capabilities for managing public procurement complexity
Authors
Ms. Ruth Noemi Francia Sloot - University of Twente
Dr. Hans Voordijk - Univer
Prof. Leentje Volker - University of Twente
Abstract
As governments become increasingly reliant on private organizations for the delivery of public goods and services, public clients in the construction sector increasingly depend on effective procurement capabilities to achieve the required performance of civil infrastructures. For effective procurement, we propose that public clients develop information processing capabilities. Specifically, this study aims to identify and describe information processing drivers and mechanisms in PCP. Based on findings following a qualitative case study, we identified and described three drivers of
IPSERA 2021 Conference Abstracts
information processing needs and four mechanisms for information processing that public clients respectively experienced and employed when procuring complex performance.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Projects, Public Procurement
Innovation intermediaries in a public procurement context: Developing a conceptual framework
Authors
Mr. Maximilian Hammer - Universität der Bundeswehr München
Mr. Ole Schmid - Universität der Bundeswehr München
Prof. Christian von Deimling - Universität der Bundeswehr München
Prof. Michael Essig - Universität der Bundeswehr München
Abstract
In order to solidify the European Union as a world leading innovation location, the European Commission proposes involving innovation intermediaries in public procurement of innovations (PPI). The aim of this paper was to gain a further understanding on innovation intermediaries by analysing the extant literature and developing a conceptual framework on innovation intermediaries in a public procurement context to identify possible research gaps. Concluding, although there has been broad attention attributed to intermediaries and their innovation-inducing effect, there is still need for further research into how intermediaries are involved in and effectively lead to a better adoption of PPI.
Track
Competitive Papers
Topic Areas
Public Procurement
Introducing the prosumption map: Who benefits and how the business network is changed?
Authors
Dr. Vojtech Klézl - Örebro University School of Business
Dr. Johan Kask - Örebro University School of Business
Abstract
While there has been an increasing interest in the prosumption phenomena, there is still much ambiguity and fussiness, which we aim to address with a proposed multidimensional typology of the prosumption phenomena created by integrating extant prosumption literature. Four types of prosumption are found, each with distinctive meanings, drivers, impacts and business models: co-optional, co-creational, competitive and self-sufficient. This paper follows the typology by graphically representing the typology and introducing the "prosumption map", based on two dimensions – main beneficiary and degree of business network change.
Track
Working Papers
Topic Areas
Purchasing Competence, Technology and Digitalization, Networks, Buyer-Supplier Relationships
Invoking resilience during the pandemic
Authors
Prof. Dirk-Jan Kamann - University of Pannonia, Veszprém
Dr. Petra Gyurácz-Németh - University of Pannonia, Faculty of Business and Economics, Veszprem,
Abstract
This contribution, using an innovative methodology incorporating Grounded Theory shows key drivers, processes and topics playing a role in decision making to secure resilience during the pandemic Adaptability in employment, operations, supplier relations and marketing secured financial survival and availability of products. The background of decision makers and the owner's leadership style determine the attitude governing behaviour, decisions and the degree of shared trust and communication. Adequate responses to daily changing challenges required rapid decision making; decentralized decision authority helped. Obtaining and keeping control was of prime importance. We found high resilience: 97 percent of suppliers were still on board.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Networks, Buyer-Supplier Relationships, Other
Larger, Counter-intuitive and Lasting – The PSM role in responding to the COVID-19 pandemic, exploring opportunities for theoretical and actionable advances
Authors
Prof. Remko van Hoek - Sam M Walton College of Business, University of Arkansas
Abstract
PSM has played an important role in the initial mitigation of risks caused by the COVID19 pandemic. We explore the nature and scope of this role and develop a roadmap for PSM contributions towards greater supply chain resilience. We find that the role of PSM is (1) multidimensional; responding to supply risks but also to demand and logistics risks, (2) counter to game theory; collaboration increased instead of decrease, (3) multi-stage; beyond the initial response the hardest change efforts are still ahead. The pandemic is accelerating the journey towards future-proof PSM but not necessarily revolutionizing the future of PSM.
Track
Competitive Papers
Topic Areas
Other
Living in a Constant Crisis: Lessons for Public Procurement
Authors
Dr. Jane Lynch - Cardiff University
Prof. Christine Harland - Politecnico di Milano
Prof. Jan Telgen - Public Procurement Research Centre
Dr. Andrea Patrucco - Florida International
Prof. Petra Ferk - Graduate School of Government and European Studies, New University
Prof. Louise Knight - University of Twente
Ms. Esmee Peters - Public Procurement Research Centre, Enschede
Prof. Tunde Tatrai - Corvinus University of Budapest
Dr. Niels Uenk - University of Twente
Abstract
The Covid-19 pandemic is reported as one of the most pervasive crises in the modern world, but it is difficult to ignore the idiosyncrasies between Covid-19 and that of Climate Crisis. Public procurement plays a critical role in tackling crises which are characterized by shortages in food and other critical supplies, not only affecting the quality of life, but causing economic disruption leading to conflict and changes in regulation. The formation of supply networks ensures that volatile demand conditions are met. The purpose of this study is, using interview data from 23 countries, to explore the transferrable lessons from Covid-19.
Track
Working Papers
Topic Areas
Networks, Public Procurement, Humanitarian
Long-term methods in EU centralized public procurement
Authors
Prof. Tunde Tatrai - Corvinus University of Budapest
Ms. Gyongyi Vorosmarty - Corvinus University of Budapest
Abstract
Many central purchasing bodies (CPB) are active in Europe, which have to supply many contracting authorities in the long run. They have serious role in the market of IT procurement and healthcare procurement in the times of Covid. The European regulation allows two methods for this purpose: framework agreements and dynamic purchasing systems. In the paper we examine the activity of CPBs with respect to the two methods. We draw conclusions for the products covered by the main CPBs of 6 EU Member States. Using the Kraljic matrix, we look for a connection between the method and the subject matters.
Track
Working Papers
Topic Areas
Purchasing Competence, Public Procurement
Managing the supply side of platforms: How does complementor management work for data-driven B2B platforms?
Authors
Prof. Wolfgang Buchholz - University of Applied Sciences Münster
Dr. Holger De Bie - Finstreet
Mr. Ralph Kochendörfer - University of Applied Sciences Münster
Abstract
In the so-called ecosystem economy, new data-driven B2B platforms evolve rapidly based on the prospects of digital technology. Thus far, little research has been conducted on service providers, the so-called complementors of data-driven platforms. Therefore, this paper gains deeper insights into the facets of complementor management. For empirical evidence, we draw on semi-structured expert interviews with platform managers. The findings outline a number of differences in managing suppliers compared to managing complementors. In addition, our study shows that the key factors influencing complementor management include platform openness, partnership intensity, strategic fit, and market structure respectively potential.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Networks, Buyer-Supplier Relationships
Manufacturing reshoring: Archetypes development through a systematic literature review
Authors
Dr. Albachiara Boffelli - University of Bergamo
Prof. Hamid Moradlou - Cranfield University
Prof. Luciano Fratocchi - University of L'Aquila
Abstract
Manufacturing reshoring continues to be a growing topic of interest for researchers. Nowadays, there is an increasing demand to create a complete picture of reshoring decision-making. This paper employs the systematic literature review methodology to combine the research on manufacturing reshoring firms and their decision-making. By analysing 63 papers, this article assesses firm factors, motivations, and decisionmaking. Descriptions of the reshoring motivations of recent papers highlight current trends in the literature. Next, the relationship between decision-making and business characteristics is discussed. Finally, the identification of four archetypical reshoring firms through cross-case thematic analysis proposes a new framework for understanding reshoring.
Track
Competitive Papers
Topic Areas
Networks, Other
Measurability of performance outcomes in digitally enabled environments: A literature review of PBC in the manufacturing sector
Authors
Mr. Luis Prato - Rotterdam School of Management, Erasmus University, Building Mandeville (T), Room T9
Prof. Finn Wynstra - Rotterdam School of Management, Erasmus University
Prof. Wendy van der Valk - Tilburg School of Economics and Management
Abstract
Performance-based contracting (PBC) is gaining importance to manufacturing industries as an innovative business model for the delivery of outcomes. The challenges of availability and cost of information, as well as accurate measurability of performance outcomes, are yet crucial for the implementation of PBC to succeed. Furthermore, the role of Information Systems (IS); namely Digital Technologies (DTs), deserves more attention to minimize these challenges. However, insights into whether and what enhancing effects DTs may have on the measurability of performance outcomes are rather scarce. We intend to reveal these relationships, by conducting a comprehensive review of 32 peer-reviewed empirical publications.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Services, Buyer-Supplier Relationships
Measuring Supply Chain Financial Performance under crisis: A new proposed model
Authors
Mr. Georgios Vousinas - National Technical University of Athens
Prof. Stavros Ponis - National Technical University of Athens
Abstract
Supply Chain Financial Performance has drawn much attention due to the recession created by the global financial crisis of 2008, which caused severe financial problems to companies worldwide and forced them to find new forms of financing their business plans to avoid bankruptcy. The main objective of this paper is to propose a new model for measuring Supply Chain Financial Performance in times of crisis. For this purpose, the SWORD model is developed, a composite rating system that can be applied to every kind of business and based on selected metrics, aims to classify a firm's financial position.
Track
Working Papers
Topic Areas
Supply Chain Finance
Measuring the clients' maturity in smart maintenance supply networks
Authors
Mr. Koos Johannes - Amsterdam University of Applied Sciences
Dr. Hans Voordijk - University of Twente
Dr. Guillermo Aranda-Mena - RMIT University Melbourne
Abstract
This paper aims to develop a tool for measuring the clients' maturity in smart maintenance supply networks. The assessment tool is developed and validated for corporate facilities management organizations using case studies and expert consultation. Based on application of the assessment tool in five cases, conclusions are presented about the levels of maturity found and the strengths and limitations of the assessment tool itself. Also, implications for further research are proposed.
Track
Working Papers
Topic Areas
Technology and Digitalization, Networks, Services
Media reporting on public procurement: an analysis of UK press coverage, 1985-2018.
Authors
Dr. Anthony Flynn - Cardiff University
Dr. Irina Harris - Cardiff University
Abstract
According to agenda-setting theory, the media shapes what issues citizens think about. We take this idea to the procurement field by examining UK press coverage of public procurement. Results show that the press has increasingly placed public procurement on the news agenda, evidenced by indicators like the number of articles published and the incidence of major news stories. The focus of coverage has been on governance failures and socio-economic policy issues. The significance of the results lies in demonstrating how the press has formed a negative narrative around public procurement; one that accentuates failure and missed opportunities.
Track
Competitive Papers
Topic Areas
Public Procurement
Methods of artificial intelligence in procurement: A conceptual literature review
Authors
Mr. Jan Spreitzenbarth - University of Mannheim
Prof. Heiner Stuckenschmidt - University of Mannheim
Prof. Christoph Bode - University of Mannheim
Abstract
Artificial intelligence is a key technology for procurement and its usage is still in its infancy. This work builds upon literature reviews on big data analytics in supply chain management (Min, 2010, Waller and Fawcett, 2013, Souza, 2014, Gunasekaran et al., 2017, Nguyen et al., 2017) focusing on artificial intelligence in procurement. 174 relevant publications have been identified based on a keyword search and consecutive snowball search. These are classified along the procurement process in eleven use case clusters and enriched with practical ideas. Their business value and ease of implementation are assessed through interviews to derive a research agenda.
Track
Competitive Papers
Topic Areas
Technology and Digitalization
Multi-tier sustainable supply chain management: A social systems theory perspective
Authors
Dr. Yu Gong - University of Southampton
Dr. Yan Jiang - Middlesex University
Prof. Fu Jia - University of York
Abstract
This study explores the complexity in multi-tier SSCM through a social systems theory perspective. We conducted a case study on IKEA China's sustainable cotton initiative and examined its five cotton-textile supply chains in China. The findings suggest that in order to cope with environmental complexity in implementing multi-tier sustainable initiatives, focal companies tend to create both internal complexity and collaborative complexity in a variety of forms, such as via supply chain leadership and various governance mechanisms. Furthermore, environmental overlap and available collaborative complexity increase in this process and can feed back into systems to facilitate further creation of requisite variety.
Track
Competitive Papers
Topic Areas
Sustainability, Networks, Buyer-Supplier Relationships
Navigating COVID-19: Legal and Compliance Risks for Supply Chains
Authors
Ms. Caroline Petruzzi McHale - Cleary Gottlieb Steen & Hamilton LLP
Abstract
Management of procurement has become increasingly strategic for companies in recent years due in large part to developments in technology and traceability. The COVID-19 pandemic has brought a new level of complexity to these issues. Companies with geographically-dispersed and multi-tiered supply chains have been among the most affected, facing issues relating to payment or delivery failures, price gouging, supplier solvency and disputes.
This paper presents certain legal and compliance considerations with respect to supply chains, including with respect to operations, corporate governance and liability management as well as an overview of the evolving framework applicable to supply chain due diligence.
Track
Competitive Papers
Topic Areas
Sustainability, Transparency, Traceability, Visibility
On code's content comprehensiveness and ethical compliance
Authors
Ms. Fanny Chen - Rotterdam School of Management, Erasmus University
Prof. Finn Wynstra - Rotterdam School of Management, Erasmus University
Dr. Jan van Dalen - Rotterdam School of Management, Erasmus University
Abstract
Business codes are among the most utilised formal measures to achieve corporate social responsibility. Yet, empirical studies on business codes' effectiveness show diverging results. Some studies found business codes to be effective, others found mixed or counterproductive results. This study examines the effect of business codes' content comprehensiveness on procurement professionals' degree of ethical compliance. Two distinct approaches are applied to measure content comprehensiveness. One using content analysis of business codes and the other using survey responses. Business codes' content comprehensiveness appears, based on the survey responses, to have a positive impact on procurement professionals' degree of ethical compliance.
Track
Competitive Papers
Topic Areas
Other
Procurement under pressure: emerging governance issues in the procurement of medical supplies during the COVID-19 pandemic
Authors
Dr. Jolien Grandia - Erasmus University Rotterdam
Mrs. Rianne Warsen - Erasmus University Rotterdam
Abstract
The outbreak of COVID-19 put healthcare institutions under enormous pressure to quickly procure medical supplies, such as surgical masks and disinfectants, forcing them to engage in new partnerships. Studies show that the successfulness of partnerships is affected by the balance between contractual and relational governance mechanisms. This raises the question if under pressure procurers rely more on relational conditions (e.g. trust) than contractual agreements, which could give rise to various governance issues. We combine insights from public administration, crisis management, and purchasing and supply management to shed light on these governance issues and discuss potential pitfalls.
Track
Competitive Papers
Topic Areas
Healthcare, Buyer-Supplier Relationships, Public Procurement
Proposition of a multilevel digital twin conceptualisation framework: A business perspective
Authors
Mr. Dominik Oehlschlaeger - Bundeswehr University Munich
Prof. Michael Essig - Bundeswehr University Munich
Dr. Andreas Glas - Bundeswehr University Munich
Abstract
Despite its potential impact, the digital twin construct is still vague and has not been fully linked to the supply chain field yet. Therefore, this working paper systematically reviews relevant literature to propose a framework for a sound construct conceptualisation. The framework is built on five constitutional characteristics namely the creation of a digital counterpart, data synchronisation, the capability to enable simulations, the capability to enable life-cycle management, and dynamic data interaction and convergence. By analysing their respective degrees of specification, a multilevel paradigm is proposed, which provides value to the scientific community by mitigating conceptual ambiguity.
Track
Working Papers
Topic Areas
Technology and Digitalization
Public procurement as an attractive customer: A supplier perspective
Authors
Dr. Elina Karttunen - LUT University
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Mr. Mika Matela - LUT University Prof. Jukka Hallikas - LUT University Dr. Mika Immonen - LUT University
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Abstract
To ensure competition in public tendering, the perceptions of suppliers regarding the attractiveness of the public sector must be understood. This study investigates the interaction between suppliers' innovativeness and supply chain ambidexterity and their perceptions on information management capability and customer attractiveness of public organizations. The study is based on a survey of private companies in Finland.
IPSERA 2021 Conference Abstracts
The findings indicate that the ambidexterity of suppliers influences the information management and customer attractiveness of public organizations. Supplier innovativeness has an influence on information management, which in turn influences customer attractiveness.
Track
Competitive Papers
Topic Areas
Public Procurement
Public procurement stimulating Open Data reuse
Authors
Mr. samuel renault - Luxembourg Institute of Science and Technology
Ms. Prune Gautier - Luxembourg Institute of Science and Technology
Mr. Sebastien Martin - Luxembourg Institute of Science and Technology
Dr. Slim Turki - Luxembourg Institute of Science and Technology
Abstract
This paper relates a case study and an action research on the use of public procurement as a stimulator for value generation based on Open Data. The research method consists in State-of-the-Art of Open Data value generation approaches, an analysis of public procurement regulation, the observation of 11 Open Data projects during 3 years, interviews with project managers and awarded SMEs to collect feedback and a review of procurement documentation. While hackathons and acceleration programs are the main way to generate value based on Open Data, this research works shows that traditional public procurement can be used to stimulate innovation.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Public Procurement
Purchasing and Supply Management Research: A text-mining network analytics perspective
Authors
Dr. Robert Suurmond - Maastricht University
Prof. Finn Wynstra - Rotterdam School of Management, Erasmus University
Mr. André Vermeij - Kenedict Innovation Analytics
Mr. Erick Johan Haag - Rotterdam School of Management, Erasmus University
Abstract
Purchasing and Supply Management (PSM) as an academic field has seen a major development in terms of its maturing status, wider topical focus, and increasing methodological rigor as well as variety. We examine research on purchasing and supply management in the form of 3477 journal publications from the period 19952019, by means of network analytics. Using text-mining of abstracts, we identify 37 clusters of publications. Based on high-scoring noun phrases and expert review, we provide content-based labels for these clusters and discuss cluster characteristics, in particular the prevalence of disciplines and journals and of specific authors.
Track
Competitive Papers
Topic Areas
Networks, Other
Purchasing and supply management skills and competences for innovation and sustainability: an initial framework
Authors
Mrs. Murielle Francillette - ESSCA School of Management
Mrs. Murielle Francillette - ESSCA School of Management
Dr. Katia picaud bello - ESSCA School of Management
Dr. Volker Koch - Gra
Prof. Holger Schiele - University of Twente
Abstract
This paper provides a theoretical framework of specific PSM competences needed for innovation and sustainability. The sources of the framework are academic literature reviews and analysis of practice-oriented sources such as job advertisements for PSM, sustainability manager positions, innovation managers and a combination of sustainability purchasing and innovation purchasing. Findings indicate the two streams are running in parallel. We contribute to the literature by opening the so far black box "innovation purchaser" and "sustainability purchaser", identifying a dozen of special skills needed for each. We also provide insights to merge the two roles and enable a fulfilment of the Porter-hypothesis.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Sustainability, Other
Purchasing in the area of Innovation and Sustainability: A Study into Current and Future Competences
Authors
Dr. Volker Koch - Graz University of Technology
Mr. Klaas Stek - University of Twente
Dr. Katia picaud bello - ESSCA School of Management
Abstract
This research aims to find current and future competences for purchasing professionals in the area of sustainability and innovation. Quantitative and qualitative methods were used: a survey and expert discussions. The survey participants rated their current innovation sourcing and sustainability competence levels. The expert discussions focused on future competences. In both studies common grounds were found (e.g. legal, innovation and sustainability knowledge; interpersonal skills and creativity.) whereas the expert discussions newly identified "out of the box thinking for radical innovation", "startup management" and "self-development" competences. It is essential that purchasers open up themselves and think different for change to come.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Sustainability
Recontextualizing information sharing in supply chains 4.0: evidence from the European automotive industry
Authors
Mrs. Giovanna Culot - University of Udine
Dr. Guido Orzes - Free University of Bozen-Bolzano
IPSERA 2021 Conference Abstracts
Prof. Marco Sartor - University of Udine
Prof. Guido Nassimbeni - University of Udine
Abstract
Information sharing has a long-lived history in supply chain management research. Despite the promise of tangible benefits, previous studies have raised doubts about its real practice. Over the last few years, digital technologies have increased dramatically the opportunities for data generation, storage, analysis and access. Few studies have investigated whether these opportunities relate to a new stance on information sharing. This paper develops a case study analysis within automotive extended supply chains. Results show that – alongside already theorized dynamics – new trends can be seen at the horizon requiring scholars to rethink some assumptions underpinning existing frameworks.
Track
Working Papers
Topic Areas
Technology and Digitalization, Transparency, Traceability, Visibility
Resilience through supply ecosystems
Authors
Mr. Christopher Münch - Friedrich Alexander Universität
Mr. Emanuel Marx - Friedrich Alexander Universität
Prof. Evi Hartmann - Friedrich Alexander Universität
Prof. Martin Matzner - Friedrich Alexander Universität
Abstract
COVID-19 is an example of supply chain disruption and illustrates how vulnerable existing supply chains are. Fundamental restructuring is necessary to ensure the robustness and resilience of supply chains in the future. The transformation of supply chains into ecosystems enables increased resilience but is associated with challenges. This working paper addresses this issue and examines the resulting challenges within a supply chain ecosystem by conducting a multiple case study. The results show that the actors' roles will change, which will lead to challenges, especially in the internal organization of the operator and the coupling to the customer.
Track
Working Papers
Topic Areas
Technology and Digitalization, Networks, Transparency, Traceability, Visibility, BuyerSupplier Relationships
Rethinking business models and CSR during a crisis: View on supply chain relationships
Authors
Dr. Anne Söderman - University of Vaasa
Dr. Päivi Jokela - University of Turku
Abstract
The study focuses on scrutinizing the interplay between business model, corporate social responsibility, and buyer-supplier relationships during a crisis. The study also aims at demonstrating how CSR is perceived in relation to the business models and risk management. Data based on interviews will be collected in SMEs in Finland, Israel, and Spain. The study contribute to theory building in both business model and CSR literature by increasing understanding about the link between them in the context of buyer-supplier relationships. Moreover, the study introduces best practices, responding to the call for conducting empirical research on CSR in the context of SMEs.
Track
Working Papers
Topic Areas
Sustainability, Networks, Buyer-Supplier Relationships
Re-thinking Desert-Locust Emergency Operations Supply-Chain In the age of worldwide pandemics
Authors
Mr. Davide Blancato - Food Agriculture Organization (FAO)
Abstract
This paper will introduce first the Desert Locust crises recurring supply-chain challenges faced by FAO. Then, it will present the specific context of the still ongoing, crisis, and how the Covid-19 Word-wide Pandemic affected the supply chain. Finally, it will explain how FAO had to adjust its initial sourcing and supply-chain strategy, developed in Jan 2020, to the new context determined by the Pandemic. This analysis will support three concrete proposals, which are the ultimate objective of this essay, for possible reinforcement of DL emergency supply-chain setup and FAO's possible future role to support governments facing new Locust crisis.
Track
Competitive Papers
Topic Areas
Sustainability, Technology and Digitalization, Projects, Public Procurement, Humanitarian
Reverse Logistics Capabilities and Supply Chain Performance in Ugandan Pharmaceutical Industry
Authors
Ms. Zam Namweseza - Abacus parenteral drugs Ltd / Kyambogo University
Dr. Charles Ndandiko - Kyambogo University
Dr. Peter Obanda - Kyambogo University
Abstract
Efficient reverse logistics in pharmaceutical industry is essential for the proper management of returns and recalls as medicines are high-value products critical to the health of consumers and protection of the environment. In this study we establish the effect of reverse logistics capabilities on supply chain performance in Uganda's pharmaceutical industry. We randomly selected pharmaceutical companies in the central region. Three capability constructs namely, information management systems, process formalization and flexibility, were established to significantly affect supply chain performance. However, hierarchical regression found no significant moderating effect of top management support between reverse logistics capabilities and supply chain performance.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Healthcare, Transparency, Traceability, Visibility, Other
RPA improves procurement process and support digital transformation
Authors
Mr. Fabio Fontes - Universität Twente
Prof. Holger Schiele - University of Twente
Abstract
The intention of this paper is to support procurement professionals on practical RPA (Robotic Process Automation) implementation and contribute further for the digital road map and applicable science for procurement. The research scope starts analysing catalogue system prices update process after negotiations and reach a future price management fully automatic scenario in a pharmaceutical company in Brazil. The main finding concentrates on RPA efficiency as an application if proper implemented and how DSR (Design Science Research) methodology can contribute to the digital transformation by addressing an opportunity or problem through artefacts generating useful guides and new scientific knowledge.
Track
Working Papers
Topic Areas
Technology and Digitalization
Self-perceived Gender Differences in Purchasing
Authors
Mr. Klaas Stek - University of Twente & Graz University of Technology
Ms. Tess Bijl - University of Twente
Dr. Aldis G. Sigurðardóttir - University of Twente
Abstract
Females account for only 12 per cent of the CPOs in Europe, which raises questions regarding gender differences and performance among purchasing and supply (chain) management (PSM) professionals. This study found that gender differences in competence levels depend on age or stage of life; no gender differences of purchasers in their twenties and fifties are found. However, in their thirties and forties, females assess
IPSERA 2021 Conference Abstracts themselves significantly lower on several competences than males. This study emphasises diversifying and nurturing the female PSM work staff to answer the "talent war", which both leads to competitive advantages.
Track
Competitive Papers
Topic Areas
Purchasing Competence
Social Accountability 8000 discontinuation and the implementation of alternative initiatives
Authors
Ms. Irene Marcuzzi - Università degli Studi di Udine
Dr. Guido Orzes - Free University of Bozen-Bolzano
Prof. Guido Nassimbeni - University of Udine
Abstract
Several initiatives exist today to aid companies in operating in a socially sustainable way and to signal this commitment to their stakeholders. Out of these, SA8000 stands
out as a global social management standard (Koster et al., 2018). Despite a forecasted certification growing trend, data reveal many certified firms are abandoning SA8000.
This aspect remains still unexplored.
This study will contribute to the existing debate by conceptually providing a theoretical advancement towards the reasons that drive companies in discontinuing SA8000, and by shifting the focus to the firms that choose not to renew their certification (Mosgaard and Kristensen, 2020).
Track
Working Papers
Topic Areas
Sustainability
Sourcing Online Review Services - Differences in Preference
Structures between Online Retailers and Traditional Companies
Authors
Prof. Tatjana König - Saarland Business School, htw saar, Saarbrücken
Ms. Nika Hein - Saarland Business School, htw saar, Saarbrücken
Ms. Vivien Nimsgern - Esch Brand Consultants
Abstract
Increasingly companies are challenged by complex sourcing decisions. This paper focuses on the value exchange between suppliers and companies sourcing online review services. Conjoint analysis is used to measure preference structures for these services in two company surveys (n1 = 135 online retailers, n2=115 traditional companies). Results show that price is the most, and communication channels the second most important criterion in both segments. Value contributions differ significantly for individual channels and for individual suppliers. Service providers in this field need to know the preference structures of different customer segments in order to design and price their offers accordingly.
Track
Competitive Papers
Topic Areas
Sustainability, Services, Buyer-Supplier Relationships
Strategic Cost Management from a Purchasing Perspective: Development of a conceptual research framework
Authors
Mr. Moritz Brandstetter - Procurement Working Group, Bundeswehr University Munich
Prof. Christian von Deimling - Universität der Bundeswehr München
Prof. Michael Essig - Universität der Bundeswehr München
Abstract
This paper explores strategic cost management from a purchasing and supply management perspective. The supply side of any organization is gaining increasing attention as companies focus on their core competencies and see potential in outsourcing goods and services. Hence there is a need to assess, plan, and control the down-stream part. A problematizing literature indicates weaknesses on the conceptual stage and a lack of holistic research. A conceptual research framework is proposed, and the paper offers first empirical evidence from two research streams for the presumed linkage between strategic cost management and purchasing and supply management.
Track
Working Papers
Topic Areas
Supply Chain Finance, Purchasing Competence, Networks, Transparency, Traceability, Visibility
Strategy of supply chain finance selection for working capital optimization
Authors
Ms. Anastasiia Ivakina - Graduate School of Management
Prof. Nikolay Zenkevich - Graduate School of Management
Ms. Yana Kuzmina - Graduate School of Management
Abstract
The study addresses the problem of companies facing the critical need for liquidity and profitability improvement by developing models and algorithms for joint working capital management (WCM) through supply chain finance (SCF) instruments selection and further adoption for the case of the three-stage supply chain. Firstly, a sequential application of models provides optimal working capital levels for minimal total SC financial costs on working capital under the specific constraints, including liquidityprofitability tradeoff and individual costs on working capital maintenance. Secondly, it clearly identifies ways to achieve minimal total SC costs on working capital and higher liquidity.
Track
Competitive Papers
Topic Areas
Supply Chain Finance, Buyer-Supplier Relationships
Supplier Diversity in Brazilian Firms
Authors
Prof. Priscila Miguel - FGV-EAESP
Prof. Maria José Tonelli - FGV EAESP
Prof. Cristiane Biazzin - Northern Kentucky University
Ms. Vittoria Loviscek - FGV EAESP
Abstract
This paper aims to empirically investigate how buying companies in Brazil are implementing volunteered supplier diversity program. This study identified enablers and barriers for such initiatives based on interviews with buyers, suppliers, and thirdparty organizations based on interviews with companies' representatives, minorities suppliers and NGOs. Among others, our findings provide evidence that while an organizational culture of diversity and customer-focus motivate organizations, the barriers are mostly related to buyers' profile, lack of a clear guideline, lack of qualified minority suppliers and prejudice.
Track
Competitive Papers
Topic Areas
Sustainability
Supplier Performance Measurement for Embedded Software
Projects in Automotive Industry: Developing a conceptual research framework.
Authors
Mrs. Maria Hannewald - Universität der Bundeswehr München
Prof. Christian von Deimling - Universität der Bundeswehr München
Prof. Michael Essig - Universität der Bundeswehr München
Abstract
In today's cars, software runs engines, controls safety features, entertains passengers and connects each car to mobile and GPS networks. The employed software is the result of complex software development projects that are often realized by a multitude of software supplier networks. In order to secure the success of those software development projects, it seems necessary for OEMs to not only exercise a dyadic supplier performance measurement but to extend it to a supplier network level. Against this background, a conceptual research framework is developed to systematize the research field of supplier (network) performance measurement for embedded software development projects.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Networks, Buyer-Supplier Relationships
Supplier selection with a "lottery" component - Empirical analyses of rank reversal
Authors
Mr. Gijsbert Engh - University of Twente
Mr. Yoran Nijenhuis - University of Twente
Prof. Fredo Schotanus - Utrecht University
Prof. Jan Telgen - University of Twente
Abstract
Relative scoring methods are often used in supplier selection models. A disadvantage of relative methods is the possibility of rank reversal: a changed order in supplier
ranking after removal or entrance of another bid. We show how often this can occur based on a large dataset. After adding fictional losing bids, in 1 out of 5 tenders rank
reversal occurs. In simulations without adding bids, for curved relative methods rank reversal can occur in 1 out of 7 to 1 out of 25 tenders in common circumstances. We
argue that such methods should not be used in public procurement.
Track
Competitive Papers
Topic Areas
Public Procurement, Other
Suppliers' Roles in Sustainability in Early Product Development Phases
Authors
Mr. Benjamin Groeneveld - University of Twente
Ms. Shantal Kartoidjojo - University of Twente
Ms. Paulien Kuiper - University of Twente
Mr. Dolf Reineman - University of Twente
Mr. Klaas Stek - University of Twente
Abstract
Firms depend on suppliers in early product development phases regarding sustainability. Governments introduce due diligence requirements legislation; firms are held accountable for violations by upstream suppliers. This study identifies five supplier roles in early product development phases in sustainability: the suppliers' role as a 1) knowledge source, 2) co-creator, 3) innovator, 4) moderator, and 5) disseminator. Traditionally, suppliers provide knowledge by supplying sustainabilityoriented innovative solutions or co-creators to co-develop new green products. Relatively new are overarching moderating roles when contributing to environmental practices and performance and the disseminator role in which the supplier communicates the focal firm's sustainability standards upstream.
Track
Competitive Papers
Topic Areas
Sustainability, Buyer-Supplier Relationships
Supplier willingness to engage in outcome-based contracts in a multi-party setting
Authors
Mrs. Anna Nikulina - Rotterdam School of Management, Erasmus University
Prof. Finn Wynstra - Rotterdam School of Management, Erasmus University
Abstract
Performance-based contracts (PBC) research accumulated substantial knowledge on reward design and ways to reduce outcome uncertainty. However, it primarily looks at buyer-supplier dyads, while suppliers often depend on their sub-suppliers for outcome creation. Through a comparative case study, we identify how PBCs can be designed in a multi-party setting in such a way that (sub)suppliers are motivated to accept the contract, despite low outcome attributability and high financial risks. We find that both contractual and relational governance affect supplier motivation. Our study adds to the knowledge on PBC in multi-party settings, and to the more fine-grained understanding of relational governance.
Track
Competitive Papers
Topic Areas
Networks, Projects, Buyer-Supplier Relationships, Other
Supply base taxonomy: A geographical analysis in the textile-fashion industry
Authors
Dr. Albachiara Boffelli - University of Bergamo
Mr. Sebastian Birolini - University of Bergamo
Dr. Mattia Cattaneo - University of Bergamo
Prof. Matteo Kalchschmidt - University of Bergamo
Abstract
In the last decades, industries have been characterized by a growing supply chain expansion towards international locations. Among others, the textile-fashion industry has been increasingly characterized by a global presence, with multinational companies acting as focal firms. In this study, we aim to investigate whether the geographical distribution of the supply base can play a crucial role in ensuring firms a competitive advantage within today dynamic and globalized markets. By analysing the supply base of 50 focal firms in the textile-fashion industry, we find two archetypes of supply base and link them with end-market characteristics and performance results.
Track
Working Papers
Topic Areas
Networks, Transparency, Traceability, Visibility
Supply Chain Finance: delivering on its promises? A post-adoption supplier perspective
Authors
Mr. Christiaan de Goeij - Windesheim University of Applied Sciences
Dr. Luca Mattia Gelsomino - Windesheim University of Applied Sciences
Prof. Federico Caniato - Politecnico di Milano
Mrs. Antonella Moretto - Politecnico di Milano
Dr. Michiel Steeman - Windesheim University of Applied Sciences
Abstract
In Supply Chain Finance (SCF) literature there is a knowledge gap on post-adoption research. In this study, we do stage research wherein we use data from both before and after adoption to explore how the adoption process of Reverse Factoring (RF) for suppliers is guided and affected by changes in relevant variables over time. Grounding on Innovation Diffusion Theory (IDT) and SCF literature, this study proposes a novel research model for assessing the advantages and disadvantages of RF for suppliers. Our results show clear differences in perceived benefits of RF for suppliers before and after the adoption.
Track
Working Papers
Topic Areas
Supply Chain Finance, Sustainability, Technology and Digitalization, Transparency, Traceability, Visibility, Buyer-Supplier Relationships
Supply chain finance: how do supply chain strategies perform in mitigating supply chain disruption and commodity price volatility risks?
Authors
Dr. Roberta Pellegrino - Politecnico di Bari
Abstract
Although growing interest in Supply Chain Finance (SCF), it remains an understudied topic in the field of operations and supply chain management. We adopt the supply chain-oriented perspective to investigate how operations and supply chain management decisions, particularly sourcing decisions such as multiple sourcing, may help firms in dealing with two major challenges of SCF, supply chain disruptions and commodity price volatility (CPV). We develop a model that combines a novel problem setting to holistically investigate the effect of multiple sourcing under supply disruptions and price volatility.
Track
Competitive Papers
Topic Areas
Supply Chain Finance, Other
Supply chain management & COVID-19
Authors
Prof. Karine Doan - Institut du Management des villes et du territoire, Haute école de gestion Arc
Mr. Mathias Rota - Institut du Management des villes et du territoire, Haute école de gestion Arc
Abstract
The measures put in place in Switzerland and around the world to limit the spread of COVID-19 have profoundly affected supply chains, which have been expanding globally since the 1980s. This unprecedented disruption has exposed the many flaws in today's supply chains. Based on a survey submitted to Swiss SMEs and semi-directive interviews, this exploratory study highlights that vulnerabilities lie primarily in forecasting, volatile customer demands and dependency on suppliers. To overcome this situation, the most efficient measures taken by companies is to strengthen collaboration with stakeholders, increase visibility of the supply chain and build up safety stocks.
Track
Competitive Papers
Topic Areas
Other
Supply Chain Resilience during the COVID-19 Pandemic: Learnings from a Multiple Case Study Design
Authors
Mr. Alexander Spieske - Friedrich-Alexander University Erlangen-Nuremberg
Mr. Maximilian Gebhardt - Friedrich-Alexander University Erlangen-Nuremberg
Mr. Matthias Kopyto - Friedrich-Alexander University Erlangen-Nuremberg
Dr. Hendrik Birkel - Friedrich-Alexander University Erlangen-Nuremberg
Abstract
The COVID-19 pandemic revealed important gaps in companies' risk management and scholars' previous contributions to supply chain resilience literature. We present empirical evidence from a multiple case study design to identify specific supply chain challenges caused by a pandemic and potential mitigation measures. Based on a new supply chain resilience framework, we analyze companies' challenges, countermeasures, and resilience objectives during the COVID-19 pandemic. Furthermore, we perform a cross-case analysis and develop insights on steering supply chains successfully through a pandemic. Our findings reveal that strengthening the existing supply base and leveraging digital technologies are promising mitigation measures in a pandemic.
Track
Working Papers
Topic Areas
Technology and Digitalization, Transparency, Traceability, Visibility
Supply chains must evolve into supply chain ecosystems: why, and lessons from the COVID-19 pandemic
Authors
Dr. Godfrey Mugurusi - Department of Industrial Economics & technology management in Gjøvik, Norwegian University of Science and Technology.
Abstract
This paper builds further on the theses of Ketchen Jr et al, (2014) and Millar (2015) that the linearity of term supply chain (SC) omits the nature of complexity many firms face today. In this paper I advance the idea that viewing SCs as ecosystems offers a much better perspective to problems that the SC view has failed to solve over the years. I draw lessons from the COVID-19 pandemic to advance that the SC ecosystems view offers a platform for SC actors to easily collaborate, share resources "equally", and scale up/down their assets which speeds decision-making in SC networks.
Track
Working Papers
Topic Areas
Networks, Transparency, Traceability, Visibility, Buyer-Supplier Relationships
Supply chain traceability systems as a governance mechanism to combat agency problems
Authors
Mr. Rob Glew - University of Cambridge
Dr. Ala Arvidsson - Chalmers University of Technology
Abstract
This paper focuses on the role of 'supply chain traceability system's (SCTS) as a governance mechanism to deal with supplier opportunism and information asymmetry upstream of the supply chains. Building on the tenants of Agency Theory, and the potential generated from the advances in digital technologies, we develop a framework discussing how SCTS can contribute to supply chain relationship governance. Our framework articulates which SCTS design dimensions are best suited to govern relationships in a given supply chain and, and in doing so, provides a general toolbox for practitioners to design SCTSs.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Transparency, Traceability, Visibility, Buyer-Supplier Relationships
Supply Chain Transparency, Visibility & Traceability
Authors
Mr. Raghu K - Working Professional (Project Sourcing Buyer);Under Graduate Student of Mechanical Engineering, Vidya Vikas Institute of Engineering and Technology, Mysore.
Mr. Anil Kumar - Working Professional (Project Sourcing Buyer)
Mr. Satish M - Working Professional (Lead Sourcing Specialist); Under Graduate Student at Visvesvaraya College of Engineering
Abstract
The ambition of this paper focuses on mapping the whole supply chain and to upkeep the growing markets, companies to have their supply chain process agile, effective and efficient. To undertake this companies need the product's records and their historical information throughout the supply chain process. An automatic traceability system allows them to track the location of product in downstream and trace the processing history and other treatment of the product in upstream. But the major challenge is that the companies don't want to share the information globally. Our study examines the literatures about traceability system in supply chain process.
Track
Working Papers
Topic Areas
Transparency, Traceability, Visibility
Sustainable Supply Chain Management in Luxury Brand Conglomerates: Window Dress to Impress?
Authors
Dr. Wim Lambrechts - Open Universiteit
Dr. Kim Janssens - Open Universiteit
Dr. Pınar Özuyar - Istinye University
Mr. Jason Mandels - Open Universiteit
Abstract
Consumers have become increasingly aware of unethical and unsustainable conditions in globalized supply chains. The Rana Plaza factory collapse in 2013 led to public outrage, and however mainly associated with the fast fashion industry, luxury brands were also accused of unethical sourcing practices. Through a qualitative thematic analysis, this study focuses on how luxury brand conglomerates recontextualize sustainability in their supply chain to fit their (luxury) narrative. It was found that they frame the concept of sustainability to match their narrative, however, it was decoupled from luxury value. Furthermore, in recontextualizing sustainability, issues of ethical sourcing and responsibility are ignored.
Track
Competitive Papers
Topic Areas
Sustainability
Sustainability and buyer-supplier relationships – in search of a novel perspective
Authors
Mr. Sepehr Ebrahimian Amiri - Tampere University
Prof. Jussi Heikkilä - Tampere University
Abstract
The objective of this paper is to investigate the recent literature on the intersection of buyer-supplier relationships and sustainability and identify underexplored research questions and a novel perspective on the topic. To start, a literature review is conducted on the relevant body of knowledge. Based on the initial review, it is concluded that a promising avenue exists to advance the knowledge on the topic with several gaps and research questions requiring further investigation.[JH(1] In particular, the study of social sustainability through the management of buyer-supplier relationships is emphasized as an underexplored potential research avenue.
Track
Working Papers
Topic Areas
Sustainability, Buyer-Supplier Relationships
Taking disruptions personal: The effects of personality factors on supply chain disruptions and resilience
Authors
Mr. Sebastian Gehrlein - University of Mannheim
Prof. Christoph Bode - University of Mannheim
Abstract
Individuals and the role of their personality have received scant attention in research on supply chain disruptions and resilience. This study seeks to address this issue. To this end, we review the basic concepts of the supply chain disruption and resilience literature, as well as of the personality-related literature and then develop hypotheses that predict the effects of different personality traits on supply chain resilience of immediate business environments of individuals. These predictions will be tested using survey data collected among supply chain managers. In a subsequent experimental study, we scrutinize underlying reasons and mechanisms of such potential differences.
Track
Working Papers
Topic Areas
Purchasing Competence, Buyer-Supplier Relationships, Other
The Caiman management in the Cuniã Lake Extractive Reserve: A Community of Practice lens
Authors
Ms. Cassia Yamanaka - Federal University of Rondônia
Dr. Mariluce Paes de Souza - Federal University of Rondônia
Dr. Leonardo Marques - COPPEAD Graduate School of Business
Abstract
The study of sustainable supply in indigenous populations is scant in our literature. The management of alligators, in specific Caiman crocodylus and Melanosuchus niger, carried out in the Cuniã Lake Extractive Reserve has been implemented based on communal development of knowledge. Our study characterizes such development through a Community of Practice (CoP) lens. The case shows that learning through collective culminated in economic development and safety for the residents, in addition to recognition regarding quality of caiman meat produced. Results show a
CoP as a driver of sustainable supply based on Amazonian natural resources and valuing collective learning.
Track
Competitive Papers
Topic Areas
Sustainability
The digitalisation of purchasing - An empirical analysis on the impact of new technologies on organization
Authors
Dr. Jacopo Colombo - University of Bergamo
Prof. Hervé Legenvre - THE EUROPEAN INSTITUTE OF PURCHASING MANAGEMENT
Prof. Matteo Kalchschmidt - University of Bergamo
Dr. Albachiara Boffelli - University of Bergamo
Dr. Lucia Monzio Compagnoni - University of Bergamo
Abstract
The study aims to analyse the impact of digitalization on purchasing. Starting from a preliminary analysis of activities and data characterizing the purchasing process developed by the research team, a multiple-case study approach is adopted to explore the impacts of digitalization on purchasing. The results show an organizational evolution at macro-, in terms of role within the organization, but also at micro-level, in terms of impact on people. The research thus contributes to add relevance to the socio-technical perspective, already adopted to study the technological and organizational evolution induced by the introduction of new Industry 4.0 technologies.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Technology and Digitalization, Buyer-Supplier Relationships
The Financial Performance of Backshoring Firms: The Impact of
Innovation
Authors
Prof. Alessandro Ancarani - Università di Catania
Dr. Carmela Di Mauro - Università di Catania
Abstract
This study investigates the link between backshoring motivated by product and process innovation and firms’ post-backshoring short-term profitability. Findings offer
evidence of a positive link between product innovation and profitability, therefore providing support for the contention that backshoring is an appropriate location
strategy if motivated by the need to shorten the geographical distance between production and development.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Public Procurement
The Human Aspect in Purchasing and Supply Management - Traits as a Proxy for Personal Skills Development
Authors
Mr. Klaas Stek - University of Twente
Dr. Desirée van Dun - Twente
Mr. Rafal Wisniewski - University of Twente
Abstract
Personal skills are gaining importance in the Purchasing and Supply Management (PSM) discipline. A systematic literature review is performed to determine which personal skills are highly evaluated. Based on the PSM skills cross-sectional survey sample, ANOVA competencies are identified that do not develop over time. Three survey items are regarded as personal traits: willingness to learn, holistic thinking and empathy. Finally, a polynomial regression with response surface analysis is applied. The results identify these personal traits as predicting variables for developing personal PSM competency. These three personality traits serve as a proxy for further development of personal skills over time.
Track
Competitive Papers
Topic Areas
Purchasing Competence
The impact of Additive Manufacturing on Supply Chain design, strategy and performance: a systematic literature review
Authors
Mr. Alessio Ronchini - Politecnico di Milano
Prof. Kai Foerstl - EBS Business School
Mrs. Antonella Moretto - Politecnico di Milano
Prof. Federico Caniato - Politecnico di Milano
Abstract
The potentials of additive manufacturing (AM) for supply chain management (SCM) have been studied for more than three decades now. With this paper we are taking
IPSERA 2021 Conference Abstracts stock of the academic literature at the interface of AM and SCM based on a systematic literature review. We developed a framework covering drivers and barriers of AM adoption, contingency factors, AM effects on SC design, strategy and performance. As a result, we synthesize the main literature streams and contributions in the field and set future research directions that need to be investigated to cover the relevant knowledge gaps that still remain today.
Track
Competitive Papers
Topic Areas
Technology and Digitalization, Other
The impact of Artificial Intelligence on the Procurement process:
exploring the state of the art and setting the research agenda
Authors
Ms. Michela Guida - Politecnico di Milano
Mrs. Antonella Moretto - Politecnico di Milano
Prof. Federico Caniato - Politecnico di Milano
Abstract
The presented research is an exploratory study of the impact of Artificial Intelligence in the procurement process, conducted on the basis of a mixed methodology. Through
a narrative and bibliometric literature review and the analysis of primary and secondary data, the current situation about Artificial Intelligence in procurement and the
identification of potential future developments are presented.
Track
Competitive Papers
Topic Areas
Technology and Digitalization
The impact of Blockchain Technology in Sustainable Supply Chains
Authors
Mr. Asterios Stroumpoulis - University of Piraeus
Dr. Evangelia Kopanaki - University of Piraeus
Abstract
Sustainability, Blockchain Technology (BT) and Sustainable Supply Chain Management
(SSCM) are the main study areas of this research. In an era where environmental and social responsibility is increasingly more important, Sustainable SCM is very significant
for the survivability and competitiveness of organizations. Blockchain Technology may facilitate sustainable practices, as they support supply chain processes, decrease costs
and enable control and monitoring of operations. The aim of this research is to clarify the meaning of Blockchain Technology and Sustainable Supply Chain Management
and examine the impacts of BT in SSCM.
Track
Working Papers
Topic Areas
Sustainability, Technology and Digitalization, Transparency, Traceability, Visibility
The impact of ISO certification awareness on purchase intention –
the mediating role of perceived quality, brand image and customer satisfaction
Authors
Dr. Jos Schijns - Open University of the Netherlands
Ms. Lotte van Ekert - Archipel Zorggroep
Dr. Cees J. Gelderman - Open University of the Netherlands
Dr. Wim Lambrechts - Open Universiteit
Abstract
ISO certification is widely accepted as a standard for quality assurance. Research suggests that customers' level of ISO certification awareness is positively related to perceived product quality, but literature is inconclusive about the effects on customer satisfaction, brand image and purchase intention. We developed and tested a model with survey data from 114 managers in the electronic component industry. Although ISO certification awareness positively affects brand image, we found no direct effect on customer satisfaction. The results emphasize the mediating effects of ISO certification awareness through product quality. Improving perceived product quality positively impacts customer satisfaction and purchase intention.
Track
Competitive Papers
Topic Areas
Buyer-Supplier Relationships
Theory of Agency in Supply Chain Finance: Taking a Hermeneutics Approach
Authors
Dr. Luca Mattia Gelsomino - Windesheim University of Applied Sciences
Dr. Rob Dekkers - University of Glagow
Dr. Ronald de Boer - Windesheim University of Applied Sciences
Mr. Christiaan de Goeij - Windesheim University
Dr. Michiel Steeman - Windesheim University of Applied Sciences
Dr. Qijun Zhou - University of Glagow
Abstract
This article investigates theory of agency as a theoretical underpinning in the field of supply chain finance. Specifically, through a hermeneutic approach, the authors examine the development of the theory, its postulations and assumptions, and its use in the field of supply chain finance. This leads to three conclusions: the theory is currently adopted rather superficially; there is potential for further developments by investigating non-standard configurations; and there is an increasingly relevant set of articles in supply chain finance that seems to be positioned within the boundaries of the theory of agency but makes no mention of it.
Track
Working Papers
Topic Areas
Supply Chain Finance
The role of knowledge conversion in developing operational capabilities
in purchasing
and supply
management:
An organisational routines perspective
Authors
Dr. Stephen Kelly - Edge Hill University
Prof. Lydia Bals - Mainz University of Applied Sciences
Mr. Klaas Stek - University of Twente
Dr. Heike Schulze - Mainz University of Applied Sciences
Abstract
The extant capabilities literature has mainly focused on identifying specific types of capabilities or showing how they impact organisational performance, but there is less coverage of how they are actually developed. Using qualitative interview data from 38 practitioners, applying the concept of organisational routines and the SocialisationExternalisation-Combination-Internationalisation model of knowledge conversion in a Purchasing and Supply Management (PSM) setting contributes to our understanding of operational capabilities development. We also provide an intra-organisational perspective that complements the traditional PSM focus on inter-organisational
IPSERA 2021 Conference Abstracts interaction and generate practice improvements by identifying relevant barriers at different stages of the knowledge conversion process.
Track
Competitive Papers
Topic Areas
Purchasing Competence
Toward economic and social viability of supply chains in poverty settings: A relational view on the role of intermediaries
Authors
Prof. Eugenia Rosca - Tilburg University
Dr. Wendy Tate - University of Tennessee
Ms. Feigao Huang - University of Tennessee
Prof. Lydia Bals - Mainz University of Applied Sciences
Abstract
In Base of the Pyramid (BOP) settings there can be institutional voids. Data was collected via expert interviews and field visits with multiple intermediaries and focal firms operating in BOP settings to understand how intermediaries can serve as instruments of public policy and influence the adoption of sustainability issues in global supply chains. Drawing on the relational view, the findings suggest that strong ties with public, private and hybrid intermediaries can enable BOP businesses to achieve economic and social viability through: formalization, legitimacy for vulnerable stakeholders, social capital development, and acquisition of complementary resources through the extended network of intermediaries.
Track
Competitive Papers
Topic Areas
Sustainability
Transformation towards PBC: Implementation of a new supplier management
Authors
Ms. Cornelia Molitoris - Universität der Bundeswehr München
Dr. Andreas Glas - Bundeswehr University Munich
Prof. Michael Essig - Universität der Bundeswehr München
Abstract
Previous research on Performance-based Contracting (PBC) examined the content and strategic aspects of PBC or focused on the effects of PBC usage. Surprisingly few contributions address the implementation process of PBC. This is the starting point of this paper which explores how supplier management transforms towards PBC, building on a literature review of a convenience sample of sources. The findings show that PBC research addressed implementation issues, but the stock of knowledge is heterogenous referring to the implementation understanding, dynamics, process and content. This points to the major proposition for future research to analyze PBC following a holistic implementation framework.
Track
Working Papers
Topic Areas
Public Procurement
Two purchasing strategies during the COV 19 Crisis
Authors
Mr. Mickaël CITA - UNIVERSITE DES ANTILLES
Abstract
Firstly, we set a reminder of the ways in which crises have made it possible to highlight different interests and practices of the purchasing function.
Next, we will see how in France there have been two reactions to Covid-19 : the first one from the French government regarding the purchase of masks, and the second, from CNA members.
The first strategie will be analysed in the light of the press to highlight some of the mistakes that have been made.The second one, we use the CNA forum to see how the
buyers create a network to better respond to difficulties.
Track
Working Papers
Topic Areas
Purchasing Competence, Networks, Public Procurement, Buyer-Supplier Relationships
Understanding Scope Three Emissions in the Supply Chain
Authors
Dr. Lance Saunders - University of T
Dr. Lisa Ellram - Miami University
Dr. Wendy Tate - University of Tennessee
Abstract
This research investigates scope three emissions by companies. Scope three emissions represent all emissions generated by outsourced transportation, manufacturing and
service production of suppliers, employee commuting and travel, and customer use and disposal of products. The purchasing function has an inordinate impact on these emissions, as they are all emissions in a company's supply chain not financially owned by the firm. Because this category is so large and complex, it has been understudied in the literature, and companies are just beginning to address most scope three emissions. Given the importance of climate change, this is a timely topic for study.
Track
Working Papers
Topic Areas
Sustainability, Transparency, Traceability, Visibility
Valuing life: A pilot experiment on medical device purchasing
Authors
Dr. Juri Matinheikki - Aalto University
Prof. Katri Kauppi - Aalto University
Ms. Katie Kenny - Aalto University
Prof. Erik van Raaij - Erasmus University
Prof. Alistair Brandon-Jones - University of Bath
Abstract
Value-based procurement (VBP) involve the selection of medical devices based on health outcomes and not simply purchasing price. Whilst VBP has strong intuitive appeal, its application remains sparse which may result from poorly aligned incentives, lack of trust, and limited clinical evidence, all distorting purchasing managers' decision-making. This paper describes a vignette-based scenario experiment designed to test the effects of such barriers and reports results of a pilot study (n=64). Preliminary results indicate that cost saving incentives may prevent decision-makers from opting for value-adding devices and that risk sharing and clinical evidence can only partly offset this negative effect.
Track
Working Papers
Topic Areas
Healthcare, Public Procurement, Buyer-Supplier Relationships
What is the right supply chain for your project? An empirical exploration of the link between environmental uncertainty and
innovation project management strategies
Authors
Dr. Andrea Patrucco - Florida International University - College of Business
Dr. Federica Ciccullo - Politecnico di Milano
Dr. Kostas Selviaridis - Lancaster University Management School
Abstract
Innovation projects are more and more characterized by internal and external collaboration. In this sense, supply chain integration choices are key for successful project management. With the development of project management methods other than stage-gate, such as agile, opportunities for collaboration and integration have also evolved. By collecting data from multiple informants in ten focal companies in their supply chains, this paper explores the characteristics of innovation project management strategies – i.e., the combination of supply chain integration decisions and project management method – by elaborating four propositions adopting the lens of the contingency theory.
Track
Working Papers
Topic Areas
Networks, Projects
What is value in public procurement?
Authors
Ms. Iryna Maliatsina - LUT University
Dr. Elina Karttunen - LUT University
Prof. Aki Jääskeläinen - Tampere University
Prof. Katrina Lintukangas - LUT University
Prof. Anni-Kaisa Kähkönen - LUT University
Prof. Jussi Heikkilä - Tampere University
Abstract
Despite the significant body of research on the benefits of public procurement, the subject of multidimensional public procurement value has received no explicit research attention. The purpose of this paper is to fill the gap by analyzing the value components and means of value creation developed through public procurement activities. We conduct a systematic literature review during which we analyze 120 research papers to organize existing insights and knowledge on value offered through public procurement. We propose a theoretical framework that can serve as a conceptual basis for understanding the multidimensional nature of public procurement value creation.
Track
Competitive Papers
Topic Areas
Purchasing Competence, Technology and Digitalization, Networks, Public Procurement
Who develops the suppliers? The role of third parties in bringing about supplier development.
Authors
Mr. Leandro dos Santos - Norwegian University of Science and Technology, Trondheim, Norway
Prof. Elsebeth Holmen - Norwegian University of Science and Technology, Trondheim, Norway
Prof. Ann-Charlott Pedersen - Norwegian University of Science and Technology, Trondheim, Norway
Abstract
Third parties are often involved in supplier development. However, their involvement has received little explicit attention in the literature. In a systematic review, we analyze and conceptualize third party involvement in supplier development. We find that third parties are primarily other buyers, complementary suppliers, government organizations, NGOs, and consultancy companies. We outline six different manners in which third parties can be involved in supplier development. Finally, we suggest four reasons why third party's involvement in supplier development is beneficial.
Track
Competitive Papers
Topic Areas
Sustainability, Networks, Buyer-Supplier Relationships, Other
Published by:
Postbus 217
International Purchasing and Supplier Education and Research Association (IPSERA)
Hallenweg 17
The Netherlands
7522 NH Enschede
ISSN 2772-4379
|
The Black Skimmer Sea Kayak
Designed by Duane Strosaker
Model Name
The Black Skimmer is named after the seabird that gracefully flies low over the water at night, skimming its lower beak along the surface to catch fish.
Design
The Black Skimmer is a low volume sea kayak designed to paddle fast and roll easy. The narrow, flared, and V hull, with moderately raked stems, glides efficiently through the water. With moderate rocker, more fore and less aft, the design behaves well and is a pleasure to paddle in calm and rough conditions. The unique "humpdeck" allows the feet to be vertical and together against a bulkhead footrest for better forward stroke posture, technique, and power. The low back deck makes rolling easy.
Dimensions
- Length: 18 feet, 6 inches (with the tips untrimmed)
- Width: 19 inches
- Cockpit depth: 8 3/4 inches in front and 6 inches in back (add 1 inch for coaming height)
- Foot area depth: 10 inches
- Recommended paddler size: up to 6 feet tall and 175 pounds. 165 pounds is ideal. If you can't fit into 32 inch wide pants, forget about it.
The hull with the bow in the foreground.
Building the Black Skimmer
The instructions for building the Black Skimmer are online at the link below. You may use the instructions to build your own kayak for non-commercial purposes.
Building the Black Skimmer
by Duane Strosaker
Special Note
These building instructions are intended for people who:
1. Read and studied The New Kayak Shop by Chris Kulczycki and The Strip-Built Sea Kayak by Nick Schade.
2. Read and studied the user manual for the brand of epoxy being used.
3. Agree to build and paddle the Black Skimmer at their own risk.
You may use these instructions to build your own kayak for non-commercial purposes.
Rough Cutting the Panels
Cut from 4 sheets of 8 foot by 4 foot marine grade 4 mm Okoume plywood:
1. 10 pieces that are 9 inches wide and 8 feet (sheet length) long. Cut 2 of these pieces into 4 pieces 3 feet long. These pieces are for the bottom and side panels that form the hull.
2. 2 pieces that are 20 inches wide and 8 feet (sheet length) long. These pieces are the stern and center sections of the deck.
3. 1 piece that is 12 inches wide and 4 feet long. This piece is the bow section of deck.
4. 2 pieces that are 8 inches wide and 6 feet long. These pieces are the side sections of the deck.
Joining the Rough Panels
Use scarf joints to join the rough hull panels and butt joints to join the rough deck panels. Scarf joints in the hull panels allow them to be stacked with the insides of the pairs facing each other during cutting and planing, resulting in more uniform and fair lines during stitching. The more easily made butt joints are fine for joining the rough deck panels.
1. For each of the 4 hull panels (2 bottom and 2 side), join 2 of the 9 inch by 8 foot pieces and one of the 9 inch by 3 foot pieces end to end. Arrange the pieces anyway you like.
2. For the deck join the 2 pieces that are 20 inches wide by 8 feet long for the stern and center sections of the deck and the 12 inch wide by 4 foot long piece for the bow. The 2 deck side panels that are 8 inches wide and 6 feet long will be attached later.
Lofting the panels
The lofting numbers for the panels are easy to understand. From a starting point on a panel, the numbers tell you how far to go to the right along a straight line, and then from there, how far to go up or down for each point. For example, one of the lines for lofting the bottom hull panels reads, "At 5 feet to the right the keel is up 1/16 inches and the chine is up 5 27/32 inches." Only loft on one of each of the bottom and side panels, because they will be stacked with the other bottom and side panels during cutting and planing to reduce the work by half.
Important! The hull panels are measured bow to stern, but the deck is measured stern to bow. Be sure to check the direction being measured, and mark the bow and stern on the panels to prevent installing them backwards.
Make sure the lines are fair, meaning the curves are smooth and without bulges or hallows. Being off by as little as 1/32 of an inch can cause a noticeably unfair line.
Try your best to keep the keel line in the bottom hull panels as accurate and fair as possible. Because the bottom panels meet at a shallow angle, any unfairness is compounded here, resulting in bulges or hollows along the keel line. It is difficult to get the keel line of the bottom hull panels perfectly fair, but don't worry, because I will tell you how to compensate for minor unfairness later.
Bottom Panels
Measure bow to stern with the keel on the bottom and the chine on top.
- At 0 feet to the right there is no keel yet and the chine starts (bow) up 2 29/32 inches. Be sure to mark this end as the bow.
- At 5 13/16 inches to the right the keel starts (bow) up 7/32 inches.
- At 1 foot to the right the keel is up 3/16 inches and the chine is up 3 3/32 inches.
- At 2 feet to the right the keel is up 5/32 inches and the chine is up 3 17/32 inches.
- At 3 feet to the right the keel is up 1/8 inches and the chine is up 4 7/32 inches.
- At 4 feet to the right the keel is up 3/32 inches and the chine is up 5 1/16 inches.
- At 5 feet to the right the keel is up 1/16 inches and the chine is up 5 27/32 inches.
- At 6 feet to the right the keel is up 1/32 inches and the chine is up 6 19/32 inches.
- At 7 feet to the right the keel is up 0 inches and the chine is up 7 5/32 inches.
- At 8 feet to the right the keel is up 0 inches and the chine is up 7 1/2 inches.
- At 9 feet to the right the keel is up 1/32 inches and the chine is up 7 21/32 inches.
- At 10 feet to the right the keel is up 1/16 inches and the chine is up 7 19/32 inches.
- At 11 feet to the right the keel is up 3/32 inches and the chine is up 7 7/32 inches.
- At 12 feet to the right the keel is up 5/32 inches and the chine is up 6 5/8 inches.
- At 13 feet to the right the keel is up 7/32 inches and the chine is up 5 25/32 inches.
- At 14 feet to the right the keel is up 9/32 inches and the chine is up 4 7/8 inches.
- At 15 feet to the right the keel is up 5/16 inches and the chine is up 3 29/32 inches.
- At 16 feet to the right the keel is up 7/32 inches and the chine is up 3 1/16 inches
- At 16 feet and 7 1/8 inches to the right the keel ends (stern) up 5/32 inches.
- At 16 feet and 11 1/2 inches to the right the sheer ends (stern) up 2 11/16 inches. Be sure to mark this end as the stern.
Side Panels
Measure bow to stern with the chine on the bottom and the sheer on top.
- At 0 feet to the right there is no chine yet and the sheer starts (bow) up 6 7/8 inches. Be sure to mark this end as the bow.
- At 1 foot and 5/16 inches to the right the chine starts (bow) up 11/16 inches and the sheer starts up 6 11/32 inches.
- At 2 feet to the right the chine is up 9/32 inches and the sheer is up 5 29/32inches.
- At 3 feet to the right the chine is up 3/32 inches and the sheer is up 5 9/16 inches.
- At 4 feet to the right the chine is up 0 inches and the sheer is up 5 9/32 inches.
- At 5 feet to the right the chine is up 0 inches and the sheer is up 5 7/32 inches.
- At 6 feet to the right the chine is up 1/16 inches and the sheer is up 5 7/32 inches.
- At 7 feet to the right the chine is up 3/16 inches and the sheer is up 5 1/4 inches.
- At 8 feet to the right the chine is up 9/32 inches and the sheer is up 5 1/4 inches.
- At 9 feet to the right the chine is up 11/32 inches and the sheer is up 5 1/4 inches.
- At 10 feet to the right the chine is up 3/8 inches and the sheer is up 5 1/4 inches.
- At 11 feet to the right the chine is up 5/16 inches and the sheer is up 5 7/32 inches.
- At 12 feet to the right the chine is up 9/32 inches and the sheer is up 5 5/32 inches.
- At 13 feet to the right the chine is up 7/32 inches and the sheer is up 5 1/16 inches.
- At 14 feet to the right the chine is up 1/8 inches and the sheer is up 4 31/32 inches.
- At 15 feet to the right the chine is up 3/32 inches and the sheer is up 4 15/16 inches.
- At 16 feet to the right the chine is up 0 inches and the sheer is up 4 29/32 inches.
- At 17 feet to the right the chine is up 0 inches and the sheer is up 4 15/16 inches.
- At 17 feet and 11 3/8 inches to the right the chine ends (stern) up 3/16 inches and sheer is up 5 3/16 inches.
- At 18 feet and 7 5/16 inches to the right the sheer ends (stern) up 5 13/32 inches. Be sure to mark this end as the stern.
Deck Panel
Measure stern to bow, beginning centered exactly 7 feet and 2 inches behind where the center panel meets the stern panel.
- At 0 feet to the right (stern) go up and down 0 inches. Be sure to mark this end as the stern.
- At 1 foot to the right go up and down 1 3/4 inches.
- At 2 feet to the right go up and down 3 13/32 inches.
- At 3 feet to the right go up and down 4 15/16 inches.
- At 4 feet to the right go up and down 6 5/16 inches.
- At 5 feet to the right go up and down 7 1/2 inches.
- At 6 feet to the right go up and down 8 7/16 inches.
- At 7 feet to the right go up and down 9 1/16 inches.
- At 7 feet and 7 1/4 inches go up and down 9 5/16 inches. This location forms a slight corner where the deck side panels will be attached later.
- At 8 feet to the right go up and down 9 1/4 inches.
- At 8 feet and 6 inches to the right go up and down 8 29/32 inches.
- At 9 feet to the right go up and down 8 3/16 inches.
- At 9 feet and 6 inches to the right go up and down 7 5/32 inches.
- At 10 feet to the right go up and down 5 31/32 inches.
- At 10 feet and 6 inches to the right go up and down 4 7/8 inches
- At 11 feet to the right go up and down 4 5/32 inches.
- At 11 feet and 3 inches to right go up and down 4 inches.
- At 13 feet and 6 inches to the right go up and down 4 inches, forming a straight line from the lofting point at 11 feet and 3 inches. Also, there is a second lofting point at 13 feet and 6 inches that is up and down 6 9/32 inches. This lofting point is where the deck side panels will be attached later.
- At 14 feet and 3/8 inches to the right go up and down 5 23/32 inches.
- At 15 feet and 3/8 inches to the right go up and down 4 9/16 inches.
- At 16 feet and 3/8 inches to the right go up and down 3 5/16 inches.
- At 17 feet and 3/8 inches to the right go up and down 2 inches.
- At 18 feet and 6 3/8 inches to the right go up and down 0 inches. Be sure to mark this end as the bow.
Deck Side Panels
Measure fore to aft with the shear on the bottom and the deck chine on top.
- At 0 inches to the right there is no sheer yet and the deck chine starts up 3 inches.
- At 1/8 inches to the right the sheer starts up 3/4 inches and skip the deck chine.
- At 6 inches to the right the sheer is up 5/8 inches and the deck chine is up 3 17/32 inches.
- At 1 foot to the the right the sheer is up 1/2 inches and the deck chine is up 4 3/16 inches.
- At 1 foot and 6 inches to the right the sheer is up 11/32 inches and the deck chine is up 4 31/32 inches.
- At 2 feet to the right the sheer is up 1/4 inches and the deck chine is up 5 3/4 inches.
- At 2 feet and 6 inches to the right the sheer is up 3/16 inches and the deck chine is up 6 1/8 inches.
- At 3 feet to the right the sheer is up 3/16 inches and the deck chine is up 5 13/16 inches.
- At 3 feet and 6 inches to the right the sheer is up 1/4 inches and the deck chine is up 5 5/32 inches.
- At 4 feet to the right the sheer is up 11/32 inches and the deck chine is up 4 13/32 inches.
- At 4 feet and 6 inches to the right the sheer is up 7/16 inches and the deck chine is up 3 13/32 inches.
- At 5 feet to the right the sheer is up 9/16 inches and the deck chine is up 2 3/16 inches.
- At 5 feet and 6 inches to the right the sheer is up 11/16 inches and the sheer is up 1 5/32 inches.
- At 5 feet and 9 1/4 inches to the right the sheer and deck chine come to a point up 13/16 inches.
Paddler/Cockpit Location
In the proper paddling position (sitting straight up or slightly forward), the paddler's lower back must be exactly 7 feet and 6 inches forward of the stern tip (before trimming). Any variation in the location of the paddler will alter the intended performance of the kayak. Generally, it is best to have 4 inches between the paddler's lower back and the back of the cockpit. As a result, the back of my cockpit is 7 feet and 2 inches forward of the stern, which is also where the center deck and rear deck panels meet.
Stations
Stations are absolutely necessary to help shape the hull. Using the lofting numbers, draw and cut out the stations from 1/2 inch hardwood plywood. Lofting the stations is similar to the panels, but with the stations the measuring begins at the keel, and then you are told how far to go up and to each side for the chine and sheer. When drawing the stations, be sure to number them and include a vertical center line to help with checking the alignment of the hull.
- Station #1: From the keel, the chine is up 2 9/16 inches and left and right 1 3/4 inches, and the sheer is up 7 7/8 inches and left and right 3 5/16 inches.
- Station #2: From the keel, the chine is up 2 1/8 inches and left and right 4 inches, and the sheer is up 7 inches and left and right 5 23/32 inches.
- Station #3: From the keel, the chine is up 1 11/16 inches and left and right 6 5/8 inches, and the sheer is up 6 1/4 inches and left and right 8 9/16 inches.
- Station #4: From the keel, the chine is up 1 1/2 inches and left and right 7 7/16 inches, and the sheer is up 5 15/16 inches and left and right 9 3/8 inches.
- Station #5: From the keel, the chine is up 1 5/8 inches and left and right 5 3/4 inches, and the sheer is up 6 1/8 inches and left and right 7 1/2 inches.
- Station #6: From the keel, the chine is up 2 inches and left and right 3 7/16 inches, and the sheer is up 6 5/8 inches and left and right 4 15/16 inches.
Cutting and planing the panels
Before cutting and planing the 2 side and 2 bottom hull panels, attach the pairs to each other with the insides facing each other for more uniform and fair lines during stitching. The panels can be attached with staples.
Use a jigsaw to cut just outside the lines, and then use a plane to go down to the line. Along the last 12 inches at the bow and stern tips of the deck, leave about 1/8 of an inch of extra wood around the lofted lines so that fine trimming can be done later to better match the deck to the hull.
Check the lines on panels for fairness. If they are not fair, don't be afraid to use the plane a little to make them fair.
Again, try your best to keep the keel line in the bottom hull panels as accurate and fair as possible. Because the bottom panels meet at a shallow angle, any unfairness is compounded here, resulting in bulges or hollows along the keel line. It is difficult to get the keel line of the bottom hull panels perfectly fair, but don't worry, because I will tell you how to compensate for any unfairness later.
Before detaching the pairs of bottom and side panels, drill some of the holes for the wires. Drilling the holes through the pairs will allow the holes to match evenly on each side of the stems and along the keel. Also, it is easier to drill the chine holes on the bottom panels now rather than when the hull is assembled. However, some of the drilling will have to wait until the hull is assembled. Drill the holes around the entire perimeter of the bottom panels and only along the stems of the side panels.
Detach the pairs of bottom and side panels.
Be careful moving the deck panel after cutting and planing, because the narrow center deck section could break from the weight of the wider and long bow and stern sections. Always lift or move the deck panel with support in the center and towards the ends.
After cutting and planing the deck, on the bottom of it at the 13 feet and 6 inches mark, epoxy on a 4 inch wide strip of 4mm plywood to help with attaching the deck side panels later. 2 of those 4 inches should be in front of the mark and 2 inches behind. Clean up the upward facing surface of the strip after the epoxy has cured.
Assembling the Hull
With the inside of the bottom panels facing each other and flat, use 18 gauge wire to first snugly attach the bow and stern stems. Loosely wire the keel so that there enough slack to pull the chines apart. Pull the chines of the bottom panels apart to get the approximate shape of the finished hull. Use scraps of wood to evenly support the bottom panels as necessary.
With the inside of the side panels facing each other and flat, snugly wire the bow and stern stems. Place the side panels on top of the bottom panels. Line up the bow edge of the side panels with the bow edge of the bottom panels. It is easy to mix up the bow and stern ends of the bottom panels, so check where you marked the bow and stern to make sure the bottom panels are not installed backwards. From the bow, drill holes along the chine of the side panels near the bow to match the holes already drilled along the chine of the bottom panels. As you drill a hole, wire it, alternating the sides of the hull to keep the wiring even as you go along.
Each station is installed after the chines are wired about one foot past the station location. Install the stations in their numerical order, meaning station #1 first and #6 last. From the bow of the hull, station #1 is 2 feet and 6 inches back,, station #2 is 4 feet and 6 inches back, station #3 is 7 feet and 6 inches back, station #4 is 10 feet and 6 inches back, station #5 is 13 feet and 6 inches back, and station #6 is 15 feet and 6 inches back.
The stations should fit pretty good, but if necessary, trim the sides of the stations so that they fit inside the side panels of the hull. It is better to trim more than is necessary than not enough, because not enough trimming will cause a bulge and gap at the chines. Don't make any changes to the angle of the bottom V on the stations, because the bottom panels must be pushed to match them and give the hull its intended shape.
Secure the stations in place by stapling them with a staple gun through the side panels. Make sure that the bottom panels are snug against the stations to insure that the hull will be in the proper shape. Also make sure that the center line drawn on the stations is lined up with the keel line.
At the stem of the stern, the bottom panels extend about 1/2 inch beyond the side panels. In other words, when the bottom and side panels match perfectly at the bow, the bottom panels will stick out about 1/2 inch past the side panels at the stern. The reason for the extra 1/2 each is to allow for trimming to precisely match the bottom and side panel stems at the stern.
Now is the time to trim this extra 1/2 inch off the stern end of the bottom panels. To avoid over cutting, it is better to not quite cut enough off and then file it down the rest of the way. Remove wires as necessary as you cut, and where the wires have been removed, use spring clamps to hold the bottom panel stems together. Once the trimming is complete, drill new holes and re-wire the the panels at the stem.
Now comes the most critical part of plywood kayak construction. It is extremely important to sight down the chines, and especially the keel, to make sure that the lines are fair or straight. These lines can be checked most accurately with the hull upside down. Look for hollows, bulges and hooks, especially in the keel. Now is the best time for any adjustments to correct the lines. If the lines are not fair or straight, first check to see that the panel edges are even against each other. If necessary, loosen some wires, push and pull the panels until the edges are even, and then retighten the wires. Along the keel you may need to tighten the stitches in the area of bulges and loosen the stitches in the area of hallows. Small wedges of wood in the seam help to remove larger hollows. It is OK to have small gaps between the panels to avoid hollows. Any gaps can be well reinforced later with fiberglass. Also, make sure that the kayak is not twisted. With the hull right side up, sight along the vertical lines on the stations and the bow and stern stems to make sure they line up. If necessary, twist the hull to get them straight.
With the hull upside down, use a syringe to apply a small amount unthickened epoxy to the seams. This step is not for filleting. Instead, it is for bonding the hull panels together so that the wires can be pulled out.
After the epoxy in the seams has hardened, carefully pull out the wires, which are not necessary now that the seams are epoxied. With the wires removed, it is easier to sight along the seams to check again that the lines are fair or straight. If a line is bothering you, use a razor knife to cut through the epoxy in the seam and rework it. This is your last chance to make any changes. Once you are satisfied with the lines, fill the outside seams with thickened epoxy, and after it has hardened, sand the outsides seams smooth.
With the hull right side up, use a bead of wood glue to secure the edges of the stations to the panels, so that the staples can be removed. Don't use a lot of glue on the stations, because they will have to be removed later.
Reinforce the outside of the hull with fiberglass as desired. Then remove the stations, fillet the inside seams, and reinforce the inside of the hull with fiberglass as desired.
Assembling the Deck
Again, be careful moving the deck panel after cutting and planing, because the narrow center deck section could break from the weight of the wider and long bow and stern sections. Always lift or move the deck panel with support in the center and towards the ends.
From scrap plywood, make a template for an ocean cockpit that is 15 inches wide and 22 inches long on the inside. The template is used for the marking the inside line of the cockpit on the deck, and later the cockpit spacer and lip. You may want to make the cockpit longer or shorter, depending on your height or other needs. I'm 5 feet and 10 inches tall, and with 4 inches between the back of the cockpit and my lower back, a 22 inch long cockpit allows me to get my knees under the front of the cockpit and use a foam masik as a knee brace. Because of the narrow width of the kayak, having the cockpit wider than 15 inches could cause the cockpit lip to extend over the side of the deck.
Use the cockpit template to draw the inside line for the cockpit on the deck. When positioning the cockpit on the deck, it is important to keep in mind that in the proper paddling position (sitting straight up or slightly forward), the paddler's lower back must be exactly 7 feet and 6 inches forward of the stern tip on the deck. Any variation in the location of the paddler will change the intended performance of the kayak. Generally, it is best to have 4 inches between the paddler's lower back and the back of the cockpit. As a result, the back of my cockpit is 7 feet and 2 inches forward of the stern tip, which is also where the center deck and rear deck panels meet.
Don't cut the cockpit out yet. Because this area is going to be bent during the assembly of the deck, having the cockpit cut out now could cause some problems. Instead, only cut out a 6 inch diameter hole in the center of the cockpit for your hand to reach through during assembly.
A front hatch hole is also necessary for the hand to reach inside he kayak to assemble the deck. It will have to be cut somewhere in front of the 13 feet and 6 inches mark.
Center the deck on the hull. Wrap duct tape around the stern to hold the deck on straight to the hull. At the 7 foot and 7 1/4 inches mark on the deck, where there is a slight corner, drill and wire the deck to the hull on each side. Twist the wire tight, because the deck will be bent upward forward of this location. Add another wire on each side 1/2 inch back from this location and then two more on each side over several inches behind it.
From scrap wood make two spacers, one 8 3/4 inches long and another 10 inches long, to hold the deck up. Center the shorter one under the 9 foot mark on the deck and the longer one under the 11 foot mark. A small screw through the deck holds them in place.
Now you can wire the deck to the hull on both sides at the 13 foot and 6 inch mark and several inches forward. Wrap duct tape around the bow to hold the deck straight on the hull.
Place the deck side panels with the flat forward section against the 13 foot and 6 inch mark and the pointed rear section at the cockpit. Use masking tape to hold them roughly in place while wiring.
Wire the deck side panels to the deck and hull starting at the cockpit end and moving forward. This wiring is tedious and takes several hours, because it is hard to see and reach the holes. A flashlight inside the kayak helps. Alternate sides as you work forward. In the mid and forward sections, leave a couple of the wires loose as you move forward to give your hand room to fit and work between the panels. Then go back and tighten the wires as space allows. At the forward section, reaching through the front hatch hole makes the wiring easier.
At the front section, don't bend the panels down and tighten the wires yet. Sand the surfaces where the deck side panels will meet the 4 inch strip of plywood attached under the 13 foot and 6 inch mark to prepare them for bonding with epoxy. Apply some unthickened epoxy to these surfaces to saturate them and then plenty of thickened epoxy to fill any potential gaps. Now begin bending the panels down and tightening the wires.
A small screw at the front inside corner of the deck side panels will help hold them down after the epoxy has been applied for bonding. A strap with small blocks of scrap wood also helps hold the seams even while thickened epoxy is applied to the seams between the deck side panels and the deck center panel. After the epoxy has cured, the screws, strap, and wires can be removed. Do not apply any epoxy to the seam between the deck and hull yet.
Sand the deck seams smooth and reinforce them with a bias cut strip of fiberglass. Allow the epoxy to cure for several days so there will be no movement when the deck is removed from the hull and the bottom of the deck is covered with fiberglass. The front section of the deck side panels are under a lot of tension, so when fiberglassing the bottom of the deck, reinforce the forward first foot of the deck seams with an extra bias cut strip of fiberglass.
Bias cut strips of fiberglass covering the deck seams to prevent movement when the deck is removed from the hull and the bottom of the deck is covered with fiberglass.
Attaching the Deck to the Hull
Center the deck on the hull. Raise the deck about an inch to make threading the wires in the deck side panel section easier. Then lower and center the deck on the hull, and begin wiring the deck to the hull at the stern and move forward, alternating sides as you go.
Using thickened epoxy, fill the outside of the sheer seams to glue the deck to the hull. Pull out the wires after the epoxy has hardened but is not fully cured. Use more thickened epoxy to fill the voids where the wires where removed. Then sand the sheer smooth.
The cockpit is now ready to be cut. Cut just inside the cockpit line on the deck to allow for trimming down to the cockpit coaming when it is attached later. With the cockpit cut, access to the inside on the kayak will now be easier.
Sand and fillet the inside sheer seams and reinforce them with 2 inch fiberglass tape. To make applying the tape easier, cut the hatch holes so you can reach through them. The tape doesn't need to be applied all the way to the ends. As far as you can reach is far enough. Roll up the length of tape you need, and soak it is a plastic cup of epoxy to wet it out. Remove the excess epoxy by drawing the tape between two fingers. Roll up the tape again and then unroll along the inside seam.
Cover the outside sheer with fiberglass tape or the fiberglass cloth used to reinforce the deck.
The Cockpit
Use your cockpit template to draw the inside lines for the cockpit spacers and lip on 4mm plywood. The spacers should be about 3/4 inches wide and stack about 5/8 to 3/4 inches high, and the lip should be about 1 1/2 inches wide. With the bend in the deck in the cockpit area, laminate the layers of the 4mm plywood for the spacers in place. Then laminate the lip on top.
Reinforce the cockpit coaming with fiberglass as desired.
© Copyright 2011-2012, Duane Strosaker. All rights reserved.
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WP5NA5: Clouds and aerosol quality-controlled observations
Deliverable D5.10: Implementation of new metrics
Objectives
The major objective for Task 5.4 is the routine and automated evaluation of the representation of clouds in numerical models. Evaluating the representation of clouds in climate and numerical weather prediction (NWP) models is not straightforward. For NWP models, this task is compounded by the expectation of a good forecast, as well as the reliable representation of the specific cloud parameters themselves. Task 5.4 of WP5 developed and implemented a comprehensive suite set of objective metrics for the evaluation of model cloud parameters, in continual joint collaboration with operational modellers.
The set of evaluation metrics was designed to investigate both the climatological aspects required of a climate model, and the ability to forecast the correct cloud at the right time, a necessary validation for NWP. The evaluation metrics cover the following sets of parameters:
- Model climatology (means, and distributions, of cloud variables)
- Forecast skill scores with appropriate characteristics (SEDS/SEDI)
- Composites (seasonal, diurnal, omega at 500 mb) of cloud variables and skill scores,
- Choice of vertical grid for model evaluation: height or temperature
- Model intercomparisons;
and the goal, which has been achieved, is a framework providing:
- routine , automated evaluation,
- near real time capability,
- online dissemination.
Evaluation procedure
Evaluation of model products is performed in levels 2b, 3, and beyond, of the Cloudnet processing chain shown in Fig. 1. In level 2b, the observations are placed on the grid of each individual model, and in level 3, amassed into monthly and yearly files containing a wide range of statistical measures. These include: means, distributions, and joint-pdfs for creating the contingency tables used for deriving the skill score of choice. From these files, a wide range of metrics can then be routinely plotted and analysed.
All standard statistical metrics that are described in this report are created by the automated system, in near-real-time wherever possible. In addition, the functionality to create custom metrics through userselection of time-period and other choices, is technically feasible. The back-end system for the Cloudnet database incorporates a self-discovery mechanism for identifying new datasets. Standard metrics are created for the new datasets; the system identifies any current metrics that the new datasets may potentially belong to and updates the standard metrics as required.
The automatic procedures cover the entire production chain, from processing observations, through to evaluating model data and the generation of statistical metrics and figures. Incoming new observational and model datasets are identified, and all evaluation metrics are then created. The definition of new datasets can include near-real-time daily updates, a month/year of batch-processed model data, or reprocessed data from a previous period. The procedures identify and update any current metrics that are potentially dependent on the new data; this could include a yearly metric being updated due to the addition of a new month of data, or a seasonal composite being updated due to the addition of a new year of data.
Observed product on model grid
The model evaluation process begins at the Level 2b stage in the Cloudnet processing chain (see Fig. 1). Here, Cloudnet products at high temporal and spatial resolution are averaged to the specific grid of the model being evaluated. Temporal averaging is used to create the equivalent of a two-dimensional slice through the three-dimensional model grid box. As discussed in Illingworth et al. (2007), the appropriate amount of averaging time is given by the advective timescale, which describes how long it takes for a cloud structure to advect through the grid box and is given by the horizontal wind speed. The advective timescale is obtained as a function of height from the vertical profile of horizontal wind speed taken from a model, radiosonde, or a combination of radar and Doppler lidar wind profilers. Thus, given the 16 km horizontal resolution of the current ECMWF model grid, for example, a wind speed of 20 m s -1 corresponds to an averaging time of 800 seconds (13 minutes), centred on the model timestep.
Cloud fraction is calculated as the fraction of pixels diagnosed as cloud in the categorization product for the observed profiles that fall within the advective timescale. For observations with a resolution of 30 m and 30 seconds, and an advective timescale of 800 s, the observed cloud fraction corresponding to an ECMWF model grid box 100 m deep is calculated from about 150 independent pixels. For other bulk properties, such water contents, the observations are averaged according to the advective timescale (the mean and variance are the properties retained).
Note that, since the wind varies with both height and time, the advective timescale, and thus the number of points averaged, changes with height and time. As each model has different horizontal and vertical resolutions, a separate level-2b product is produced for each model.
Level 3 products – evaluating model climatology
Mean, frequency-of-occurrence and amount-when-present
The obvious metric to test first is the model climatology, or how the model performs on average, by comparing the mean observed and modelled values of the parameter of interest versus height over an extended period of time (Fig. 2). In addition, we also examine how often the given cloud parameter occurs (above a given threshold), and what is its value when it does occur, known as frequency-ofoccurrence and amount-when-present (Hogan et al. 2001). For instance, a model may forecast clouds often enough but underestimate the amount of cloud when present; therefore the mean cloud fraction will be underestimated (Morcrette et al., 2012). The metrics are calculated for a range of threshold values and available in the level3 data files; a standard threshold value is selected to create the quicklooks that are provided routinely on the website. Some metrics, such as cloud fraction, are not that sensitive to the choice of threshold (see Fig. 5); others, such as water contents, may show more sensitivity, especially when increasing or decreasing the threshold value by an order of magnitude.
Distribution
The probability distribution function, PDF, of a given parameter is also calculated for each month and year (Fig. 3). These examine whether the model produces the correct range or distribution of the cloud parameter of interest. For example, the distribution of ice water content may be very close to matching the observed distribution, but a slight overabundance of very high modelled ice water contents would severely bias the mean value; merely scaling the modelled mean to match the observed mean would not be an appropriate correction for such a model scheme.
The PDFs are provided for broad height ranges (e.g. low, mid or high-level clouds), with the specific height range chosen to be appropriate for the cloud parameter; the height ranges for liquid water content are not the same as for ice water contents for example, since liquid water clouds should not exist at temperatures below -40 C, and ice should not exist above freezing (strictly speaking, ice is possible up to 4 C). PDFs are also possible to calculate for narrow height/temperature ranges as requested.
Vertical grid
There is a choice of vertical grids: altitude, or temperature. Certain features are more suited to a height grid, such as evaluating the representation of boundary-layer clouds; a temperature grid (Fig. 4) is more suited to identifying the presence of supercooled liquid water and temperature-specific ice growth processes.
Marked changes in model parameters have been noted at specific temperatures, and are understandable when the physical basis for certain parametrizations may be functionally dependent on temperature. For instance, some microphysical schemes use temperature to partition water condensate into liquid and ice; ice density, growth rates and fall speeds may also be defined as a function of temperature. Hence, calculating metrics on both the temperature and standard height grid in conjunction with each other should help identify where model deficiencies are due to parametrizations involving temperature, and thus where to concentrate investigating and improving specific shortcomings in microphysical parameterization schemes.
Level 3 products – evaluating model forecast skill
Forecast skill
Evaluating the forecast skill of a model requires a skill score with suitable attributes (Hogan et al., 2009, 2010). Within Cloudnet we use the Symmetric Extreme Dependence Skill Score, SEDS, and Symmetric Extreme Dependence Index, SEDI. In addition, the original contingency tables and joint-pdfs are provided in the file, allowing the user to derive their skill score of choice. As for the climatological metrics, these scores are create for two sets of vertical coordinates: height above ground, and temperature (Fig. 5).
Forecast lead time
The climatological metrics and skill scores can be calculated for the same model at different forecast lead-times (Fig. 6). These metrics can indicate whether there is a change in model climatology between the initial state and later forecasts (Fig. 6a), which would show the impact of model spin-up, and whether the model has a preferred state within the analysis or data-assimilation cycle that is different to the free-running model state. These metrics also show how the model forecast degrades with time (Fig. 6b, 6c), and whether the rate of degradation is the same at all heights, temperatures, and for initial cloud parameter state.
Note that the ability to create this particular metric depends on the particular forecast output supplied by the modelling centre, and how long the model forecast runs for. Certain models are initialised twice a day with each forecast running out to 72 hours and more, whereas others, especially high-resolution models designed to capture high-impact weather, are often initialised more often (maybe 6-8 times a day) but only run for 24 hours.
Level 3 products – Composites
To identify and understand location-specific and model-specific deficiencies with more confidence, composites of cloud-fraction, ice water content, liquid water content and skill scores are now also available in both temperature and height vertical coordinates. Composites include seasonal, diurnal, and omega at 500 hPa.
An example of seasonal composites of cloud-fraction, ice water content, liquid water content and skill scores are shown in Fig. 7. These composites are available in both temperature and height vertical coordinates. These have revealed that, for many situations within the free troposphere, models show substantially higher forecast skill for clouds at temperatures below freezing than above. However, this increase in skill does not necessarily extend to clouds that lie within the boundary-layer
An additional metric is the composite of cloud fraction by vertical motion (omega) at 500 hPa, thereby examining the dependence of model behaviour on synoptic regime, i.e. large scale ascent (frontal) or descent (anticyclonic subsidence. A similar approach was taken in comparison of radiative variables by Bony and Dufresne (2005).
8
Figure 7: Examples of new metrics. Top 3 panels: observed (left) and modeled (right) seasonal composites of cloud fraction, ice water content and liquid water content. Bottom panel: seasonal composite of the model skill in forecasting cloud fraction. The site is Lindenberg, Germany and the model is ECMWF.
Cloud fraction
Ice water content
Liquid water content
Cloud fraction skill score,
SEDI
Observations
Model
Variable
Model intercomparisons
Additional metrics that have been implemented include timeseries of skill-score intercomparisons (Fig. 8), which can be used to display seasonal/annual variability in predictability. In other words, some years are easier to forecast than others. These (and standard metrics) are also routinely calculated for all available sites and models, although not necessarily in real time.
Engagement with users
There is continual feedback from the users of these products, namely those responsible for microphysical parametrization schemes in operational model centres, with discussion helping to define metrics capable of judging model performance, and evolving or improving metrics to answer specific questions and identify model shortcomings. The most recent meeting, in December 2014, resulted in requests by modellers for rapid feedback on new trial model versions, and new avenues for model evaluation including ranking of regime by contribution to model bias.
Conclusions
A suite of comprehensive metrics for evaluating the representation of clouds in models has been implemented. The implementation is automated, covering the entire production chain from processing observations, through to evaluating model data and the generation of statistical metrics and figures, and can operate in near-real-time, providing updates continuously to the web. Incoming new observational and model datasets are identified, and all evaluation metrics are then created. The definition of new datasets can include near realtime daily updates, a month/year of batch-processed model data, or reprocessed data from a previous period. The procedures identify and update any current metrics that are potentially dependent on the new data; this could include a yearly metric being updated due to the addition of a new month of data, or a seasonal composite being updated due to the addition of a new year of data. Currently, the model evaluation operates in near-real-time for specific site-model combinations only; the limitation is due to the necessity of input data being provided in near-real-time.
The evaluation scheme has been extended to cover multiple versions of the same model, where model versions may refer to:
- operational models run at different resolutions – global, regional, local-area versions
- operational model versus new updated pre-release version
- test runs with different microphysics (prior to pre-release)
The long-term model evaluation has already elucidated many features requiring improvements, but has also shown that models already provide a 'reasonable' forecast of many cloud properties. The outlook for the future is for Cloudnet to provide rapid evaluation feedback for model test-runs, this requires the ability to perform arbitrary model evaluation, as long as the model data is uploaded in a specific format.
References
Bony, S., and J.-L. Dufresne, 2005: Marine boundary layer clouds at the heart of tropical cloud feedback uncertainties in climate models, Geophys. Res. Lett., 32, L20806, doi:10.1029/2005GL023851.
Hogan, R. J., C. Jakob and A. J. Illingworth, 2001: Comparison of ECMWF winter-season cloud fraction with radar derived values. J. Appl. Meteorol., 40, 513-525.
Hogan, R. J., E. J. O'Connor and A. J. Illingworth, 2009: Verification of cloud-fraction forecasts. Q. J. R. Meteorol. Soc., 135, 1494-1511.
Hogan, R. J., C. A. T. Ferro, I. T. Jolliffe and D. B. Stephenson, 2010: Equitability revisited: Why the 'equitable threat score' is not equitable. Weath. Forecasting, 25, 710-726.
Illingworth, A. J., R. J. Hogan, E. J. O'Connor et al., 2007: Cloudnet – continuous evaluation of cloud profiles in seven operational models using ground-based observations. Bull. Am. Meteorol. Soc., 88, 883-898.
Morcrette, C. J., O'Connor, E. J. and Petch, J. C., 2012: Evaluation of two cloud parametrization schemes using ARM and Cloud-Net observations. Q.J.R. Meteorol. Soc., 138, 964–979.
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Teija Hakalahti
Studies of the Life History of a Parasite
A Basis for Effective Population Management
Esitetään Jyväskylän yliopiston matemaattis-luonnontieteellisen tiedekunnan suostumuksella julkisesti tarkastettavaksi yliopiston Ambiotica-rakennuksen salissa (YAA303) huhtikuun 29. päivänä 2005 kello 12.
Academic dissertation to be publicly discussed, by permission of the the Faculty of Mathematics and Science of the University of Jyväskylä, in the Building Ambiotica, Auditorium YAA303, on April 29th, 2005 at 12 o'clock noon.
Studies of the Life History of a Parasite
A Basis for Effective Population Management
Teija Hakalahti
Studies of the Life History of a Parasite A Basis for Effective Population Management
Editors Jukka Särkkä Department of Biological and Environmental Science, University of Jyväskylä Pekka Olsbo, Irene Ylönen Publishing Unit, University Library of Jyväskylä
Cover picture: Argulus coregoni infection on a rainbow trout. Photo by Teija Hakalahti
URN:ISBN:951392114X ISBN 951-39-2114-X (PDF)
ISBN 951-39-2131-X (nid.)
ISSN 1456-9701
Copyright © , by University of Jyväskylä 2005
Jyväskylä University Printing House, Jyväskylä 2005
ABSTRACT
Hakalahti, Teija
Studies of the life history of a parasite – a basis for effective population management
Jyväskylä: University of Jyväskylä, 2005, 41 p.
(Jyväskylä Studies in Biological and Environmental Science,
ISSN 1456-9701; 152)
ISBN 951-39-2114-X
Yhteenveto: Loisen elinkiertopiirteet – perusta tehokkaalle torjunnalle
Diss.
In this thesis, the life history traits of the ectoparasite Argulus coregoni were examined during its life cycle. Water temperature was a key determinant of temporal patterns of A. coregoni population abundance and dynamics; neither parasites attached to the host nor egg-hatching were recorded at temperatures below ~10ºC. Parasite transmission to their hosts was characterized by peak recruitment in spring followed by extended, but slower recruitment. Egg-hatching was triggered by cooling treatments, the magnitude of which was dependent on the period of cooling. Each female parasite, however, produced eggs that hatched over many hatching opportunities. This delayed emergence pattern can be seen as an adaptation to unpredictable, risky environments, where such bet-hedging may allow some infection to occur even after periodic absences of hosts. Female A. coregoni preferred to lay their eggs on dark substrates in the deepest water in a 2 m-deep canal, with the egg population showing an aggregated distribution pattern. Non-random distribution of eggs coupled with variable hatching may result in differences in host exposure to parasites, which was shown to be a dominant causative factor behind the observed aggregated distribution of A. coregoni on their rainbow trout (Oncorhynchus mykiss) hosts. Rainbow trout did not seem to develop any resistance mechanisms to prevent parasite settlement after first encounters with A. coregoni nor any general trend in repeated susceptibility of fish to parasite attachment observed. Both these findings suggest that the fish were of equal genetic susceptibility. Nevertheless, the attachment of parasite infective stages, that carried a finite energy resource for host seeking, seemed to be opportunistic and non-selective. Although the infectivity of A. coregoni remained high up to death, delayed starts with respect to host searching time were reflected on growth in the altered growth rate of settled parasites. Over time, parasites that had spent more time searching for a host reached the length of parasites that attached to a host faster. A. coregoni thus appeared to compensate for delayed growth resulting from an extended period off-host by accelerated growth, although, this was shown to incur a cost through decreased lifeexpectancy. This study has shown that individual parasites are more flexible in their life history strategies than has hitherto been understood. The results from this thesis provide parameter estimations for a detailed host-macroparasite model that will capture both host and parasite population dynamics, and can be used for planning cost-effective management against ectoparasite infestations at fish farms.
Key words: Aggregated distribution; Argulus coregoni; bet-hedging; compensatory growth; ectoparasite; life history; population dynamics; transmission.
T. Hakalahti, University of Jyväskylä, Department of Biological and Environmental Science, P.O. Box 35, FI-40014 University of Jyväskylä, Finland
Author's address
Teija Hakalahti Department of Biological and Environmental Science University of Jyväskylä P.O. Box 35 FI-40014 University of Jyväskylä, Finland E-mail: email@example.com
Supervisor
Professor E. Tellervo Valtonen Department of Biological and Environmental Science University of Jyväskylä P.O. Box 35 FI-40014 University of Jyväskylä, Finland
Reviewers
Professor Robert Poulin Department of Zoology University of Otago 340 Great King Street P.O. Box 56 Dunedin, New Zealand
Dr. Andrew Fenton Department of Zoology University of Cambridge Downing Street Cambridge CB2 3EJ, UK
Opponent
Docent Jouni Taskinen Karelian Institute Department of Ecology P.O. Box 111 FI-80101 Joensuu, Finland
CONTENTS
LIST OF ORIGINAL PUBLICATIONS
This thesis is based on the following original papers, which will be referred to in the text by their Roman numerals (I-V).
I Hakalahti, T. & Valtonen, E. T. 2003: Population structure and recruitment of the ectoparasite Argulus coregoni Thorell (Crustacea: Branchiura) on a fish farm. Parasitology 127: 79-85.
II Hakalahti, T., Häkkinen, H. & Valtonen, E. T. 2004: Ectoparasitic Argulus coregoni hedge their bets - studies on egg hatching dynamics. Oikos 107: 295-302.
III Hakalahti, T., Pasternak, A. & Valtonen, E. T. 2004: Seasonal dynamics of egg laying and egg-laying strategy of the ectoparasite Argulus coregoni (Crustacea: Branchiura). Parasitology 128: 655-660.
IV Bandilla, M., Hakalahti, T., Hudson, P. J. & Valtonen, E. T. 2005: Aggregation of Argulus coregoni (Crustacea: Branchiura) on rainbow trout (Oncorhynchus mykiss): a consequence of host susceptibility or exposure? Parasitology 130: 169-176.
V Hakalahti, T., Bandilla, M. & Valtonen, E. T.: Delayed starts during the transmission of a parasite are compensated by accelerated growth. Manuscript, under review for the journal Parasitology.
RESPONSIBILITIES OF TEIJA HAKALAHTI IN THE ARTICLES OF THIS THESIS
Paper I
Experiments were planned together with all co-authors. I collected and analysed the parasite samples together with a research trainee. I did the statistical analyses and wrote the paper.
Paper II
Paper III
Paper IV
Experiments were planned together with all co-authors. I performed the experiments together with MSc student Heli Häkkinen. I did the statistical analyses and wrote the paper.
The structure of egg-laying plates was planned together with all co-authors and representatives from the fish farm. I was responsible for planning the experimental procedures. I collected the data together with a research trainee, did the statistical analyses and wrote the paper.
The preliminary idea to do the experiment came from Professor Andrew Dobson. The experiment was planned together with all co-authors. I ran the experiment and sampled the fish together MSc student Matthias Bandilla and a research trainee. Statistical analyses were performed by M. Bandilla and Peter Hudson. I wrote the paper jointly with M. Bandilla.
Paper V
I both planned the study and ran the experiments together with Matthias Bandilla. I did the statistical analyses. I wrote the paper jointly with M. Bandilla.
Jyväskylä 15 th February 2005
Teija Hakalahti
1 INTRODUCTION
1.1 Life history strategies
Life history theory concerns the dilemma of allocating limited resources into growth, reproduction and maintenance in a way that maximises the fitness of an organism (Roff 1992, Stearns 1992). An organism's life history strategy is the combination of demographic traits such as body size, fecundity, age at maturity, number of reproductive events and offspring size (Stearns 1992). Given limited resources, energy allocated into one life history trait cannot be used for other competing functions, thus creating trade-offs (negative correlations) among the pairs of traits (Roff 1992, Stearns 1992). For example, any investment in reproduction may come at the expense of physiological condition and disease resistance (Festa-Bianchet 1989, Stearns 1992, Dobson & Meagher 1996). Besides trade-offs between the traits, that cannot be maximised simultaneously, the array of life histories available for each group of organisms is also limited by a number of other factors, such as phylogenetic and physiological constraints (Stearns 1992).
Current life history is shaped by external pressures acting on the probability of survival at each stage in the life cycle (Partridge & Harvey 1998, Roff 1992). Consequently, the optimal amount of energy to be spent for different traits varies in the course of an organism's life and is sometimes unpredictable. Organisms are able to vary their allocation pattern by means of phenotypic plasticity (Stearns 1989, 1992), referring to their ability to react to an environmental input with a change in form, state, movement or rate of activity (West-Eberhard 2003). Phenotypic plasticity does not result in a change in genotype frequencies of a population which, on the contrary, is a prerequisite for true evolutionary response and adaptation (Stearns 1992). One classical example of phenotypic plasticity is the cyclomorphosis of Daphnia, involving production of elongated head spines as a response to chemical cues released by their predators (e.g. Dzialowski et al. 2003).
Parasites are organisms that live in or on another organism gaining from it part or all of their organic nutrients, and cause some degree of damage to their hosts (Bush et al. 2001). Unlike most free-living species, the geographic range of parasites consists of a set of habitat patches represented by their hosts in an otherwise hostile environment. Given that a parasite's reproduction is dependent on its hosts, parasite fitness is best described by its basic reproductive number, R0. For a macroparasite R0 is determined as the number of new female parasites produced by an average parasite in a fully susceptible host population where there are no density dependent constraints (Anderson & May 1991, Hudson et al. 2002). Although tremendous variability in life history strategies among parasite species and individuals has been reported, relatively few experimental studies on parasite life histories have been conducted (see Poulin 1996, Thomas et al. 2002). The idea that parasites can also exhibit adaptive plasticity in their life history decisions to enhance their fitness is attracting considerable interest at present (e.g. Thomas et al. 2002, Fenton & Rands 2004).
Body size is an important life history trait. As in many free-living organisms (Peters 1983), the body size of female parasite is tightly linked to fecundity, i.e. larger parasite species and individuals produce more offspring (e.g. Skorping et al. 1991, Morand 1996, Timi et al. 2004). Also body size at maturity, in terms of sexual selection and resulting reproductive success, may play an important role in the life histories of animals (Andersson 1994). Larger Idotea baltica males were more effective in defending females from other males and also obtained more females (Jormalainen et al. 1994, Jormalainen & Merilaita 1995). Also larger males of the endoparasite Corynosoma magdaleni appeared to be the first to approach a non-mated female (Sinisalo et al. 2004). Thus in cases of intense competition for females, selection pressures on male body size might exist (Andersson 1994).
In order to reach a large size at maturity, organisms either have to grow at a fast rate (Metcalfe & Monaghan 2001) or grow for a longer time (Roff 1992, Stearns 1992). Postponing maturation, however, may incur costs such as risk of mortality, and that option is traded-off against increased fecundity (Kozlowski & Wiegert 1987, Gemmill et al. 1999). Many animals face unpredictable and sometimes extended periods of food shortages during their growth periods, temporally restricting the growth rates below normal (Metcalfe & Monaghan 2001, Ali et al. 2003, Jespersen & Toft 2003). A commonly observed response to a nutrient deficiency is a subsequent period of accelerated growth to regain the original growth trajectory (Arendt 1997, Metcalfe & Monaghan 2001). Costs related to immediate and later performance may follow such periods of fast growth (Arendt et al. 2001, Metcalfe & Monaghan 2001, Morgan & Metcalfe 2001) resulting in organisms not growing at their physiological maximum (Metcalfe & Monaghan 2003).
Assuming that a parasite population on a host is not restricted by its density, parasites are unlikely to experience shortages of food. This may enable the high fecundity of parasites compared to their free-living relatives (Jennings & Calow 1975, Calow 1983) and also may weaken some trade offs between life history traits (Van-Noordwijk & de Jong 1986). One example is a study by Timi et al. (2005) who found no correlation between egg size and numbers in the parasitic copepod Lernanthropus cynoscicola, contrasting with similar studies on many free-living animal taxa (e.g. Stearns 1992, Brown 2003).
1.2 Infection strategies
Parasites live in environments where there is a very great risk of failure. Due to the stochastic nature of the external environment and the unpredictable availability of hosts, parasites may experience considerable temporal variation in their transmission success. As such, strategies outside the host may be crucial in determining the overall fitness of a macroparasite (Fenton & Hudson 2002). Since the success of a particular genotype is inherently multiplicative, the appropriate measure of fitness in variable environments is the geometric mean fitness (Gillespie 1977). A geometric mean is calculated by multiplying a series of numbers and taking the n th root of the product, where n is the number of items in the series. This parameter can be maximised by minimizing the variation in fitness over generations (Gillespie 1977). Hence selection in unpredictable environments may result in the fixation of a phenotypic trait whose arithmetic mean fitness is lower than for another trait, if the decreased variance in reproductive success outweighs the cost of reduced arithmetic mean fitness (Seger & Brockman 1987, Philippi & Seger 1989, Hopper 1999).
Extended transmission of each parasite cohort would enable some offspring to endure the unfavourable periods of host absence and decrease the chance of total reproductive failure, thereby decreasing the variance in fitness (Fenton & Hudson 2002). Such a strategy, where one genotype codes for a random set of phenotypes, is known as bet-hedging, and has been proposed for a number of taxa living in unpredictable environments (Cohen 1966, Philippi 1993, Simovich & Hathaway 1997, Danforth 1999, Fenton & Hudson 2002, Soula & Menu 2003). Bet-hedging has its origin in economic theory, and in principle means that if goods are exposed to some danger, it is advisable to divide them in several portions rather than risk them altogether (see Stearns 2000). In parasites this would mean, that each individual parasite produces offspring varying in their timing of infectivity. Theoretical models show that the optimal amount of bet-hedging varies according to predictability of the environment (e.g. Cohen 1966, Fenton & Hudson 2002). At fish farms, where the contact rate between the host and the parasite is high, parasites that infect a host fast are likely to gain a fitness advantage (Fenton & Hudson 2002). In contrast, in nature, where the host populations usually are more sparse, extended periods of recruitment are supposed to play a greater role enabling at least some infection to occur after periodic host absence (see also Pasternak et al. 2000, Fenton & Hudson 2002).
For many animals and plants that have a dormant stage in their life cycle, bet-hedging is manifested as a stochastic relaxation of diapause, such that all offspring do not emerge at the same time (Cohen 1966, Philippi 1993, Simovich & Hathaway 1997, Danforth 1999, Soula & Menu 2003). Dormancy is a state of inactivity, when metabolic processes are slowed to a minimum, and allows organisms to 'time travel' over unfavourable conditions. Diapause is a genetically determined form of dormancy that can facilitate survival over harsh periods by affording tolerance to extreme environmental conditions (Tauber et al. 1986). Quiescence is a form of dormancy that is an immediate response to a changing environment and which, in contrast to diapause, ends soon after the conditions improve (Tauber et al. 1986).
1.3 Dispersion patterns between hosts
A key feature of the ecology of macroparasites is the distribution pattern of parasite load within a host population (Anderson & May 1991). Generally parasites occur patchily on their host population, so that the majority of hosts harbour none or few parasites while a few hosts have large parasite burdens. In other words, parasite loads are aggregated on their host population (reviewed by Shaw & Dobson 1995, Shaw et al. 1998). Aggregated distributions of parasites can typically be described and modelled using a negative binomial distribution (Anderson & May 1991, Shaw & Dobson 1995). The negative binomial distribution depends on two parameters, its mean and the aggregation index known as k, which is an inverse measure of aggregation (Fisher 1941). For many host parasite systems estimations of k have been below 1 (Shaw & Dobson 1996, Shaw et al. 1998).
There has been extensive research both into biological mechanisms that could drive the observed parasite distribution (e.g. Keymer & Anderson 1978, Karvonen et al. 2004a) and its consequences for population dynamics of hosts and parasites (e.g. Anderson & May 1978, May & Anderson 1978, Grenfell et al. 1995). An aggregated pattern can be generated by a number of mechanisms, although most can be classified as either a consequence of variability in exposure to infection, possibly associated with variable contact rate between a host and its parasites, and/or heterogeneity between hosts in their susceptibility to infection (Shaw & Dobson 1995, Wilson et al. 2002).
Dispersion of parasite infective stages in the environment tends to be heterogeneous. While the host may encounter infective stages at random, the burden associated with an encounter may vary, spatial heterogeneity being reflected in the level of parasite aggregation across hosts (Keymer & Anderson 1978). Also temporal variation in infection pressure appears to be common, particularly in seasonal aquatic systems. For example, numbers of infective stages of A. coregoni present in water systems are highly seasonal (Mikheev et al. 2001). Janovy & Kutish (1988) showed that parasites became highly aggregated on their host population when they emerged in discrete pulses.
Even under constant infection pressure, slight differences among individuals in their susceptibility, due either to behavioural or to physiological responses, may cause heterogeneity in parasite acquisition (Anderson & May 1978, Grenfell et al. 1995, Zelmer & Arai 1998). Variability in host genetic susceptibility reflects heterogeneity in the function of defence mechanisms, including acquired resistance (e.g. Gleeson et al. 2000). Between-species and population level variability in host susceptibility to parasites have commonly been reported (e.g. Bakke et al. 1990, Bakke et al. 1992, Mustafa & MacKinnon 1999). Also parasites themselves may stimulate host susceptibility for further parasitism, for example, by releasing pheromones to attract increasing numbers of parasites to infected hosts (Norval et al. 1989, Ingvarsdóttir et al. 2002, Mordue Lunz 2003).
Aggregation tends to be a dynamic variable, the magnitude of parasite aggregation among hosts changing temporally (Wilson et al. 2002). Demographic mechanisms, such as density dependent mortality acting both in host and parasite populations, result in constant change in the dispersion of parasites among the hosts (Anderson & Gordon 1982). Considering the abovementioned diversity of mechanism all affecting the level of parasite aggregation, empirical studies aiming to separate the factors behind the patterns are scarce. Recently in aquatic systems both varying exposure (Karvonen et al. 2004a) and susceptibility as dominant mechanisms creating aggregation have received empirical support (Lysne & Skorping 2002).
1.4 Host exploitation rate and host responses
Traditionally macroparasite infections are regarded as a cause of morbidity rather than mortality. Several experimental studies have shown, however, that high parasite burdens may decrease host survival and affect host growth and fecundity, the strength of which tends to be dose-dependent (e.g. Scott & Anderson 1984, Scott 1987). Due to aggregated parasite loads among a host population, these detrimental effects are concentrated on the minority of hosts. Such density dependent effects may be manifested as a regulatory influence of parasites on their host population dynamics (Anderson & May 1978, May & Anderson 1978). One classic example is a study by Hudson et al. (1998) who showed that a nematode parasite was a causative factor behind the population cycles of a game bird.
Typically parasites and their hosts show stable co-existence, with parasite epizootics taking place only when this co-existence is disturbed (Anderson 1979). In aquatic systems, parasite mass infestations have been reported particularly in dense fish rearing units, where the fish are stressed (e.g. Menezes et al. 1990, Northcott et al. 1997, Gault et al. 2002). Poor quality of the environment can affect the physiological condition of the host and such a stress may weaken host defensive mechanisms against parasites (e.g. MacKinnon 1998, Davis et al. 2002). Fish defensive mechanisms to parasites consist of behavioural responses, such as passive and active avoidance behaviour (reviewed by Barber et al. 2000, Karvonen et al. 2004b), and physiological mechanisms. Physiological mechanisms consist mainly of innate, non-specific resistance, and acquired resistance elicited after a delay from the first encounter with a parasite (Manning 1994).
1.5 Argulus ectoparasites
Fish lice in the genus Argulus are aquatic crustacean ectoparasites. They are ubiquitous components of parasite communities on fishes in Finnish lakes and in fish farms in both inland (Valtonen et al. 1997, Pasternak et al. 2000, Mikheev et al. 2001) and coastal areas (Valtonen et al. 2001). In this thesis I have studied the species Argulus coregoni (Thorell). A. coregoni is considered to be a specialist on salmonids, although it has occasionally been found on other fish genera (Shimura 1983). Specificity has been suggested to arise rather from different habitat requirements between fishes, than by incompatibility (Mikheev et al. 2004). A. coregoni was able complete its life cycle on roach, Rutilus rutilus, and on rainbow trout, Oncorhynchus mykiss (Pasternak et al. 2004). The more common species A. foliaceus (L.) is a generalist parasite recorded on several fish genera (e.g. Shulman 1970, Valtonen et al. 1997).
Argulids have a direct life cycle and are transmitted via free-swimming metanauplii stages (Shimura 1981, figure 1). Once emerged from eggs, nonfeeding metanauplii actively search for a host (Mikheev et al. 2004). Once on a fish, A. coregoni feeds on blood and tissues proceeding through 9 developmental stages, after which maturity is attained at a length of about 4 mm (Shimura 1981). Argulids are sexually dimorphic and sexes can be distinguished on the basis of morphological characters of the abdomen. More specifically, females have a pair of seminal receptacles and males have a pair of testes (Shimura 1981). Copulation usually occurs on fish (own personal observations, Pasternak et al. 2000).
FIGURE 1 Argulus spp. life cycle (Fish picture by David L. Bozsik).
Emergence
Eggs
Free-living
stages
Fecundity
Transmission
Attached parasites
After copulation A. coregoni continue to grow in size and start to lay their eggs after reaching a length of about 8 mm (Paper III). Batches of eggs which are fertilized upon being laid (Fryer 1960) are usually laid on solid objects like stones (Mikheev et al. 2001, Paper II). The gelatinous eggs tend to darken and harden soon after deposition, cementing the eggs to the substratum (Shafir & Van As 1986, own personal observations). From time to time attached argulids detach from the fish host and live free, at least during mate finding, egg laying (Shafir & van As 1986, Pasternak et al. 2000, Pasternak et al. 2004) or if the host dies. Pasternak et al. (2004) also noted that host switching by A. coregoni occurred more frequently on non-typical roach host than on the salmonid, rainbow trout.
By feeding and injecting a toxic anticoagulant, fish lice erode the skin of the fish and predispose it to bacterial and fungal infections (LaMarre & Cochran 1992, Lester & Roubal 1995). Due to morbidity, like decreased growth and abnormal behaviour, and mortality caused by the parasites (Gross & Stott 1974, Poulin & FizGerald 1987, Lester & Roubal 1995), Argulus infestations are of high economic significance. Several Argulus spp. outbreaks have been reported throughout Europe (e.g. Menezes et al. 1990, Northcott et al. 1997, Gault et al. 2002).
Fish have been shown to exploit avoidance behaviour to escape Argulus infection. Microhabitat choice (Poulin & FizGerald 1988, 1989b) and shoal size of juvenile sticklebacks (Gasterosteus spp.) (Poulin & FizGerald 1989c) were mediated by the presence of A. canadensis. Both A. foliaceus and A. coregoni have well-developed eyes for host location (Meyer-Rochow et al. 2001) and the finding that the ability to locate a potential host was impaired in high reflective glass aquaria illustrates the importance of visual cues for this parasite (Mikheev et al. 1998). A. foliaceus was shown to employ two distinct host-searching strategies: a sit-and-wait strategy in light and an active cruising strategy in dark, both of which tactics became less stringent as the parasites were starved (Mikheev et al. 2000). Juvenile A. coregoni primarily used vision for host searching, whereas other sensory modalities like smell developed later in the ontogeny (Mikheev et al. 2004). They also preferred white areas over dark areas, which behaviour was suggested to facilitate host location, and the behaviour switched towards dark areas at adulthood (Mikheev et al. 2004). Some life history traits of A. foliaceus were compared between a lake and a fish farm population (Pasternak et al. 2000). Extended recruitment at the population level was hypothesised to act as a risk-spreading strategy (Pasternak et al. 2000). Previously, only few studies on the life history of A. coregoni have been conducted. Those studies mainly concentrated on over-wintering strategies, on hatching patterns of over-wintered eggs (Mikheev et al. 2001) and on seasonal population dynamics (Shimura 1983). Growth and development of A. coregoni on a typical salmonid host and on an atypical cyprinid host were also compared (Pasternak et al. 2004).
1.6 Aims of the study
The objective of this thesis was to examine the life history traits of the ectoparasite Argulus coregoni with special emphasis on seasonality (I, III), egglaying behaviour (III), infection and survival strategies (II, IV, V) and ecological factors behind the observed aggregated dispersion pattern among hosts (IV). First, I monitored seasonal population structure, abundance (I) and parasite egg laying at a commercial fish farm (III). Since the recruitment on to the host was shown to be extended through the summer period, a hypothesis concerning the evolutionary mechanism behind the pattern was raised (II). By following emergence patterns of parasite eggs produced by individual females, I examined whether the parasite egg hatching pattern could best be explained by genetic variability, phenotypic plasticity or an adaptive bet-hedging strategy to cope with unpredictability during the transmission phase (II). Here I also obtained estimates of A. coregoni fecundity and egg-deposition times (II). In the third paper, I did experiments to monitor egg-laying behaviour of A. coregoni in relation to colour, position and depth of the substrate. Since dispersion of parasites among the rainbow trout (Oncorhynchus mykiss) population at the fish farm was shown to be aggregated (IV), I aimed to separate experimentally the causative factors behind the observed pattern. More specifically, by undertaking experiments where infection times and exposure periods were manipulated, I examined whether exposure or susceptibility was the dominant factor determining parasite distribution (IV). In the fifth paper, I monitored survival and infectivity in relation to times spent off-host. The possible costs of delayed starts were studied by experimentally withholding metanauplii offhost and later following their survival and growth pattern on hosts (V). The results of this thesis will provide parameter estimates for a detailed population model, which will be constructed in a separate project. The epidemiological model will capture the dynamics of the host-parasite system and can be used to evaluate optimal ways, with respect to both ecological and economical sustainability, to control A. coregoni infestations at fish farms.
2 MATERIALS AND METHODS
2.1 Host species (I - V)
During the field sampling (I and IV), parasites were collected from age 2+ rainbow trout (Oncorhyncus mykiss) (about 30 – 50 cm in length). Also egglaying plates for collecting parasite eggs (III) were submerged in places used for rainbow trout farming.
During the laboratory experiments (II, IV and V), rainbow trout were used as a host for A. coregoni. Fish used in these experiments were about 6 – 25 cm in length and were obtained from a commercial fish farm located in central Finland. Prior to experiments, fish were acclimated to their environment and were inspected for any attached argulids to make sure that they were uninfected. During the maintenance fish were fed with commercial fish feed (BioMar A/S, Denmark) administered daily.
2.2 Field survey of seasonal population cycle and structure (I and III)
I monitored population abundance, size distribution and sex ratio of A. coregoni at a fish farm during two open water periods (I). Weekly parasite samples (~ 100 lice) were collected during early summer of 1999, but later in the season, when the parasite population size decreased, sample sizes were smaller and sampling was performed less frequently. In 2001, sampling was more intense and was performed weekly also in late summer until zero prevalence was observed. On each sampling occasion, all the parasites collected from narcotized (MS-222) fish groups were preserved and pooled, after which the parasites were sexed and total length was measured. In a separate survey, the distribution of A. coregoni within a fish population was established by counting the numbers of A. coregoni from individually sampled fish (IV).
Simultaneously with monitoring of the population cycle in 2001, the seasonal egg-laying dynamics of A. coregoni was monitored at the fish farm (III). I constructed artificial egg-laying plates to capture and collect the eggs (Gault et al. 2002). Eight plates were submerged near the bottom of the 2m-deep flowthrough canal. Every week each plate was checked for deposited egg clutches, which were removed and counted, and the plate was cleaned.
2.3 Egg-laying patterns and subsequent hatching (II)
Two sets of mature A. coregoni were collected at the fish farm during the July (sample I) and August (sample II) reproductive period of the parasite. Parasites were allocated into 30 aquaria each containing one male and one female A. coregoni and one fish as a host for parasites. A. coregoni egg laying events and mortalities were recorded every day and deposited eggs were removed and collected individually into 0.5l containers for monitoring of egg hatching. The water temperature and photoperiod were ambient during the breeding.
For comparing the variation in hatching within and between the clutches laid by individual A. coregoni females, egg hatching was monitored under constant laboratory conditions over a period of 451 days. Photoperiod was kept at 12h dark: 12h light and the temperature varied between 18 - 20°C. After 2.5 months monitoring at room temperature, egg clutches of sample I and sample II were randomly divided into three treatments: control at room temperature; 2 days cold treatments (1°C) repeated 6 times with an average period of 61 days; and 14 days cold treatments (1°C) repeated 6 times with an average period of 49 days. After the monitoring period the numbers of unhatched eggs were counted.
2.4 Spatial variation in egg deposition (III)
A. coregoni egg laying preferences for various colours of substrates were tested. Three egg laying traps, each consisting of dark (dark wood, black plastic) and light (light wood, white plastic) colour materials, were placed into a fishpond. Numbers of deposited egg clutches on each material were counted and plates were cleaned weekly.
For testing the effect of depth and position of substrate on egg laying, four pairs of traps with a roof-like construction (angle of two adjacent plates 90º) with upper and under surfaces were submerged into separate places in a 2mdeep flow-through canal. Each of the 4 surfaces of the trap (2 under-sides and 2 upper-sides) was divided into three sections according to distance above the bottom of the canal. The distances were 20 – 30 cm, 30 – 40 cm and 40 – 50 cm. Numbers of deposited egg clutches on each surface within each depth section were counted, measured for size and plates were cleaned weekly. To compare egg-laying preference of A. coregoni between stones and the egg traps, nine marked stones were kept in the vicinity of each trap concurrently, and the numbers and relative stone surface area covered by egg clutches determined.
2.5 Parasite aggregation – the role of exposure and susceptibility (IV)
By counting the numbers of A. coregoni on individually sampled fish, the distribution of A. coregoni within one host population of a fish farm was established. As argulids were aggregated on their host population, laboratory experiments were made to try to identify the mechanisms that could generate this distribution pattern.
Naïve fish (n = 30) were selected at random and exposed to 20 newly hatched A. coregoni for periods of either 5, 25, 50, 85 or 120 minutes to study the role of varying exposure pressure in shaping the parasite distribution on a fish population. Following 2 hours exposure, each fish was captured and the number of attached metanauplii was estimated by counting the number of unattached parasites in the water. Fish were confined to separate maintenance tanks according to recorded infection level and exposure time. Each of the exposure times had a control unit of 30 fish that were sham-infected, i.e. they were maintained similarly and transferred to exposure tanks but the water was Argulus free. One of our objectives was to examine whether a challenge infection by A. coregoni would induce defensive responses in rainbow trout when fish were exposed to a second infection and thus create differences in susceptibility. Therefore fish were kept in their tanks at 17°C over a period of 3 weeks to let specific antibodies develop (Aaltonen et al. 1994). After the maintenance, both control and previously-exposed fish were re-exposed to metanauplii and infection success was counted as previously.
2.6 Survival, infectivity and costs for delayed infections (V)
The off-host survival of A. coregoni freshly hatched from eggs was monitored every 6 hours at 16.5°C (± 0.5) under laboratory conditions. The effect of starvation period, i.e. time spent host searching, on infectivity of the parasite was tested by exposing individual fish to metanauplii of selected ages and measuring the infection success. Off-host periods between 1 to 180 hours with a step of 20 hours were randomly assigned. The exposures of individual fish to 20 metanauplii (n = 20) were conducted at a density of 2 kg m -3 at 16°C. Metanauplii were allowed to settle on a host over 2 hours after which the fish was removed. Numbers of attached parasites were determined by counting the number of unattached metanauplii in the water. After the exposure, fish were confined to separate tanks according to treatment and numbers of parasites on fish were counted after 21, 42 and 50 days maintenance. Each time, 10 randomly chosen female and male A. coregoni from each of the tanks were measured for total length.
3 RESULTS AND DISCUSSION
3.1 Seasonal population cycle and structure (I and III)
Strategic life history options for parasites in northern latitudes are largely constrained by seasonal variation in temperature (e.g. Chubb 1980, 1982). The field survey of the present study indicated strong seasonality in the A. coregoni infection pattern in terms of population abundance and recruitment, while egglaying activity and the sex ratio of attached parasites also followed a seasonal pattern. The first juvenile A. coregoni were found attached on fish after the water temperature had exceeded 10ºC in spring (May). At this time, adult specimens were not recorded on fish, supporting the view that A. coregoni only survives the winter as eggs (Shimura 1983, Mikheev et al. 2001). Eggs of A. foliaceus cannot hatch at temperatures lower than 10ºC (Stammer 1959), although, part of the A. foliaceus population can over-winter as inactive stages on fish (Pasternak et al. 2000, Gault et al. 2002).
The highest population abundance of A. coregoni was recorded between June and mid-July, after which the population size of attached parasites sharply decreased. However, occasional A. coregoni continued to be found on fish until mid-October. The sex ratio of A. coregoni was nearly unity until mid-July, after which it became strongly male biased. Concurrent collection of egg clutches with egg-laying traps from early July onwards indicated that females had detached from fish and were laying their eggs. The egg laying period of the A. coregoni population extended over 3.5 months. During the early egg laying period, large males exceeding the size of females were recorded on fish, contrasting with findings from earlier studies on sexual dimorphism in size of A. coregoni (Shimura 1983) and A. foliaceus (Pasternak et al. 2000).
Although recruitment of A. coregoni juveniles from eggs was observed until September, it appeared that only one annual generation thrived, because the population size decreased substantially after the females started to lay their eggs, and no peak in recruitment was observed in autumn. In contrast, A. foliaceus proceeds through several generations annually in Finland (Pasternak et al. 2000). Extended hatching at the population level of both A. coregoni (Mikheev et al. 2001) and A. foliaceus has been proposed to act as an adaptive bet-hedging strategy to cope with unpredictability during the transmission phase (Pasternak et al. 2000). However, the extended pattern could also arise from genetic variability between individuals, or from phenotypic plasticity (Seger & Brockman 1987, Philippi & Seger 1989, Hopper 1999).
3.2 Recruitment pattern at the individual level (II)
Unpredictability in the temporal availability of susceptible hosts for free-living parasite infective stages is likely to act as a selection pressure affecting life history strategies. In conditions where hosts are sparse and host population size fluctuates, genotypes that are able to spread the risk via production of plastic phenotypes resulting in extended transmission are likely to have a selective advantage (Fenton & Hudson 2002). This study has demonstrated one of the first cases of such a bet-hedging strategy for a parasite species.
I found that within a clutch of eggs laid by individual A. coregoni females, hatching were more variable than between the clutches. Each clutch of eggs hatched an average after over a period of 7 months and after the monitoring period of 1.2 years all clutches still contained potentially viable eggs. This extended pattern was seen in all egg clutches irrespective of maturation month of the mother or the treatment. These results support the predictions of the diversified bet-hedging strategy in relation to emergence dynamics (Seger & Brockmann 1987, Philippi & Seger 1989). Extended hatching coupled with the long-term survival (>2 years) of diapausing A. coregoni eggs (Mikheev et al. 2001) spreads the risk in such a way that a female can ensure that some of her offspring are likely to survive over periods of host absence, thus maximising the geometric mean fitness over generations. In a similar manner the germination of seeds of desert annuals is spread over several years (e.g. Philippi 1993).
Instead of producing phenotypically varying offspring at random, only some of which will be appropriate for current conditions, some organisms respond to environmental variability via phenotypic plasticity triggered by reliable environmental cues (Seger & Brockmann 1987, Philippi & Seger 1989, Meyers & Bull 2002). The cooling treatments of the present study and resulting temperature rise triggered some of the eggs within each clutch to hatch and the relative proportion of eggs hatched was dependent on the length of the cold treatment. Thus the A. coregoni egg hatching pattern cannot be explained purely by stochastic bet-hedging or phenotypic plasticity, but rather reflects a combination of both mechanisms. The amount of genotypic variation in hatching dynamics among female parasites is still unknown, but these data suggest that it cannot be the main factor producing the delayed hatching and recruitment pattern seen at the population level (Pasternak et al. 2000, Mikheev et al. 2001, paper I). The accelerated hatching following the chilling could be adaptive, providing a mechanism to synchronize the life cycle of A. coregoni with the short summer period available for growth and breeding (Tauber et al. 1986). Over-wintered eggs of A. coregoni collected from fish farm showed a similar hatching pattern, with a high peak followed by a slower rate and delayed hatching (Mikheev et al. 2001).
3.3 Reproduction strategy (II and V)
Male A. coregoni grew faster than females during early development under laboratory conditions. At the time of maturation, males were larger (length about 4 mm) than females of the same age (V). In many animals sexual selection favouring bigger males accounts for the sexual dimorphism in growth (Andersson 1994). Such studies were beyond the scope of this thesis, but may provide an interesting research topic for the future. With time, growth rate reversed so that at gravidity females were larger than males (V). Similar dimorphism in growth of A. coregoni was observed by Pasternak et al. (2004). Mature A. foliaceus males detached more often than females during their search for a mating partner (Pasternak et al. 2000). Thus, the observed sex dimorphism in growth rates following maturation could be due to reproductive behaviour of the parasite, whereby males allocate more energy than females into mate finding instead of using it for growth (see Pasternak et al. 2004).
The length of A. coregoni that had finished their egg laying varied from 8.4 mm to 12.2 mm (II). Each female produced an average of 317 eggs and in most cases (80%) all eggs were deposited at one time, followed by the death of the female. Although tremendous variability in the fecundity between parasite females was observed (from 67 to 869 eggs), no correlation between body length and fecundity was found in this study (II).
3.4 Spatial variation in egg deposition (III)
Optimal microhabitat choice maximises acquisition of resources in relation to risks associated with the habitat (e.g. Hugie & Dill 1994). If the needs of an animal with respect to shelter and foraging changes temporally, one might expect microhabitat choice to change over time (Sih 1997). The present study demonstrated microhabitat choice by egg-depositing A. coregoni females; most eggs collected during the experiments were deposited on dark substrates or in shadow in the deepest locations of the 2m-deep canal. As both A. foliaceus and A. coregoni have morphologically well-developed eyes (Meyer-Rochow et al. 2001) and vision was shown to play a key role in host searching (Mikheev et al. 1998, Mikheev et al. 2004), these results suggest that argulids use visual cues during egg laying. Mikheev et al. (2004) also found that juvenile A. coregoni preferred white objects, but their selective behaviour switched towards dark objects later in the ontogeny. Such a negative phototaxis could be adaptive for gravid A. coregoni females to avoid visually-hunting salmonids during the vulnerable egg laying period. Free-swimming, gravid parasites usually exceeding size of 8 mm are desirable prey for a fish (personal observation). Poulin & FizGerald (1989a) found that more female than male A. canadensis were eaten by sticklebacks (Gasterosteus spp.). Smaller A. coregoni, on the contrary, were attracted by light colours, possibly serving as a mechanism to facilitate transmission to fish (Mikheev et al. 2004).
The finding that most A. coregoni eggs were deposited on the lowest parts of the traps (20 - 30 cm off the bottom) or stones on the bottom of the canal accord with previous field observations on spatial distribution of parasite eggs (Shimura & Egusa 1980, Mikheev et al. 2001). Some preference for rough substrate in egg deposition of A. coregoni has been observed (Shimura & Egusa 1980), which together with deeper location of stones could explain why stones of the present study were more densely covered with parasite eggs than the egg-laying traps. Transmission, which is an essential fitness component of parasites, might also be enhanced via spatial overlap of infective stages with their host niche (Mikheev et al. 2003).
Such a spatial heterogeneity in the distribution of eggs and the following non-random distribution of infective stages (III) coupled with seasonal dynamics of their emergence (I, II) are likely to cause variations in exposure of hosts to parasites. Fish that happen to be near emergence sites of A. coregoni during the most intensive spring hatching period are likely to be under the highest exposure pressure. Such variations in exposure potentially produce an aggregated distribution of parasites within a host population (Keymer & Anderson 1978, Janovy & Kutish 1988, Wilson et al. 2002).
3.5 Parasite aggregation – the role of exposure and susceptibility (IV)
Many host-parasite systems are characterised by aggregated dispersion of parasites among their hosts (Shaw & Dobson 1995, Shaw et al. 1998). I showed that juvenile A. coregoni (< 2 mm in length) were also aggregated within the host population. Therefore, by experimental manipulations on exposure period and time, and grouping the fish according to infection level, the relative significance of susceptibility and exposure in generating the observed aggregated pattern was explored. During the re-exposure, metanauplii infected the host faster than during the first exposure. Hence challenge infection did not show any development of acquired resistance mechanisms effectively decreasing the attachment of metanauplii. In this respect, this study is in line with most studies on ectoparasitic copepods, where a specific immune response was absent or did not effectively reduce the level of infection (reviewed by Tully & Nolan 2002).
The infection rate of re-exposed fish did not differ from concurrently maintained and sham-exposed naïve fish. One potentially confounding factor for such an accelerated infection rate regardless of previous infection, may be associated with the fact that fish were older and were kept captivity for longer. Such a stress may make fish more prone to pathogenic infections (e.g. MacKinnon 1998). On the other hand, activity of fish may be decreased due to stress (Fry 1971). Both fish behaviour (Poulin & Fitzgerald 1988, 1989b,c) and swimming activity of the parasite have been suggested to affect transmission success of argulids (Mikheev et al. 1998, Mikheev et al. 2000). Recent studies, however, have shown that olfactory stimulation plays a less important role than vision in host location by juvenile A. coregoni (Mikheev et al. 2004). Although not quantified, it is likely that reduced movement as a consequence of maintenance stress made it easier for metanauplii to attach.
Variable genetic susceptibility to parasitism could also cause an aggregated distribution (Wilson et al. 2002, Lysne & Skorping 2002). No tendency for repeated susceptibility pattern, in terms of infection level among grouped fish, was found during the second exposure to A. coregoni, suggesting that rainbow trout were of equal susceptibility. Some protective responses may have been evoked after the settlement of parasites, because only about 40% of attached A. coregoni were found on fish during maturation. However, this seemed not to protect fish from further parasitism. Previously, both species and population level variations in fish susceptibility to ectoparasites have been reported (e.g. Bakke et al. 1990, Bakke et al. 1992).
The results of this study suggest that differences in encounter rates (Fryer 1965, Boxshall 1974), duration of exposure to parasite infective stages and host behaviour, especially the ability of host to escape and avoid subsequent movement of argulids, are important in generating the aggregated distribution of argulids observed on a fish population. On the other hand, it seems that transmission of A. coregoni is opportunistic and non-selective (see also Mikheev et al. 2004), which would be reasonable since metanauplii carry relatively low energy store, have poorly developed swimming legs (Stammer 1959) and poor sensory repertoire for host location (Mikheev et al. 2004). More developed juveniles could switch to a preferred host and thus increase their level of fitness. A. foliaceus were observed to detach from and attach to hosts repeatedly during their ontogeny (Pasternak et al. 2000). Mikheev et al. (2004) also noted that A. coregoni host switching occurred more frequently on non-typical roach host than on rainbow trout.
3.6 Survival, infectivity and costs for delayed infections (V)
A. coregoni off-host survival and infectivity were explored by withholding parasites from hosts and then measuring the subsequent infection success.
Costs of late infection were assessed by following parasite growth and survival on fish. Length measurements showed that the length of the off-host period had a negative effect on growth of A. coregoni. Mature parasites, that had spent more than 40 hours searching for a host 3 weeks previously, were significantly shorter than parasites that found a host earlier. Although size differences between A. coregoni kept off-host for different time periods decreased in magnitude as the parasites developed, a difference was still seen after 6 weeks on a host. Following 7 weeks maintenance on fish, all parasites were of equal size. Such an accelerated growth following prolonged periods of food shortages are known in many free-living animals (Arendt 1997, Metcalfe & Monaghan 2001), but this is, to my knowledge, the first demonstration of a compensatory growth response in a parasite. Such a growth pattern also suggests that growth rates of parasites, although not limited by food availability, may be established at sub-maximal levels.
The off-host survivorship of A. coregoni metanauplii at 16.5ºC was agedependent (Anderson & Whitfield 1975); zero mortality was recorded until an age of 90 hours, after which the mortality rate increased exponentially, with the maximum life span being 174 hours. Interestingly, A. coregoni that were kept off host over 1 to 140 hours were equally infectious and able to attach fish. The infection and survival patterns of free-living parasite infective stages are generally characterised by temperature dependence, longest survivorships being recorded at low ambient temperatures (e.g. Evans 1985, Thomas & Ollevier 1993, Gannicott & Tinsley 1998, Carthy 1999). As a major part of an A. coregoni population recruits in spring at water temperatures around 10ºC (I), the effective transmission phases for individual parasites are likely to exceed periods recorded in the present study. Previous detailed studies on infectivity of Argulus spp. in relation to time spent host searching are lacking (but see Kollatsch 1959), so temperature dependence of survival remains to be clarified.
Age-dependent mortality and infection patterns have been observed for many other free-living parasite stages (Anderson & Whitfield 1975, Thomas & Ollevier 1993, Gannicott & Tinsley 1998, Karvonen et al. 2003, Whitfield et al. 2003) and are associated with the depletion of finite energy resources (Anderson & Whitfield 1975). This suggests that A. coregoni metanauplii carried rather equal amounts of resources for host seeking. Therefore, the temporal heterogeneity in the infectivity of A. coregoni is likely to be formed through a variable and extended hatching pattern (Mikheev et al. 2001, paper III) providing a mechanism to cope with the unpredictability during the transmission phase (Seger & Brockmann 1987, Philippi & Seger 1989, Hopper 1999, Fenton & Hudson 2002).
Although not supported by the infectivity data, the expectation that delayed infections in terms of an extended host searching period may pose a fitness cost for a parasite is supported by present observations on survival of parasites after settlement on a host. The survival of A. coregoni that had spent more time for host searching seemed to be lower than those that found a host sooner. On average 34% of A. coregoni that were kept off-host less than 120 hours reached adulthood, but only 1% of attached parasites kept off-host over
160 hours survived. It appears that there is a cost of delayed transmission and subsequent accelerated growth rates, manifested in survival on host.
4 CONCLUSIONS
The objective of this thesis was two-fold. The first aim was to study the ecology of Argulus coregoni by examining its life history tactics. The second aim was to estimate parameters for a detailed host-macroparasite model that will capture parasite population dynamics and provide means to plan cost-effective management practises against Argulus ectoparasites that currently cause serious losses in aquaculture throughout the world. This study showed that water temperature was a key determinant of temporal patterns of A. coregoni population abundance and dynamics. Neither parasites attached on a host (I), egg-laying (III) nor egg-hatching were observed at temperatures below 10ºC (II). Therefore, an A. coregoni model has to be run for single seasons by simulating the development of a parasite cohort from hatching to adulthood, and then stopped. Eggs laid by the adult parasite cohort plus any surviving unhatched eggs remaining in the egg-bank from the year before are used as an initial cohort of eggs in the following spring. The Argulus model will be based on generic host-macroparasite models by Anderson & May (1978), and flowchart of the model is represented in figure 2.
One of the key parameters in host-parasite models is the transmission coefficient, β. This instantaneous transmission rate of an A. coregoni metanauplius was estimated in a separate experiment by following parasite transmission in relation to host exposure time (Hakalahti, unpublished). Parasite transmission will first be modelled using the law of mass-action, i.e. assuming that parasite transmission is linearly proportional to host density (McCallum 2000). To more exactly estimate β, this experiment should later be repeated under various temperature and host density conditions. Nevertheless, experiments showed that A. coregoni transmission was opportunistic and nonselective, and that rainbow trout did not seem to develop effective resistance mechanisms against metanauplii after their first encounters with the parasite (IV). The survival and infectivity of metanauplii were age-dependent, suggesting that individual parasites carried equal amounts of resources for host searching (V). Delayed starts of A. coregoni in respect of host searching times were negatively reflected in the initial growth rate of settled parasites (V). Over time, size differences became less pronounced and eventually all parasites were of equal size. Argulus thus appeared to compensate for delayed growth resulting from an extended host searching period by elevated growth rates, although it was shown that nutrient deficiencies coupled with subsequent compensatory growth incurred a cost, through decreased life-expectancy before the reproduction period.
FIGURE 2 A draft Argulus model. Summary of gains and losses of individual free-living stages, juveniles, adults and eggs in an Argulus population.
Hatching rate
θ
1
Fecundity λ
Transmission
coefficient β
Mortality δ
S
Mortality δ
E
Eggs
Free-living
stages
Juveniles
Adults
Maturation
rate θ2
Mortality δ
J
Mortality δ
A
Fish mortality
as a function
of parasite
abundance
k
Although the majority of the A. coregoni population was recruited to fish in spring, the recruitment (I) and the hatching of individual egg clutches were extending over several months (II). The examination of hypotheses concerning the ecological mechanisms behind this extended recruitment pattern supported the predictions of an adaptive bet-hedging strategy in relation to Argulus infection strategy (II). Thus, the delayed hatching can be seen as an adaptation to an unpredictable, risk-prone environment. Cooling and subsequent temperature rise triggered high peaks of hatching (II), a phenomenon also seen among the over-wintered eggs (Mikheev et al. 2001). Such a relaxation of diapause during a cold period may have evolved to synchronise the life-cycle of the parasite with the short summer period available for growth and breeding (Tauber et al. 1986). As also shown by the peaked hatching of over-wintered A. coregoni eggs collected at a fish farm (Mikheev et al. 2001), relatively little riskspreading, as expected from mathematical models (Fenton & Hudson 2002), was observed at the high fish densities. Even more extended recruitment is expected under low host densities (Fenton & Hudson 2002).
As in many other host-parasite systems (Shaw & Dobson 1995, Shaw et al. 1998), the A. coregoni-rainbow trout system was characterised by aggregated dispersion of parasites among their hosts (IV). The aggregation seemed to arise through variations in fish exposure to parasites rather than by differences in host susceptibility (IV). Heterogeneity in the exposure could be formed due to observed concomitant spatial (III) and temporal (I and II) variability in the Argulus infection pressure. The level of morbidity and mortality caused by a macroparasite is usually a function of the parasite load. The present study gave an estimate of the aggregation index (k) needed for a model to evaluate the potential of parasites to regulate their own population dynamics though density-dependent effects (IV). If parasite fecundity is traded off against virulence, mediated by host survival, parasite growth rates may be constrained by the risk of host mortality. These density-dependent effects remain to be clarified in the Argulus-rainbow trout system. However, this cost might be reduced for argulids, because they can detach from a dead fish and find a new host (Pasternak et al. 2000), which is likely to be an advantageous strategy in dense fish populations.
When planning control strategies, an estimate of the basic reproductive ratio of the parasite (R0) allows evaluation of whether or not to expect parasite epizootics (Hudson et al. 2002). Clearly, when an individual female parasite is not able to replace herself (R0 < 1) the parasite will be lost from the host population. An epidemiological Argulus model will be used for testing the effect of various control scenarios on parasite population dynamics. One such example would be simulation of the impact of egg removal on parasite population abundance. A way to remove eggs with artificial egg-laying plates was developed in this project (III).
First of all I would like to thank my supervisor Professor Tellervo Valtonen for providing me the opportunity to work on these fascinating creatures (Argulus) and for encouragement throughout the project. At the very beginning Anna Pasternak and Viktor Mikheev kindly guided me as I started working on argulids.
Thanks are due to my co-workers in this project, Heli Häkkinen and Matthias Bandilla, who helped me with sometimes very back-breaking field and lab work. Without your help and support such an extensive work would not have been possible.
The major parts of the experiments were undertaken at Konnevesi research station or at a central Finnish fish farm. I thank numerous people working in these places, who helped us in various aspects. To name just a few, Yrjö Lankinen supported our studies by providing us with facilities and fish. Jyrki Raatikainen, Janne Koskinen and Risto Latvanen constructed fine working facilities for us at Konnevesi and maintained our fish.
I also want to thank all my colleagues and friends at the Department of Biological and Environmental Science. Special thanks to the 'parasitology group' at the department for companionship during the congress or course trips which I made with some of you, and for relaxing coffee and discussion sessions. I also thank our technicians in the department, Juha Ahonen and Tarmo Halinen, who helped us whenever needed.
Various parts of this study benefited from discussions and comments from numerous people. Special thanks for Professor Peter J. Hudson for commenting most of my papers. Also Andrew Fenton, Andrew Dobson, Jukka Jokela, Anssi Karvonen, Anna Pasternak, Viktor Mikheev and Yrjö Lankinen are acknowledged for useful ideas or comments on the manuscripts. Professor Roger Jones kindly checked the English of this summary.
Finally I would like to thank my family, Kalle and Tuisku, my relatives and all my friends for love and support during these years.
This study was funded by the Foundation for Research of Natural Resources in Finland, Biological Interactions Graduate School, University of Jyväskylä, SUNARE –project (Sustainable Use of Natural Resources) of the Academy of Finland, Ella and Georg Ehrnrooth foundation and Ellen and Artturi Nyyssönen foundation.
YHTEENVETO
Loisen elinkiertopiirteet – perusta tehokkaalle torjunnalle
Loiset ovat eliöitä, jotka ottavat osan tai kaikki resurssinsa toisista elävistä organismeista, loisen isännistä. Loiset elävät suuren osan elämäänsä kiinnittyneinä isäntiinsä ja aiheuttavat yleensä haittaa vaikuttaen negatiivisesti isännän elinkiertopiirteisiin. Tästä syystä isännille on kehittynyt erilaisia käyttäytymistapoja välttää loisia tai fysiologisia mekanismeja torjua loiset infektion jälkeen. Isäntä on loiselle ravintorikas elinympäristö elää ja loisten lisääntyminen on usein tehokkaampaa kuin vapaana elävien, lähisukuisten lajien. Monet suoran kehityksen omaavat loiset leviävät uusiin isäntiin vapaana elävien vaiheiden kautta, jotka ovat lyhytikäisiä. Transmissiovaiheessa (siirtyminen isäntään) tapahtuva suuri kuolleisuus on yksi loispopulaatioiden kasvunopeutta rajoittava tekijä. Loisten transmissiomenestykseen vaikuttaa loiselle herkkien isäntien tiheys loisen ympäristössä. Luonnonoloissa isäntiä on harvassa ja niiden esiintymistä on vaikea ennustaa ja loiset harvoin runsastuvat epidemioiden tasolle. Toisaalta esimerkiksi kalanviljelylaitoksilla loistaudit ovat yleisiä.
Tässä väitöskirjatyössäni tutkin Argulus coregoni -kalatäin elinkiertopiirteitä sen elinkierron eri vaiheissa, johon kuuluvat munat, munista kuoriutuvat transmissiovaiheet (metanauplius) ja kalassa elävät aikuistuvat loiset. A. coregoni on pääasiassa lohikaloilla esiintyvä laji, jonka isäntänä tutkimuksissa käytin kirjolohta, Oncorhynchus mykiss. Kalatäit ovat pintaloisia, jotka ruokailemalla ja liikkumalla kalassa vaurioittavat ihon pintaa. Ihovauriot yhdistettynä sekundäärisiin sieni- ja bakteeritauteihin voivat johtaa kalan kuolemaan. Kalatäit muistuttavat elintavoiltaan vapaana eläviä saalistajia, koska ne voivat irrottautua kalasta, elää vapaana ja vaihtaa isäntää. Kalatäiden torjunta on osoittautunut vaikeaksi, ja tehokkaita, ekologisesti kestäviä torjuntamenetelmiä loista vastaan ei ole. Erityisesti A. coregoni -lajin ekologian tuntemus on puutteellista. Väitöskirjatyöni pohjalta tullaan kehittämään epidemiologinen lois-isäntämalli, jossa loisen populaatiodynamiikkaa voidaan simuloida erilaisissa tilanteissa. Tämä mahdollistaa erilaisten torjuntakeinojen tehon selvittämisen ja optimoinnin sekä ympäristön että kustannus-tehokkuuden kannalta.
Työssäni I tutkin A. coregoni populaation rakennetta ja dynamiikkaa keräämällä kalatäinäytteitä kaloista. Kalatäin aikuis- ja poikasvaiheiden esiintyminen kalanviljelylaitoksella oli vuodenaikaista, ja niitä esiintyi vain yli 10 ºC:n lämpötiloissa. Laji talvehti ainoastaan munina. Ensimmäiset kalatäit havaittiin kalojen pinnalla toukokuussa. Loisen munien kuoriutuminen alkoi siten että suuri osa kesän aikana kuoriutuneista loisista kuoriutui ja siirtyi loisimaan kesäkuun puoliväliin mennessä. Osa munista kuoriutui pitkin kesää ja jopa yli usean vuoden. Alkukesästä A. coregoni -lajin sukupuolijakauma oli 1:1, mutta muuttui koirasvaltaiseksi heinäkuussa, jolloin naaraat alkoivat irrottautua kaloista munimaan altaiden pohjille. Myös kalatäin populaatiokoko laski syksyä kohti. Tutkimustulokseni osoittavat, että Keski-Suomessa on vain yksi A. coregoni sukupolvi kesän aikana.
Selvitin mekanismia populaatiotasolla havaitun pitkäkestoisen kuoriutumisen taustalla keräämällä yksittäisten kalatäinaaraiden tuottamia munaryhmiä ja seuraamalla niiden kuoriutumista huoneenlämmössä. 'Bet-hedging' hypoteesin mukaan elinympäristöissä, joissa isäntien esiintyminen on ajallisesti epäennustettavaa, loisten kannattaa tuottaa pitkällä aikavälillä kuoriutuvia jälkeläisiä. Pitkäkestoinen kuoriutuminen populaatiotasolla voi selittyä myös ilmiasun joustavuutena (fenotyyppinen plastisuus), jos munat altistuvat määrällisesti ja/tai laadullisesti vaihtelevasti kuoriutumista laukaiseville ympäristötekijöille. Tästä syystä osa munaryhmistä altistettiin toistetuille kylmäjaksoille. Tutkimustulokseni tukevat 'bet-hedging' hypoteesin oletuksia suhteessa loisen infektiostrategiaan. A. coregoni naaraat tuottivat jälkeläisiä, joissa yhdestä munitusta munaryhmästä kuoriutui metanaupliuksia keskimäärin 7 kuukauden ajan. Kylmäjaksot tuottivat kuoriutumispiikkejä huoneenlämpöön siirron jälkeen kaikista munaryhmistä, mutta niiden kokonaiskuoriutumisjakso ei eronnut huoneenlämmössä jatkuvasti pidetyistä munista. Havaittu pitkäkestoinen, jopa usean vuoden ajan jatkuva, transmissio voi varmistaa lohikaloilla loisivan kalatäin elinkierron jatkumisen vesistöissä, joissa yhtäaikainen kuoriutuminen on riski. Myös muninta-ajankohta vaikutti A. coregoni munien kuoriutumiseen siten, että ainoastaan pieni osa alkumunintakaudesta (heinäkuu) munituista munista kuoriutui saman vuoden elokuussa. Tämä voi mahdollistaa toisen sukupolven kehittymisen lämpiminä syksyinä.
Kalatäin munien pitkäkestoinen kuoriutuminen ja sitä seuraava pitkäkestoinen kiinnittyminen kaloihin vaikeuttaa ko. loisen torjuntaa perinteisten kemikaalikylpyjen avulla. Tästä syystä selvitin kalatäin munintakäyttäytymistä ja mahdollisuutta kerätä ja tuhota loisen munia mekaanisin keinoin sijoittamalla keinotekoisia muninta-alustoja kalanviljelyaltaisiin. A. coregoni -naaraat munivat alustoille runsaasti munia ja valitsivat tummia, syvimmässä vedessä ja virralta suojassa olevia alustojen osia munintapaikoikseen. Altaiden pohjille sijoitettujen kivien pinnoilta kerättiin kuitenkin suhteellisesti enemmän munia kuin alustoilta, joka osoittaa altaiden saneeraamisen (muovitus) tarpeen kalatäiongelmien ehkäisyssä tulevaisuudessa. Edellisessä tutkimuksessa havaittu ajallisesti vaihteleva munien kuoriutuminen yhdistettynä munien epätasaiseen sijoittumiseen vesistössä aiheuttaa eroja kalayksilöiden välillä metanaupliusaltistuksessa.
A. coregoni kalatäit olivat jakautuneet epätasaisesti yksittäisten kalojen kesken. Ainoastaan pieni osa kalapopulaatiosta oli hyvin voimakkaasti loisittu. Selvitin mekanismia epätasaisen jakauman taustalla seuraamalla yksittäisten kalojen kalatäi-infektiota suhteessa aikaan ja altistuskertoihin laboratoriossa. Loisen epätasainen jakauma kalojen kesken syntyi ainoastaan lyhyillä altistusajoilla. Pitkillä altistusajoilla loiset olivat jakautuneet tasaisesti kalojen kesken. Kaloille ei kehittynyt tehokasta immuunipuolustusta uutta kalatäiinfektiota vastaan ensimmäisen altistuksen jälkeen. Altistusväli oli 3 viikkoa. Nämä tulokset tukevat näkemystä, että epätasaisen jakauman taustalla pääsyynä olivat todennäköisemmin erot siinä miten kauan kalayksilöt altistuivat loiselle, kuin erot kalojen geneettisessä alttiudessa kalatäille.
Selvitin myös A. coregoni metanaupliusten selviytymistä ilman kalaa ja kykyä kiinnittyä kalaan suhteessa kalatäin ikään. Tutkin mahdollisia kustannuksia pidentyneestä isännän etsimisajasta seuraamalla eri-ikäisinä kiinnittyneiden kalatäiden myöhempää kasvua ja selviytymistä kalassa. Kaikki metanaupliukset elivät 90 tuntia (16,5ºC) ilman isäntää, jonka jälkeen kuolleisuus kasvoi nopeasti. Pidentynyt kalan etsimisaika oli kalatäille kustannus vaikuttaen negatiivisesti sekä myöhempään kasvuun että selviytymiseen kalassa. Nopeimmin kalaan kiinnittyneet kalatäit kasvoivat alussa nopeammin kuin yksilöt, jotka kiinnittyivät kaloihin myöhemmin. Nämä kuitenkin saavuttivat pituudessa aikaisemmin kiinnittyneet yksilöt. Vastaavia kompensaatiokasvumekanismeja on aikaisemmin kuvattu vapaana elävillä eliöillä vasteena nälkiintymiseen ja siitä johtuvaan hitaampaan kasvuun.
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West-Eberhard, M. J. 2003. Developmental plasticity and evolution. 794 p., Oxford University Press, New York.
Whitfield, P. J., Bartlett, A., Khammo, N. & Clothier, R. H. 2003. Age-dependent survival and infectivity of Schistosoma mansoni cercaria. Parasitology 127: 29-35.
Wilson, K., Bjørnstad, O. N., Dobson, A. P., Merler, S., Poglayen, G., Randolph, S. E., Read, A. F. & Skorping, A. 2002. Heterogeneities in macroparasite infections: patterns and processes. In: Hudson, P. J., Rizzioli. A., Grenfell, B. T. Heesterbeek, H. & Dobson, A. P. (eds), Ecology of wildlife diseases: 6-44. Oxford University Press, Oxford.
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An Employer's Guide to the Health Savings Account (HSA)
18 th Edition | 2020/2021 Limits
Updated: November 2020
Proprietary
®
Table of Contents
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Publisher's Note
Recognized as a valuable resource by millions of Americans since 2004, HSA Road Rules is an easy-to understand guidebook that gives you the information you need to know about HSAs. The information in HSA Road Rules may not necessarily apply to your specific plan. It also may not take into account your employee benefits situation. For specific tax or legal advice, please consult with your own tax or legal advisor.
About PayFlex®
PayFlex is part of the Aetna® family and one of the nation's leading account-based third-party administrators providing innovative benefits administration and technology solutions for health care spending and saving accounts, COBRA and commuter benefit programs. The company powers the development and delivery of complete health care banking services for both consumers and businesses.
PayFlex pioneered the first platform that combines benefit financial accounts, wellness and eligibility management all in one. This platform houses nearly two million participants and several million eligible lives, combines over two decades of tax-advantaged account administration experience with a suite of wellness and engagement services that are integrated together to form a powerful solution. Our complete solution is designed to educate employees on health care issues, engage them in wellness activities through customized programs and incentives, and empower employees to make their own health care decisions.
This document contains proprietary information that is protected by U.S. and international copyright laws. This document may not be modified, reproduced or transmitted in any form or by any means without express written consent of PayFlex Systems USA, Inc.
© 2020 PayFlex Systems USA, Inc.
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Introduction to Health Savings Accounts (HSAs)
An HSA is like a 401(k) for health care yet the HSA tax benefits are far greater. It is a tax-favored, interest-bearing account that your employees use to pay for qualified medical expenses, now or in the future. Employees can save or invest the account funds. Paired with a qualified high deductible health plan (HDHP), an HSA is a powerful financial tool that gives your employees more control of their health care decisions.
Unlike other savings vehicles (Roth IRA, Traditional IRA, 401(k), etc.), an HSA offers triple tax savings.
* Tax-free interest or investment earnings (2)
* Pre-tax or tax-deductible contributions (1)
* Tax-free distributions, when used for qualified medical expenses
You can contribute to your employees' HSAs. The employees are also able to contribute to their HSAs. Employees can make tax-free withdrawals to pay for qualified medical expenses. This includes expenses for the employee and his or her spouse and tax dependents. This is true even if the employee has a selfonly HDHP.
HSAs are also portable. This means that employees keep their HSAs when they change employers or stop working. Unlike an FSA, there is no "use-it-or-lose-it" rule with HSAs. Unused contributions remain in the account each year, earning tax-free interest. If the employee invests HSA funds, those funds remain in the investment account, very similar to an IRA or 401(k). HSAs offer the potential for long term, tax-free savings that can be used for future health care expenses. These include out-of-pocket expenses after retirement, Medicare and long-term care (LTC) premiums, up to Internal Revenue Service (IRS) limits and certain LTC expenses.
There are no income limitations.
(1) Employers should consult a tax advisor. Tax references are at the federal level. State taxes may vary.
(2) Investment products are not FDIC insured, have no bank guarantee and may lose value.
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HSA Trends
Market trends continue to show adoption of account-based health plans (ABHP), and specifically HSAs.
The number of HSAs continues to rise
Employers continue to fuel Consumer Directed Health Plans (CDHPs) & HSAs
HSAs continue to grow annually with accounts surpassing 25 million. This represents a 13% year over year growth at the end of December 2018. Assets are growing as well with over $53 billion which is a 19% increase in HSA assets.
Close to 70% of employers offered at least one High Deductible Health Plan (HDHP) in 2018 according to The State of Employee Benefits Report. The enrollment in HSAs jumped from 50% in 2017 to 81% in 2018. Employers are trying to combat rising healthcare costs and are working to extend financial benefits to the employees given they have to make effective healthcare decisions as costs are shifting more to the employee.
The average employer contribution for 2018 was $839 (up from $604 in 2017), and the average employee contribution was $1,872. This is according to Devenir's 2018 Year-End HSA Marketing Research Report.
Employer HSA contributions
Spenders, Savers, Investors
* 68% are deemed to be spenders, those who spend most if not all of their funds on out-of-pocket health care costs
According to Devenir:
* 23% are said to be savers, with balances between $1K - $5K
* 9% use their HSA as an investment vehicle and have an average investment balance of $9,700 and an average annualized return of 12.5% over the past 3 years
Devenir Research 2018 Year-End HSA Market Statistics & Trends
Read the full report here. Below are some key findings:
* HSA accounts now exceed 25 million. The number of HSA accounts rose to over 25 million, holding over $53 billion in assets, a year over year increase of 19% for HSA assets and 13% for accounts for the period ending December 31 st , 2018.
* HSA investments see continued growth. HSA Investments continue to grow with investment assets reaching $10.2 billion at the end of 2018. On average, investment account holders holda $14,617 total balance (deposit and investment account). Investors represent less than 5% of all account holders, yet they hold over 29% of the total HSA assets.
* Fewer unfunded accounts. Less HSAs (16%) were unfunded at the end of 2018, compared to 20% at the same time in 2017.
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Universal HSA Principles for Employers
Qualified HDHPs
[x] Switching to an HDHP from a traditional health plan may substantially lower your company's health plan contributions. You can then use some of that savings for contributions to your employees' HSAs. This can make for a win-win situation for both employer andemployees.
[x] Employees must have a qualified HDHP to contribute to an HSA. They also cannot be enrolled in Medicare or Tricare; be someone else's tax dependent; or have any non-permitted coverage.
HSA Ownership
[x] Employees become empowered when they elect an HSA. Since employees own their HSA funds, they are typically more careful in making their health care decisions. This makes them better health care consumers. HSA account owners are more likely to inquire about the cost of their health care costs.
[x] All funds in an HSA, including employer contributions, are the property of the employee. This is true even if an employee changes jobs or stops working.
HSA Withdrawals
[x] Employees decide if, when and how much to spend from the HSA. Employees also decide whether to use the funds now or to save them for the future. Just like a 401(k), earnings that compound tax-free for several years have the potential to grow into a retirement health care nest egg. After age 65 or in the event of a disability, an employee may even withdraw funds for non-qualified expenses without paying a tax penalty. The employee would still pay income taxes for this withdrawal.
[x] There is no time limit as to when employees can reimburse themselves for qualified medical expenses. Employees should be encouraged to keep all receipts and records in case the IRS audits them.
HSA Contributions
You can make tax-free contributions to your employees' HSAs through a Section 125 cafeteria plan. You may also let employees contribute with pre-tax payroll deductions.
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HSA Road Rules for Employers
The employee owns the contributions in the HSA. You cannot restrict the use of an employee's HSA funds.
Employee Contributions
* Employees may prospectively change their HSA contributions through a cafeteria plan without a family status change. However, you may put reasonable limits on how often they can change their contributions. You must allow them to make changes at least monthly.
* If you offer an HSA through a Section 125 cafeteria plan, employees may contribute to the HSA with pre-tax payroll deductions. Employees may also contribute on an after-tax basis. If they contribute after-tax, they would take an "above-the-line" deduction on their taxreturns.
HSAs and ERISA
o The employees have the option to open an HSA. This is voluntary for the employees.
* An HSA is generally not an "employee welfare benefit plan" under the Employee Retirement Income Security Act (ERISA). Generally, the HSA must meet the following requirements for it to not be governed by ERISA.
o The employer does not prevent employees from moving their funds to another HSA.
o The employer does not influence or make the investment decisions.
o The employer does not impose conditions on how employees can use the funds.
o The employer does not represent that the HSA is an employee welfare benefit plan which is established or maintained by the employer.
o The employer does not receive any payment or compensation in regard to the HSA.
Employer Contributions
o Pay-as-you-go: You fund the HSAs based on the paycheck schedules (bi-weekly, monthly, etc.).
* HSAs may be funded on a pay-as-you go, look back or pre-funded basis.
o Look back: You contribute to HSAs for each full month that an employee was enrolled in the HDHP.
* Employer contributions are tax-free. They are not part of the employee's income.
o Pre-funded: You fully fund the HSAs on the first day of the plan year.
* You might employ a married couple. If they have a family HDHP that covers both of them, you only have to contribute to one of the HSAs.
* If you do not provide your employees with health coverage you may still contribute to their HSAs. Employees may buy HDHP coverage on their own. You may offer to make HSA contributions through a Section 125 plan. If you do this, you must also adhere to the Section 125 plan's non-discrimination rules.
* You may require your employees to complete a wellness or disease-management program or risk assessment to receive employer contributions.
* Sometimes employees have medical costs that are more than what they contributed to date into their HSAs. You may accelerate HSA contributions for these employees. If you do this, you must do it equally for all eligible employees throughout the plan year.
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Comparability Rules
If you offer the HSA through a Section 125 cafeteria plan, you can disregard this section. Comparability rules apply only to an HSA plan that is not part of your cafeteria plan.
* Employer contributions must be comparable. This means that all employer contributions must be either the same dollar amount or the same percentage of the deductible. You may apply this within certain defined employee categories. These include lines of coverage (family vs. selfonly); type of employment (part-time, full-time and former employees); and level of compensation (hourly vs. salary; highly compensated vs. non-highly compensated).
o Part-time employees are typically those who work under 30 hours. Full-time employees are typically those who work 30 hours or more.
o If you use the highly vs. non-highly compensated category, you must contribute more to the non-highly compensated employees.
* You may further break down the coverage levels (self-only vs. family). You may have subcategories based on the number of dependents (employee plus one dependent, employee plus two, etc.). You may not fund differently within these subcategories. For example, a family with more covered dependents can never receive a lower amount than a family with less covered dependents.
* If you will be making employer contributions, you must let all eligible employees know that you will contribute for that year. You can do this in a written or electronic notice. Employees who have not yet opened an HSA or who have not yet told you that they have an HSA have until February of the following year to notify you that they have an HSA. You would then have to make the contributions.
* An employer can provide a higher contribution to non-highly compensated employees than to a highly compensated employee, but not the reverse. An employer cannot contribute more to highly compensated employees than to non-highly compensated employees. By doing so, an employer risks breaking comparability rules. It is possible that you have employees in your HDHP who have their HSAs somewhere else. If you contribute to the HSA of one of these employees, then you must do so for all similarly situated employees.
* If you make a contribution that is not in line with the comparability rules, you may not take back any excess contribution. Instead, you have until the tax filing deadline to correct the contribution so that it is comparable by making additional contributions plus reasonable interest (up to an employee's annual contribution limit).
* An employer can make contributions to the HSAs of terminated employees. However, you must give the same contribution to all employees within the same category (i.e. full time, part time, non-active). If an employer funds employee contributions at the beginning of the year, and an employee terminates employment after the beginning of the year, the employee does not have to return those employer contributions. If an employer funds on a quarterly basis, the employer has to give the same amount to everyone in the same category at the time of the funding. Comparability rules do not apply to collectively bargained or union employees.
Non-Discrimination Rules
* These rules generally state that you may not contribute more for higher-paid employees than you do for lower-paid employees. You may however, contribute more for lower-paidemployees.
* Employer contributions through a Section 125 plan are subject to non-discrimination rules.
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Allowable Other Coverage
Generally, to be eligible for an HSA, the account owner may not have any medical coverage other than the HDHP. However, there are some exceptions. These include workers' compensation; medical liability for personal property (for example, car insurance); coverage for a specific illness or disease; or a daily fixed amount for a hospital stay.
Allowable other coverage also includes those listed below.
* You may offer a post-deductible HRA or a post-deductible LPFSA. They reimburse expenses incurred after meeting the deductible.
* You may offer a Limited Purpose FSA (LPFSA) or a Limited Purpose HRA (LPHRA). These accounts reimburse for dental, vision and preventive care.
* You may offer a combination of limited purpose and post-deductible.
* Receipt of Veterans Affair (VA) hospital care or medical services "for a service-connected disability" will not adversely affect an individual's ability to make HSA contributions, regardless of when the VA care or services were provided. For this purpose, a "service-connected disability" is a disability that was incurred or aggravated in the line of duty in the active military, naval, or air service
Non-Permitted Coverage
* An employee and/or their spouse can't have an active health care Flexible Spending Account (FSA) or Health Reimbursement Account (HRA) in the same year.
* An employee can't have other health coverage that pays for out-of-pocket health care expenses before they meet their plan deductible.
* An employee enrolled in Medicare or Medicaid, isn't eligible for an HSA. If they had an HSA when they enrolled in Medicare or Medicaid they can still use the funds. They just can't contribute to the account. Note: If an employee is eligible for Medicare but not yet enrolled, they can still contribute to the HSA.
* An employee can't be claimed as a dependent on another person's tax return.
* If an employee is enrolled in Tricare they aren't eligible for an HSA. (Tricare is health coverage for people in the military.) If they had an HSA when started on Tricare, they can still use the funds. They just can't contribute to the account.
COBRA
COBRA rules apply to the HDHP. They don't apply to the HSA.
Recoupments
* You may recoup HSA contributions if the employee was never eligible to contribute to an HSA. If the employee was not eligible to have an HSA, then no HSA exists. You may correct the error. You may ask the bank or administrator to return to you the funds that you have contributed. However, you may only do this in the same year that you sent the contributions. If you do not do this in the same year, then you must include the amounts contributed in the employee's income. You would also have to report this on the employee's Form W-2 for that year.
HSAs are individually owned accounts. This means that much of the responsibility for corrections is with the account owner. The regulations do permit you, the employer, to recover contributions in only two circumstances: (i) when the employee was never eligible for the HSA, and (ii) for excess contributions beyond IRS guidelines.
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* If you contribute an amount to an employee's HSA that is more than what that employee may contribute for the year that is an excess contribution. You may be able to correct the error. You may ask the bank or administrator to return to you the excess amount. If you do not recover the excess amount by the end of the taxable year in which the contributions were made, then you must include the amount in the employee's income. You would also have to report this on the employee's Form W-2 for that year.
You aren't able to recoup funds for any other reason. The IRS guidance does not allow for recoupments based on employer reporting error. This means that if you contribute to the HSA of an employee who is no longer eligible or erroneously to the wrong employee, you can't recoup the amounts from the HSA.
HSA Eligibility Road Rules
To be eligible for an HSA, the employee must be enrolled in a qualified HDHP.
* An HDHP has a higher deductible than most health plans. With this type of plan, the employee typically first pays a deductible. The deductible is based on coverage level (self-only vs. family). A self-only HDHP covers just the employee. A family HDHP covers the employee and at least one other person. A qualified HDHP has the following characteristics.
o Limit on out-of-pocket expenses
o Minimum deductibles
o Allowance to cover preventive care
Minimum deductibles
A qualified HDHP must have minimum deductibles. If the plan has a deductible that is lower than this minimum, it is not a qualified plan for the HSA.
| Minimum Annual Deductible | 2020 |
|---|---|
| Self-only coverage | $ 1,400 |
| Family coverage | $ 2,800 |
Limit on out-of-pocket expenses
A qualified HDHP is limited to what the employee pays out-of-pocket in the plan year. This includes deductibles, co-payments and co-insurance. Note: These apply to in-network only services. This does not include premiums, expenses that the plan does not cover and lifetime limits.
| Maximum Out-of-Pocket Limit | 2020 | 2021 |
|---|---|---|
| Self-only coverage | $ 6,900 | $7,000 |
Preventive care
The HDHP may cover preventive care while the employee is still meeting the deductible. As described in the Affordable Care Act and in IRS Notice 2004-23 and Notice 2019-45, this could include regular checkups as well as routine gynecological and well-child exams and as of July 17, 2019, certain medicines and services related to specific chronic conditions including asthma, congestive heart failure, depression, diabetes, heart disease, hypertension and osteoporosis. It also includes counseling to prevent illness, disease or other health problems. For your reference, a listing of recommendations and guidelines can be found at: www.HealthCare.gov/center/regulations/prevention.html.
Grace Period
* If the FSA reimburses dental, vision and preventive care only during the grace period, then the employees are eligible for the HSA on the first day they have the HDHP. Note: Your plan must restrict all FSA reimbursements during the grace period.
* If you offer an FSA with a grace period, then the mechanics of how reimbursements are made during the grace period will determine when employees are eligible for the HSA.
* If the FSA reimburses all qualified medical expenses during the grace period, then employees enrolled in the HDHP are not eligible to open an HSA until the first of the month following the end of the grace period.
Note: If an employee starts the grace period with a zero balance and also starts the HDHP that day, the employee is eligible to contribute to the HSA on the first day of the new plan year.
HSA Contribution Road Rules
General Contribution Rules
* An employee may make a deposit any time after the HSA is opened. They may deposit funds into the HSA in any amount or at any frequency up to their annual limit.
* An employee must have a qualified HDHP to contribute to an HSA.
* Employees may contribute up to the tax filing deadline for the year. For most people, that is April 15 of the next year.
* Anyone may contribute to the employee's HSA. This includes the employee, his or her spouse, the employer and any other person. Though anyone may contribute, all of the contributions belong to that employee. All contributions count toward the annual limit.
* The bank or trustee may set minimum deposit and balance amounts.
* An employee that is no longer enrolled in the HDHP generally cannot contribute to the HSA. However, he or she can still contribute up to their annual limit for the time they were eligible for the HSA. This means they may contribute for the months that they had the HDHP. See the Proration Rule section below. The employee may continue to spend the funds for qualified medical expenses.
* Each year the IRS sets the annual contribution limits. These limits are for HDHP coverage (self only vs. family). These amounts may change each year for the cost-of-living adjustment.
| Maximum Contribution Per Year | 2020 |
|---|---|
| Self-only coverage | $ 3,550 |
| Family coverage | $ 7,100 |
* Deposits to an HSA must be made in cash.
* If each spouse has a self-only HDHP, then each spouse may contribute up to the self-only limit.
* For married people, if either spouse has a family HDHP then both spouses have family coverage. This is true even if one spouse has a family HDHP and the other spouse has a self-only HDHP. Each spouse can have an HSA. However, between the two of them they are limited to the family contribution limit.
* If an employee has a family HDHP with per-person deductibles, he or she is still limited to the contribution limit for family coverage. For example, an employee has an HDHP with a $4,000 per person deductible. The employee and his or her spouse are on the HDHP. The contribution limit for the two of them is the family limit for the year.
Under Age 26 Covered on Parents Health Insurance
* Adult children up to age 26 who are covered on an employee's health plan and do not have other non-permitted coverage, can open his/her own HSA if covered under the family's HDHP.
* The dependent's contributions will not reduce the amount their parents can deposit into their accounts.
* This means that the adult child can contribute up to the family IRS maximum for the given tax year into his/her own HSA.
Last-month rule
Some employees will not have a HDHP for the entire year. They may start their HDHP at some point after January 1. This would be true for late enrollees, new hires and for plan years that do not start on January 1.
* If an employee has an HDHP on December 1, the employee may contribute to the HSA as if he or she is eligible for the entire year. The employee would have to remain in the HDHP through the "testing period." The testing period starts with the month of December and continues through the end of the following year. This is a total of 13 months. If the employee does not stay in an HDHP through the testing period, then the contributions for the months that he or she did not have the HDHP are no longer tax-free. The employee would also have to pay a 10% penalty on that amount.
* If an employee has a self-only HDHP on January 1 and ends the year with a family HDHP, the last-month rule applies. Since the employee would have a family HDHP on December 1, he or she can contribute as if he or she had family coverage for the entire year. The employee would then have to meet the testing period requirement and he or she must have an HDHP through the end of the next tax year.
Proration
If an employee has an HDHP for part of the year but not on December 1, then the Proration rule applies.
* Proration means that the employee contributes to the HSA just for the months that he or she is eligible. To prorate, the employee would calculate the contributions on a monthly basis. How much he or she can contribute for each month is based on having the HDHP on the first day of the month.
* If an employee has a family HDHP on January 1 and ends the year with a self-only HDHP, he or she would have to prorate contributions for the year. The employee would have to prorate the months when he or she had a family HDHP. The employee would then prorate the months for a self-only HDHP. When you add the two together, you have the amount that the employee can contribute for the year. There is no testing period.
Rollovers
o Funds in the HSA "rollover" from year to year.
* The term "rollover" has several meanings.
o An employee can rollover the funds from one HSA to another HSA.
* Funds remain in the HSA from year to year. There is no use-it-or-lose-it rule for HSAs.
o An employee can rollover funds from an IRA to an HSA.
* An employee may roll over funds from an Archer Medical Savings Account (MSA) into an HSA. The employee may also rollover from one HSA to another HSA. An employee must complete this within 60 days of withdrawing the funds.
o This transfer amount does count toward the annual contribution limit.
* An employee may make a one-time transfer from an IRA to an HSA. This is a tax-free, trustee-to trustee transfer. The amount of this transfer is limited to the employee's contribution limit for the year, based on the coverage level he or she has in the month of the transfer. If the employee changes from a self-only HDHP to a family HDHP, he or she can transfer up to the difference for the contribution limit.
o There is a "testing period." The employee must remain in the HDHP through the testing period. The testing period starts in the transfer month. It continues through the next 12 months, for a total of 13 months.
o If the employee does not have an HDHP through the testing period, he or she will have to pay income taxes on the transfer amount. The employee may also have to pay a 10% penalty tax.
Note: This transfer is not allowed for a Simplified Employee Pension (SEP) IRA or a Savings Incentive Match Plan for Employees of Small Employers (SIMPLE) IRA.
Trustee-to-Trustee Transfers
If an employee instructs one bank or trustee to move HSA funds to another HSA with a different bank or trustee, this is a trustee-to-trustee transfer. This is not a rollover. The employee may do this as often as he or she wants.
Catch-up contributions
* If an employee has to prorate contributions for the year, then he or she would also prorate the catch-up contribution.
An employee that is 55 and older can contribute an additional $1,000. This is a "catch-up" contribution. The employee may do this each year he or she is eligible for the HSA, until he or she enrolls in Medicare.
* If the employee has a family HDHP that covers a spouse, and the spouse is age 55 or older, the spouse may make a catch-up contribution. If the spouse wants to do this, he or she would have to open up his or her own HSA. Only one person may own an HSA. This means that the spouse cannot contribute his or her catch-up contribution to the employee's HSA. Note: This is assuming that the spouse has not yet enrolled in Medicare.
HSAs and Medicare
* If the employee enrolls in Medicare, he or she is no longer eligible to contribute to the HSA. Regardless of what day of the month that the employee starts on Medicare, the employee is no longer eligible to contribute toward their HSA from the beginning of the month they enrolled and going forward. They are, however, able to contribute for the portion of the year that they were not covered by Medicare using a prorated calculation.
* If an employee has a family HDHP, and the spouse is enrolled in Medicare, the employee may still contribute up to the family limit plus catch up contribution, if applicable.
* The employee may continue to use their HSA funds regardless of Medicare enrollment.
* As a reminder, if an employee needs tax or legal advice, they should speak with their own tax or legal advisor.
* If an employee delays enrolling in Medicare, they may receive up to six months of retroactive Medicare coverage. That period of retroactive coverage will be a period of Medicare entitlement. The employee will lose their HSA eligibility on the retroactive entitlement date, making them ineligible to contribute towards an HSA for those six months.
Excess Contributions
The amount that an employee may contribute to an HSA each year is based on a number of factors. These include the level of HDHP coverage (self-only or family); how long the employee had the HDHP; and his or her age. If the contributions to the HSA total more than what the employee can contribute for the year, the employee has an "excess contribution".
* If an employee has an excess contribution, he or she should withdraw that amount as well as any earnings on that amount. The employee has until the tax filing deadline to do this. For most people, the tax filing deadline is April 15 of the following year. The employee will have to pay income taxes on this amount. However, he or she will not have to pay a tax penalty.
* If the employee fails to meet a testing period (for last-month rule or rollover from an IRA), he or she cannot withdraw that amount as an excess contribution.
* If an employee does not withdraw the excess contribution by the tax filing deadline, he or she must also pay a six percent excise tax on that amount. This includes any interest earned on the excess amount. The employee will have to pay this excise tax each year that the excess amount remains in the HSA. If, in the next year, the employee uses the excess amount toward the annual contribution limit, the employee will not have to pay the excise tax again.
COBRA
COBRA continuation applies to the HDHP. If a former employee elects COBRA and continues the HDHP, you do not have to continue making deposits into the HSA. In addition, you are not required to continue to make HSA contributions during the COBRA continuation period.
HSA Spending Road Rules
Qualified Expenses
* Employees use their HSAs to pay for qualified medical care expenses. The medical care may be for the employee and his or her spouse and tax dependents. This is true even if the employee has a self-only HDHP.
* Employees may use the HSA funds to pay for specific insurance premiums.
* Qualified expenses include what the employee pays out-of-pocket for medical care. Medical care is the diagnosis, cure, mitigation, treatment or prevention of disease. This includes the cost of equipment, supplies and diagnostic tests.
o Long-term care (LTC) insurance (3)
o Health care coverage while receiving unemployment benefits
o COBRA health care continuation
o Medicare and other health insurance if age 65 and older, not including Medicare supplement
* Please refer to IRS Publications 969 and 502 for more information. IRS Publication 502 provides a list of qualified medical expenses. Both are on the IRS website at www.irs.gov (please see Table C for a sample list of qualified medical expenses and Table D for a sample listing of nonqualified medical expenses). Please note that Publication 502 contains guidance on what medical expenses are deductible on an individual's federal income tax form based on Internal Revenue Code Section 213(d), but that some expenses such as insurance premiums, that would be deductible under IRC 213(d) cannot be reimbursed from an HSA.
* Employees may use the HSAs for expenses incurred on or after the date the HSA is opened.
Non-Qualified Medical Expenses
An employee may use HSA funds for a non-qualified medical expense. However, the employee will have to pay income taxes on that amount. He or she may also have to pay a 20% tax penalty. If an employee is age 65 or older or disabled at the time of the withdrawal, he or she will not have to pay the 20% penalty. He or she would still have to pay the income taxes.
Mistaken Distribution
If an employee used HSA funds for a non-qualified medical expense, he or she may return the money to the HSA. The employee would have to do this before the tax filing deadline for the year in which the employee knew, or should have known, that the withdrawal was a mistake. If the employee returned the money before the deadline, they would not have to pay a penalty for this.
(3) The premiums for long-term care insurance that employees can treat as qualified medical expenses are subject to limits based on age and are adjusted annually.
®
Record Keeping
Employees with an HSA should keep all their receipts showing how they used their HSA funds. There are two key reasons to do this – to show that they used the funds for qualified medical expenses and in case the IRS audits them.
Beneficiaries of the HSA
An employee should choose a beneficiary when they set up an HSA. If the spouse is named as the designated beneficiary of the HSA, the account will become the spouse's HSA after the employee's death. If someone other than the employee's spouse is designated as the beneficiary, then upon the employee's death, the account will cease to be an HSA and the fair market value of the HSA becomes taxable to the designated beneficiary in the year in which the employee died. If there is no designated beneficiary, the HSA will become an asset of the account owner's estate and the fair market value will be included on the final income tax return.
HSA Tax Road Rules
Tax reporting is required for HSAs. Contributions to and distributions from the HSA are reported to the IRS. Each account owner will use IRS Form 8889 to report HSA activity. They will file this form with Form 1040.
| Who | What | When |
|---|---|---|
| Employers | Sends Form W-2 that includes HSA contribution information. HSA contributions made through a cafeteria plan are included in Box 12 using a code of “W.” | In January (for the prior tax year). |
| Custodian | Sends Form 1099-SA to account owners. Sends Form 5498-SA to account owners. We also send copies to the IRS. | In January for Form 1099 SA and in May for Form 5498-SA |
Tax Reporting – Employers
The IRS defines employee contributions made pre-tax through a cafeteria plan as employer contributions. You should combine these pre-tax contributions with any contributions from your company on Form W-2. You will report these in Box 12 with a code of "W."
Tax Reporting – Custodians
o The custodian will also report any excess contributions on Form 5498-SA. This is true even if they returned the funds to the account owner.
* HSA custodians must report contributions to the HSA. They report these on Form 5498-SA. This form also includes the Fair Market Value (FMV) of the HSA as of December 31 of that year. The custodian has until May 31 of the following year to mail this form to account owners. This form will include contributions through the tax filing deadline. This is generally April 15 of the following year.
* HSA custodians must also report distributions from the HSA. They report these on Form 1099 SA. The custodian must mail this form by January 31 to each account owner. It will include distributions through December 31 of the previous year. Distributions include:
o Debit card purchases
o Withdrawals
o Check payments to providers
o Return of net income on excess contributions
o Bill payment transactions
Tax Reporting – Account owners
* If an account owner has to report excess contributions, he or she will do so on Form 5329.
* Account owners must report HSA contributions and distributions on Form 8889. They will include this form as part of their federal income tax filing (Form 1040).
* Account owners can get Forms 8889 and 5329 as well as instructions for the forms on the IRS website (www.irs.gov). They may also call the IRS at 1-800-TAX-FORM or visit an IRS office in person.
Excess Contributions
* If the account owner corrects the excess contribution in a timely manner, he or she will not owe any excise tax on such excess contribution; however, the account owner will have to report that excess amount plus any net interest as "Other Income" on Form 1040.
* If an account owner does not correct excess contributions by the tax filing deadline, then he or she must calculate the excess amount. The account owner will do this on Form 8889. He or she will then report that amount and any excise tax on Form 5329.
Trustee-to-Trustee Transfers
An account owner does not have to report a trustee-to-trustee transfer. With a trustee-to-trustee transfer, the funds must pass directly from one custodian to the other. If the account owner accepts the payout from the HSA and then directs the funds to another custodian, that is not a trustee-to-trustee transfer. That is a rollover.
Rollover
Account owners are permitted one rollover per year. The account owner must complete this within 60 days of withdrawing the funds.
State Taxation
Most states provide favorable income tax treatment for HSA contributions. They generally follow the federal tax law for pre-tax contributions. This means that employees who contribute to an HSA do not pay federal and state income taxes on those amounts. However, some states do not follow federal tax laws. For those states, employees would still have to pay state income taxes on their HSA salary contributions. An employee should consult with their tax advisor or their state department of revenue to determine how state taxes may impact their HSA.
Table A
Allowable HSA Investments
Note: An HSA custodian or trustee may limit or restrict certain types of investments.
Not Allowable HSA Investments
Life Insurance Contracts
Collectables – including any work of art, antique, metal, gem, stamp, coin, alcoholic beverage or other personal property as described in Section 408(m)(3) of the Internal Revenue Code
Table B
Allowable Expenditures on Long-Term Care Insurance
In order to use HSA funds for Long-Term Care (LTC), the LTC insurance contract must meet the following requirements.
1. Be guaranteed renewable
2. Not provide for cash surrender value or other money that can be paid, assigned, pledged, or borrowed
3. Provide that refunds, other than refunds on the death of the insured or complete surrender or cancellation of the contract, and dividends under the contract, must be used only to reduce future premiums or increase future benefits
4. Generally, may not pay or reimburse expenses incurred for services or items that would be reimbursed under Medicare, except where Medicare is a secondary payer, or the contract makes per diem or other periodic payments without regard to expenses
Account owners are limited to the amount of HSA funds they can use to pay for qualified LTC premiums. These amounts may be adjusted annually for inflation. The amounts issued by the IRS are below.
| Age | 2020 |
|---|---|
| Age 40 or under | Up to $430 |
| Age 41 to 50 | Up to $810 |
| Age 51 to 60 | Up to $1,630 |
| Age 61 to 70 | Up to $4,350 |
| Age 71 or over | Up to $5,430 |
Source: IRS Revenue Procedure: 2020-45
Table C
Sample List of HSA Qualified Medical Expenses from your HSA
Account owners use the HSA funds to pay for qualified medical expenses. The IRS defines medical care as the diagnosis, cure, mitigation, treatment or prevention of disease, and the cost for treatments affecting any part of function of the body. When an account owner uses HSA funds to pay for a qualified medical expense, he or she has to determine if the medical care meets this definition. Generally speaking, medical care is for the prevention or alleviation of a physical or mental defect or illness. It is not for general health. See IRS Publications 969 and 502 for more information.
| Note: This isn’t a complete list | |
|---|---|
| Acupuncture | Alcoholism Treatment |
| Ambulance | Artificial Limb |
| Artificial Teeth | Bandages |
| Birth Control Pills (by prescription) | Breast Reconstruction Surgery (mastectomy) |
| Car, Special Hand Controls (for disability) | Certain Capital Expenses (for the disabled) |
| Chiropractors | Christian Science Practitioners |
| COBRA premiums | Contact Lenses |
| Cosmetic Surgery (if due to trauma or disease) | Crutches |
| Dental Treatment | Dermatologist |
*Only the cost above regular equipment is an eligible expense.
Sample List of Non-Qualified Medical Expenses from your HSA
| Sample List of Non-Qualified Medical Expenses from your HSA | |
|---|---|
| Note: This isn’t a complete list | |
| Advance Payment for Future Medical Expenses | Athletic Club Membership |
| Boarding School Fees | Babysitting (for healthy children) |
| Commuting Expenses for the Disabled | Bottled Water |
| Cosmetics and Hygiene Products | Controlled Substances |
| Diaper Service | Dancing Lessons |
| Electrolysis or Hair Removal | Domestic Help |
| Hair Transplant | Funeral Expenses |
| Household Help | Health Programs at Resorts, Health Clubs, & Gyms |
| Illegally Procured Drugs | Illegal Operations and Treatments |
| Medigap premiums | Maternity Clothes |
| Premiums for Life or Disability Insurance | Nutritional Supplements |
| Premiums for your HSA-qualified health plan | Premiums for Accident Insurance |
| Social Activities | Scientology Counseling |
| Swimming Lessons | Special Foods/Beverages |
| Travel for General Health Improvement | Teeth Whitening |
PayFlex Systems USA, Inc.
There may be fees associated with a Health Savings Account (HSA). Please see the HSA fee schedule online. This material is for informational purposes only and is not an offer of coverage. It contains only a partial, general description of plan benefits or programs and does not constitute a contract. It does not contain legal or tax advice. You should contact your legal counsel if you have any questions. Information is believed to be accurate as of the production date; however, it is subject to change. PayFlex cannot and shall not provide any payment or service in violation of any United States (US) economic or trade sanctions. Investment services are independently offered through a third-party financial institution. By transferring funds into an HSA investment account, you will be exposed to a number of risks, including the loss of principal, and you should always read the prospectus for the mutual funds you intend on purchasing to familiarize yourself with these risks. The prospectus describes the funds, investment objectives and strategies, their fees and expenses, and the risks inherent to investing in each fund. The HSA investment account is an optional, self-directed service, and PayFlex does not provide investment advice. Mutual funds and brokerage investments are not FDIC-insured and are subject to investment risk, including fluctuations in value and the possible loss of the principal amount invested. System response and account access times may vary due to a variety of factors, including trading volumes, market conditions, system performance, and other factors.
© 2020 PayFlex Systems USA, Inc.
41.03.108.1 K (11/20)
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Do it Your Self Exercise
Discover Your Core Values
People tend to collapse values and morals together but there is a distinction. Values are not right or wrong, they just are. When we are honoring our values – living in alignment with them, particularly our core values, we are happy. We feel more like our true selves, we have a "free to be me" spring in our step; we are in our "happy place". When we find ourselves in an environment that is not compatible with our values or worse yet compromising them, we are not happy. When we are unaware of our core values, we can inadvertently compromise our values and diverge from the truth of who we really are. As a response, we become numb and settle into a less than happy place.
How do we find authentic happiness? We must honor who we are and live a life that is in alignment with our core values, as much and as often as possible. How do you discover your core values?
Grounding your feelings in experience Step 1:
It is essential that we use life experiences to discover our core values. So tell me two stories. The first being about a time in your life that you would not want to repeat. I'm not looking for deep dark trauma, loss or secrets, rather describe a time that just wasn't great. Time and space of the experience is not important. The story could have taken place 5 days ago, or 15 years ago, and experienced in 5 minutes or over years. It doesn't matter. Think of a time when you were frustrated, felt stuck, unhappy or living someone else's dream? What made it an unhappy time? Think about what why it wasn't great? What is underneath the drama and emotion – how did you feel inside when you were in this situation and what was going on around you? Capture this story on paper in a format that is easy for you.
Ok, now let's flip it around and tell me a story about a time in your life that was magical. A time when you were on the top of your game, "in your element", or when you felt powerful…tell me that story. What was it about this time that made you feel so happy? What was going on and how were you showing up? What was happening around you that caused you to feel like you could totally and fully be yourself? Again, capture this story in a way that is easy for you.
These stories, in comparison, often mirror the same set of values. For example, let's examine a person, John, who values nature, perseverance, achievement and recognition. In the first story, the yucky story, John relates a summer where he worked long hours in a laboratory basement on experiments for his thesis that once again failed to show the results he expected. The second story, the good story, he relates, is an experience when he got first place in the Bridger Ridge Run and felt expansive when he crossed the finish line after a grueling but rewarding run across the Bridger Mountains. In the first story, John is not in an environment or situation that honors his core values. Although he persevered, John was not in nature and couldn't claim achievement or gain recognition from failed experiments. In the second story, John is feeling happy because all these values are being honored and fully expressed in the moment.
Do it Your Self Exercise
Discover Your Core Values
Discover your top 10 values Once you have your stories written out or in mind, look at a comprehensive list of values. Steve Pavlina has a great list; it is attached for your use. Focus on the feelings that the above-mentioned stories evoke and run through your values list with a highlighter marking the ones that resonate with you. The stories are important because without considering life experiences, you often "should on yourself" and choose values out of guilt or shame and miss the significance of this exercise. My first time through the values list, I felt intense guilt for not choosing "family" as a core value because I believed the "right" answer should include family. Keep in mind values just are; they are not right or wrong. Move quickly, but methodically through the list. Stay out of your head and grounded in your body. Quickly check in with how your body feels with each word. What does it feel like if you were to honor or compromise that value? See if you feel strongly at either or both extremes. For example, do you feel excited imagining a life honoring this value. Do you feel restricted and fatigued imagining a life where you compromise the value? Step 2:
Another way to consider each value is as if it was a jacket you were trying on at the store. Try the jacket on. How does it fit? Is it yummy? Does it make you feel sexy in your own skin? If not, try on the next one. There is no judgment.
For example, try on "accomplishment" how does it feel to you? Do you feel expansive? How's your breath – is it shallow or deep and strong? Do you feel anxiety or confinement when considering what it feels like to "be in accomplishment"? Just notice, without any judgment. Highlight the values that give you a positive and pleasurable feeing in your body. Unless there has been trauma, your body will not lie to you. Allow it to guide you to what feels right and stay out of your head. Resist analyzing each value as if you "should" or "should not" have it as a core value.
Refine your list of values Step 3:
Accumulate a list of the values that elicit a strong response from you. Once the list feels complete, begin grouping like values. How you group them is totally and completely unique to you. The groupings do not have to make sense to anyone except for you. Ideally you'd group them into a few "buckets"…anywhere from 5-12 (try not to go over 10 categories). Again, there is no right or wrong way to do this. Some buckets might have 20 or more words while others may only have 3-5 or even just a single word.
Once you feel complete with your categories, find a word or value that best describes that "bucket". It may be a word from the grouped list of words, or you can make up a new word that best describes it. 3-5 values with the most points are your most important "core" values.
Do it Your Self Exercise
Discover Your Core Values
Go to planet Zogg Step 4:
Now for clarifying your values. This part of the exercise can be surprisingly difficult. I recommend you work through it with trusted friends to keep you honest and make it fun. Get in a playful mindset – and tap into your imagination because we are going on a journey to planet Zogg!
Attached is the values clarification worksheet; follow the instructions using the final top-10 values-categories. On planet Zogg you have everything you need in terms of food, water, shelter, etc. (this is for those of you who have a high value for security - happy face). Planet Zogg is similar to Earth with one difference. On planet Zogg you can only honor one value in a lifetime. As you board your spacecraft you come to a basket filled with your core values. Draw two. As you examine your draw, ask yourself would you rather be fully in alignment with one value versus the other. As you chose, say aloud "I chose [ insert value ] over [ insert value ]"… and continue as you compare all the values on your list.
For example, upon comparing the two values grit vs humor you determine that there is no way you can live on planet Zogg without humor. Upon selecting humor over grit say out-loud: "I choose humor over grit." Then humor gets a point. Do this until you have completed all pairwise combinations over your list of core values. The 3-5 values with the most points are your most important "core" values.
Typically, you are hard-wired for these values and they have been important to you your whole life and will continue to be so.
Inspired action Step 5:
Take inspired action It's critical to your authentic happiness and well-being that you honor and live in alignment to your top 3-5 values. Understand that we compromise our values every day and be aware of where you make compromises. The cause of feelings of discomfort, anxiety and unhappiness can often be traced to circumstances where we unintentionally compromised our core values and because we were unaware of it we forget who we are. We can agree to compromise a core value if we feel it will ultimately lead to a place of greater honor and fulfillment. Be intentional and aware of this agreement and commit to it for a limited and finite duration. The longer you are in compromise, the greater energy it takes to get back in alignment with who you truly are and remember that you have everything you need to live a life of great fulfillment. Determine what you can do today to take inspired action towards honoring your core value(s).
Identify one thing you can start doing or stop doing that will create more alignment with your top values. If your are not able to commit to inspired action remember that simply being aware of your core values increase your alignment and assist you in remembering the extraordinary, inspiring and engaging person you truly are.
Abundance
Accessibility
Acceptance
Accomplishment
Accuracy
Accountability
Achievement
Activeness
Acknowledgment
Adaptability
Adroitness
Adoration
Advancement
Affection
Adventure
Affluence
Agility
Aggressiveness
Alertness
Amazement
Altruism
Ambition
Anticipation
Amusement
Appreciation
Approval
Approachability
Art
Artistry
Articulacy
Assertiveness
Attentiveness
Assurance
Attractiveness
Availability
Audacity
Awareness
Balance
Awe
Beauty
Belonging
Being the best
Benevolence
Boldness
Bliss
List of Values
Bravery
Buoyancy
Brilliance
Calmness
Candor
Camaraderie
Capability
Carefulness
Care
Celebrity
Challenge
Certainty
Change
Charm
Charity
Chastity
Clarity
Cheerfulness
Cleanliness
Cleverness
Clear-mindedness
Closeness
Commitment
Comfort
Community
Competence
Compassion
Competition
Composure
Completion
Concentration
Conformity
Confidence
Congruency
Consciousness
Connection
Conservation
Contentment
Consistency
Continuity
Control
Contribution
Conviction
Coolness
Conviviality
Cooperation
Correctness
Cordiality
Country
Courtesy
Courage
Craftiness
Credibility
Creativity
Cunning
Daring
Curiosity
Decisiveness
Deference
Decorum
Delight
Depth
Dependability
Desire
Devotion
Determination
Devoutness
Dignity
Dexterity
Diligence
Directness
Direction
Discipline
Discretion
Discovery
Diversity
Dreaming
Dominance
Drive
Dynamism
Duty
Eagerness
Economy
Ease
Ecstasy
Effectiveness
Education
Efficiency
Elegance
Elation
List of Values
Outrageousness Partnership Patience Passion Peace Perceptiveness Perfection Perkiness Perseverance Persistence Persuasiveness Philanthropy Piety Playfulness Pleasantness Pleasure Poise Polish Popularity Potency Power Practicality Pragmatism Precision Preparedness Presence Pride Privacy Proactivity Professionalism Prosperity Prudence Punctuality Purity Rationality Realism Reason Reasonableness Recognition Recreation Refinement Reflection Relaxation Reliability Relief
List of Values
Religiousness Reputation Resilience Resolution Resolve Resourcefulness Respect Responsibility Rest Restraint Reverence Richness Rigor Sacredness Sacrifice Sagacity Saintliness Sanguinity Satisfaction Science Security Self-control Selflessness Self-reliance Self-respect Sensitivity Sensuality Serenity Service Sexiness Sexuality Sharing Shrewdness Significance Silence Silliness Simplicity Sincerity Skillfulness Solidarity Solitude Sophistication Soundness Speed Spirit
Spirituality Spontaneity Spunk Stability Status Stealth Stillness Strength Structure Success Support Supremacy Surprise Sympathy Synergy Teaching Teamwork Temperance Thankfulness Thoroughness Thoughtfulness Thrift Tidiness Timeliness Traditionalism Tranquility Transcendence Trust Trustworthiness Truth Understanding Unflappability Uniqueness Unity Usefulness Utility Valor Variety Victory Vigor Virtue Vision Vitality Vivacity Volunteering
Warmheartedness Warmth Watchfulness Wealth Willfulness Willingness Winning Wisdom Wittiness Wonder Worthiness Youthfulness Zea
Do it Your Self Exercise
Clarify Your Core Values
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Bend-La PineSchools
Continuation of In-Person Instruction
2021-22
Executive Summary – Dr. Steven Cook August 10, 2021
Bend-La Pine Schools Continuation of In-Person Instruction 2021-22 School Year
Executive Summary Dr. Steven Cook
Re: Recommendations for 2021-2022 School Year Based on Ready Schools, Safe Learners Update
Date: August 10, 2021
The Oregon Department of Education (ODE), in collaboration with the Oregon Health Authority (OHA), released the Ready Schools, Safe Learners Resiliency Framework (RSSLRF) for the 2021-22 School Year on August 2, 2021. The RSSL-RF states that school districts will make decisions with their boards to determine local implementation of COVID-19 mitigation measures.
Local Decision Making
In general, RSSL-RF states that decisions regarding school health and safety reside with school and district officials. Local Public Health Authorities (LPHAs) are vital partners to advise and consult on health and safety procedures. Except where compliance is mandated by existing state law, the Resiliency Framework is advisory. Where the framework does not require a specific action by a school district, a district may choose whether to consider or implement advisory information or recommendations.
Requirements in State Statute and Rule
Existing state law and rule include the following requirements for schools and districts:
Operational Plan: Schools and districts must periodically submit to ODE a plan for operation during the 2021-2022 school year. The plan is similar, but smaller in scale, to the Operational Blueprint. The plan should be informed by community engagement and posted on the school district website (OAR 581-022-0105).
Face Coverings Required Indoors, During the School Day: On August 2, 2021, the Oregon Health Authority implemented a new statewide rule (OAR 333-019-1015) requiring face coverings in all indoor school settings, both public and private, for all individuals two years and older, including all students, staff, contractors, volunteers and visitors. (This applies to summer school programming.) OHA has committed to review this rule monthly.
Students able, but unwilling to wear a face covering indoors, during the school day, will be denied entry and provided a free public education through Bend-La Pine Schools Online.
COVID-19 Recovery Services: For students experiencing disabilities who are eligible for special education, Individualized Educational Plan (IEP) teams must consider the need for individualized COVID-19 recovery services. This includes notifying parents, considering the need, and documenting decisions related to services at each initial IEP meeting or earlier, where appropriate (RSSL-RF, August 3, 2021).
Face Coverings Required on Public Transportation: The Centers for Disease Controls and Prevention (CDC) order for mandatory use of face coverings on public transit applies to school buses until lifted by the federal government and cannot be waived by state or local authorities (CDC, Issued 2/1/2021).
Additionally, schools and districts must:
Maintain a Communicable Disease Management Plan (OAR 581-022-2220), exclude staff or students from school who have been exposed to COVID-19 (OAR 333-019-0010), maintain health care and space that isolates sick or injured students (OAR 581-022-2320), meet all standard instructional time requirements in Division 22 (OAR-581-022-0102(30)) and (OAR 581- 022-2320), complete an independent adoption of any digital instructional materials used as core curriculum (OAR 581-022-2350), administer state assessments as required by state and federal law (ORS 329.485; OAR 581-022-2100), reinstate the 10-day drop rule for enrollment (OAR 581-023-0006(4)), attendance and reporting practices (OAR 581-023-0006(1)(f)) and notifications (ORS 339.071), and submit Safe Return to In-Person Instruction and Continuity of Services plan to ODE (OAR 581-022-0105) by August 27, 2021 to fulfill the requirements of the American Rescue Plan Elementary and Secondary School Emergency Relief (ESSER III) State plan. Additional rules can be found in the RSSL-RF document.
Overview & Authority
Changes in the amount of community transmission of COVID-19, the severity of illness associated with new variants of the SARS-CoV-2 virus that causes COVID-19, or the availability of vaccination for children younger than 12 years old may warrant changes to the state's recovery efforts during the school year. Bend-La Pine Schools' Operational Plan will be updated to reflect any changes.
Bend-La Pine Schools will continue to monitor guidance updates from the CDC, ODE, OHA, and DCPH to align this recommendation framework as needed.
Decisions about when or how Bend-La Pine Schools (BLS) will respond to an outbreak of COVID-19 involve collaboration across multiple partners. If part of or an entire school needs to close for in-person instruction as a matter of public health, it is important that educators, students, families and the general public have a clear understanding of how decisions are made and who makes those decisions.
When determining how to best support in-person learning during the 2021-22 school year, Bend-La Pine Schools will work in a collaborative manner with the Deschutes County Health
Services (DCHS) as the Local Public Health Authority (LPHA). DCHS is a vital partner in advising and consulting on health and safety concerns with Bend-La Pine Schools officials.
COVID-19 Health and Safety
As Bend-La Pine Schools plans for the 2021-22 in-person school year, it is important to remember that:
* Returning all students to full-time, in-person instruction is a priority.
* Our communities will be living with the virus until there is widespread immunity.
* COVID-19 continues to change with new variants, our knowledge of mitigation efforts grows over time. For these reasons the guidance for responding to COVID-19 also changes.
* Currently, the best practices as recommended by the Centers for Disease Control (CDC), Oregon Health Authority, and Deschutes County Health Services for protecting individuals from COVID-19 are vaccination for those eligible, physical distancing, face coverings, ventilation and airflow, hand hygiene, and staying home if ill or exposed to someone with COVID-19.
* Opportunity for transmission decreases with each mitigation effort that is implemented.
As Bend-La Pine Schools plans and implements the recommendations included in the Resiliency Framework, the school district will necessarily need to consider a continuum of risk levels when all recommendations cannot be fully implemented.
District leadership will use Planning for COVID-19 Scenarios in Schools for COVID-19 as a guide for response to related illness events.
Equity
Bend-La Pine Schools is committed to promoting educational systems that support every child's identity, health and well-being, strengths and needs. Bend-La Pine Schools makes every effort to apply an equity-informed, anti-racist and anti-oppressive lens across all sections of this operational plan.
Bend-La Pine Schools remains committed to the guiding principles used throughout the COVID-19 pandemic to generate collective action and leadership for efforts to respond to COVID-19 across the school district and communities in Central Oregon. These principles are updated to reflect the current context and in conjunction with current strategic goals:
* Ensure safety and wellness. Prioritizing basic needs such as food, shelter, wellness, supportive relationships and support for mental, social and emotional health of students and staff. Bend-La Pine Schools' employs a Director of Social, Emotional Learning, and Mental Wellness; 25 student success educational assistants; 6 student success instructors; 31 student success clinician coordinators; a Director of Diversity, Equity, and Inclusion with a team of over 40 language specialists and culturally-specific family liaisons; and 22 nurses to support mental, social, and emotional health of students and staff, 14 Family Access Network advocates and 1 homeless liaison. Bend-La Pine Schools plans to continue to make free meals available to all students every school day and continue robust offerings of clubs, athletics and activities for students.
* Center health and well-being. Acknowledging the health and mental health impacts this past year, commit to creating learning opportunities that foster creative expression, make space for reflection and connection and center on the needs of the whole child rather than solely emphasizing academic achievement. In addition, we acknowledge the assets and strengths of our families, and the disparate impact this pandemic has had on different portions of our community. We strive to engage families actively as partners in this commitment.
Staff use Collaborative Problem Solving (CPS) tools that give students the ability to identify and articulate their concerns, hear the concerns of others, and take each others' concerns into account in working toward mutually satisfactory solutions. Bullying prevention and emotional growth messaging is weaved throughout our instruction. Clubs are active in all of our schools, offering students opportunities for involvement in numerous groups including Where Everyone Belongs (WEB), Robotics and Uni-cycling – to name a few. Bend-La Pine Schools staffs schools in ways that ensure students have access to mental and behavioral health support at school: more than 30 counselors meet with students each day at our middle and high schools, 16 school psychologists provide student support and advocacy at all elementary, middle and high schools, two full-time therapists support our highest needs students at schools in the region.
* Cultivate connection and relationship. Reconnecting with one another after a year of separation can occur through quality learning experiences and deep interpersonal relationships among families, students and staff.
* Prioritize equity. Recognizing the disproportionate impact of COVID-19 on our Black, indigenous, and other people of color (BIPOC) communities; students experiencing disabilities; students living in rural communities; and students and families navigating poverty and houselessness, the district will apply an equity informed, anti-racist, and anti-oppressive lens to promote culturally sustaining and revitalizing educational systems that support every child.
* Innovate. Returning to school is an opportunity to improve teaching and learning by iterating on new instructional strategies, rethinking learning environments and investing in creative approaches to address unfinished learning.
Advisory Health & Safety Strategies
Key health and safety measures that have shifted from "required" to "advisory" and back to "required" for reducing the spread of COVID-19 in Bend-La Pine Schools were reviewed with a number of district stakeholder groups for input and comment throughout the pandemic. These groups included the Bend-La Pine Schools Executive Administrators and School Principals,
Bend-La Pine Schools District Safety Leadership Team, Bend-La Pine Schools District and School Safety Committees (staff and administrators), Bend Education Association (BEA) and Oregon School Employees Association (OSEA) leaders.
Additional consultation and input was provided by the Deschutes County Health Services and local medical care providers.
Community input received via email, phone calls, during board meeting public comment and via Board Leadership Listening Sessions, has also informed our plan.
Bend-La Pine Schools
Continuation of In-Person Instruction, Fall 2021
Schools are an important part of the infrastructure of communities, as they provide safe and supportive learning environments for students, employ teachers and other staff, and enable parents, guardians, and caregivers to work. Many students, staff, and caregivers are either missing or have had interruptions in services due to school building closures and virtual and hybrid learning. Evidence suggests that many K–12 schools that have strictly implemented prevention strategies have been able to safely open for in-person instruction and remain open.
Bend-La Pine Schools has, and will continue to follow, guidance for prevention strategies to help protect students, teachers, and staff, and slow the spread of COVID-19. We believe that with these prevention strategies in place and adhered to, our schools can safely remain open for in-person instruction and we can fulfill our plan for students to attend school in-person, full time, five days a week for the entire school year, while being mindful of best practices for student and staff health and safety.
This document provides an operational strategy for safe delivery of in-person instruction in K–12 schools through the integration of a package of prevention and control components:
1. Consistent implementation of layered prevention strategies to reduce COVID-19 transmission in schools
2. Consideration of indicators of community transmission to reflect levels of community risk
3. Phased prevention strategies based on levels of community transmission
The following public health efforts provide additional layers of COVID-19 protection in schools:
* Testing to identify individuals with a COVID-19 infection to limit transmission and outbreaks
* Vaccination for teachers and staff as soon as possible
Initial public review of this plan will take place on August 10 at the Bend-La Pine Schools Board of Directors business meeting and will be reviewed, as needed, to mitigate COVID-19 spread and avoid school closures.
Appropriate accommodations for children
Attendance
Administrators should consider adaptations and alternatives to prevention strategies when serving people with disabilities and/or students with academic, social, and emotional needs that require intervention and support while maintaining efforts to protect all children and staff from COVID-19.
* For students receiving special education services, decisions are informed according to the Individuals with Disabilities Education Act (IDEA).
* Decisions are made on a case-by-case basis by the student's Individualized Education Program (IEP) or Section 504 plan teams.
Staff will ensure student accommodations create access to the same consistent learning opportunities all students have.
Staff will consider allowing students with disabilities or accommodations to continue in person instruction as daily routines and social interactions are key to meeting their individual learning needs.
A student's academic performance and/or attendance during the spring of 2020 or the 2020-21 school year should not be the sole determinant for decision making.
The 10-day drop rule will be reinstated and schools and districts must use the active and inactive roll as required under OAR 581-023-0006(4).
| | An individual is not required to wear a mask indoors if the individual is: (a) Actively eating or drinking. (b) Sleeping. (c) Playing a musical instrument that requires using the mouth. (d) Engaged in a sport during physical education class such as swimming, other water sports, or a sport where wearing a mask could be a strangulation hazard such as gymnastics or wrestling. (e) Alone in a private office enclosed by walls on all sides with a door that is closed. (f) Is under the age of two. |
|---|---|
| Masking - Indoors School Programs | All youth under age 12 are required to wear a facemask when indoors, on district property, or when engaged in a school program, after school hours. |
| Masking - Outdoors School Day | Masks are not required outdoors, during the school day. Per OHA rule and guidance, it is acceptable for both fully vaccinated and unvaccinated students, staff, contractors, volunteers and visitors, to be outdoors without a face covering. |
| Masking - Athletics & Activities | Masks are recommended but not required for athletics or activities taking place outside of school hours. Bend-La Pine Schools indoor and outdoor athletics and activities will continue to follow all OSAA guidance. Schools and athletic programs will adhere to facility capacity requirements, per state and local fire marshal regulations. Per OHA guidance, face coverings are recommended but are not required for indoor sports. |
| Testing | The district will offer COVID-19 testing opportunities for students or staff who develop symptoms at school or are exposed to COVID-19 at school. The district will continue to partner with local medical professionals and the local health authority to share information with families and staff regarding testing site locations. |
|---|---|
| Vaccinations | Bend-La Pine Schools recognizes that the best approach to preventing the spread of COVID-19 is a layered defense of protective measures, with the COVID-19 vaccination being the best defense in protecting individuals from contracting COVID-19 and preventing the spread of the virus to others. Students and staff are not required to get COVID-19 related vaccinations in order to attend or be employed at Bend-La Pine Schools. In the event of a COVID-19 exposure, students and staff may voluntarily disclose their vaccine status and the quarantine time period will not be required, so long as the individuals remain asymptomatic. Bend-La Pine Schools acknowledges that the opportunity for vaccination is currently only approved for adults and children over the age of 12. Additionally, some staff, students, and community members may not or cannot be vaccinated due to medical, religious or personal reasons. When vaccines become available to those under the age of 12, Bend-La Pine Schools will partner with medical partners to provide space, through Facility Use Agreements, for COVID-19 vaccination clinics at no charge. Bend-La Pine Schools will support communication of COVID-19 youth vaccination clinic information to staff, students and families. Bend-La Pine Schools will require parent/guardian consent for release from school to on-site vaccine clinics that take place during the school day. |
Ventilation
Bend-La Pine Schools will continue to ensure effective ventilation and improve the indoor air quality in schools and facilities by:
* Continuing to increase the amount of fresh outside air that is introduced into the system.
* Exhausting air from indoors to the outside.
* Maintaining a climate level that balances comfort and safety within a classroom and building.
* Cleaning the air that is recirculated indoors with effective filtration methods (HEPA filters) to remove virus-containing particles from the air. District maintenance staff will continue to monitor and replace air filters in buildings as needed to maintain appropriate levels of filtration.
* Adhering to fire code regulations when opening doors and windows for additional air circulation. Fire rated doors will not be propped open for air circulation purposes.
* Continuing to monitor air quality during wildfire season to provide guidance on air circulation requirements in schools and buildings, to mitigate hazardous smoke/air from entering building HVAC systems.
* Air handlers run with MERV-13 filters.
When outdoor air quality index exceeds 101:
* Windows will be closed.
When outdoor air quality index exceeds 201:
* Students are required to remain indoors for PE, recess, lunch, etc.
Next Steps
OHA has been clear that they will review OAR 333-019-1015 monthly, as it is a temporary rule and that the agency's "goal is to return to local decision-making".
Masking is one of several layers of protections that we have in place in our schools to help ensure the health of our students during this pandemic. Ventilation, handwashing, staying home and getting tested when sick, contact tracing in combination with quarantine and isolation, and cleaning and disinfection are also important layers of prevention to keep schools safe. Above all, vaccination is the greatest tool available to fight COVID-19 and keep students in their classrooms.
As such, should OAR 333-019-1015 expire or become rescinded by Governor proclamation, and local control of decision making be reinstated AND the date is 60 days after COVID-19 vaccines have become readily available to students under 12 years old, it would be our recommendation for indoor masking to become strongly recommended rather than required for all students and staff.
Should OAR 333-019-1015 expire and local control of decision making be reinstated AND the date is not 60 days after COVID-19 vaccines have become readily available to students under 12 years old, we would recommend indoor masking to continue to be required for students under age 12 and strongly recommended for all over age 12, while engaged in compulsory education
Additionally, upon reinstatement of local control of decision-making, the district would continue to partner with local public health authorities to monitor both community rates of transmission and in-school or in-department transmission activity. In cases where localized transmission rates elevate in schools, district administrators, partnering with local health, may institute more restrictive non-pharmaceutical interventions on a case-by-case basis as conditions are warranted. These circumstances could include but are not limited to: returning to required masking, increasing of cleaning and hand washing strategies, tighter cohorting practices, and returning to remote learning in cases where significant transmission is prevalent.
|
NOTICE OF 2015 ANNUAL MEETING OF SHAREHOLDERS AND MANAGEMENT PROXY CIRCULAR
WHAT'S INSIDE
LETTER FROM THE CHAIRMAN AND THE PRESIDENT AND CHIEF EXECUTIVE OFFICER
March 30, 2015
Dear Chorus Shareholders:
We are pleased to provide for your review the materials for Chorus Aviation Inc.'s annual meeting of shareholders. You are cordially invited to the annual meeting of shareholders which will be held on Thursday, May 14, 2015 at 9:00 a.m. (Atlantic time), at The Halifax Club, 1682 Hollis Street, Halifax, Nova Scotia.
As a shareholder of Chorus Aviation Inc., you have the right to vote your shares on all items that come before the meeting. You can vote your shares either by proxy or in person at the meeting. This proxy circular will provide you with information about the business of the meeting and how to exercise your right to vote. It will also describe the nominee directors, the proposed auditors, the compensation of directors and certain officers and our corporate governance practices.
We are pleased with our operational and financial performance in 2014. Chorus continued to build upon its strengths and focused upon the provision of a long term, sustainable future for our company. We were successful in amending and extending our Capacity Purchase Agreement ('CPA') with Air Canada. The unprecedented 11-year term of the amended CPA to the year 2025 is anticipated to support the current dividend as well as diversification opportunities going forward.
In 2014 we increased our revenue stream from aircraft leasing, strengthened our financial position and provided greater flexibility in our capital structure. We experienced a $13.6 million improvement in operating income over 2013 as a result of our strong operational performance, cost saving initiatives and aircraft leasing operations under our CPA with Air Canada. Significant cost reduction measures initiated in 2013 and carried through 2014, such as the consolidation of our heavy maintenance operation in Halifax, the outsourcing of non-core airport services, and ongoing general overhead reductions also helped to strengthen the bottom line. In addition, we maintained a leading position amongst North American airlines for on-time performance. Our on-time performance also contributed to a $1.8 million increase in performance incentives paid pursuant to the CPA compared to 2013.
Year-over-year we experienced increases in our key financial performance indicators of adjusted EBITDA 1 of 9.1% and adjusted net income 1 of 12.4%. Chorus shareholders benefited from adjusted net income per share 1 of 78 cents, an increase of 13.0% compared to 2013.
Our strong cash flows throughout the year supported the payment of $80.2 million for the early redemption of the convertible debentures, the payment of $9.4 million for the repurchase and cancellation of approximately 2.3 million shares, dividend payments of just under $64.0 million, and the investment of approximately $11.9 million in employee separation programs.
The balance of 2015 will be a period of transition as we implement and operationalize our amended CPA. We have secured a solid foundation for Chorus and will look to leverage our strengths and expertise in the regional aviation sector as evidenced by our recently announced intention to acquire Voyageur Airways. This proposed acquisition is a natural extension of our current contract flying business model and is expected to be immediately and significantly accretive to Chorus' earnings and cash flow from operating activities. We anticipate closing this transaction in the second quarter of this year.
During the meeting, we will also present the highlights of our 2014 achievements and highlight the opportunities that 2015 will bring. We will continue to build on our successes to strengthen our competitive position as we progress through our strategic plans. Our team delivered terrific performance, and we are confident their efforts will continue to contribute to the increased value we strive to create for our shareholders.
We welcome the opportunity to meet you at our annual meeting of shareholders. If you are unable to attend the meeting in person, please complete and return a proxy by the date indicated on your form.
Sincerely,
Richard H. McCoy Chairman
Joseph D. Randell President and Chief Executive Officer
1 Adjusted EBITDA, Adjusted Net Income and Adjusted Net Income per Share are non-GAAP terms. We refer you to the full Management's Discussion and Analysis for 2014 found on www.sedar.com and available on request (see How to Request More Information) for a complete explanation of these terms and their reconciliation to GAAP terms.
NOTICE OF 2015 ANNUAL SHAREHOLDER MEETING
When
Thursday, May 14, 2015 at 9:00 a.m. (Atlantic time)
Where
The Halifax Club 1682 Hollis Street Halifax, Nova Scotia B3J 2R7
Webcast
A webcast replay of management's presentation at the meeting will be made available at a later date on our website at www.chorusaviation.ca.
Business of the 2015 Annual Shareholder Meeting
Four items will be covered at the meeting:
1. placement before the shareholders of the consolidated financial statements of Chorus Aviation Inc. ("Chorus") for the year ended December 31, 2014, including the auditors' report thereon;
2. election of the directors of Chorus who will serve until the end of the next annual shareholder meeting unless a director leaves the board prior to such time;
3.
appointment of auditors of Chorus; and
4. consideration of such other business, if any, that may properly come before the meeting or any adjournment or postponement thereof.
You are entitled to receive notice of, and vote at, our annual shareholder meeting or any adjournment or postponement thereof if you are a shareholder on April 2, 2015.
Your vote is important.
As a shareholder of Chorus, it is very important that you read this material carefully and vote your shares, either by proxy or in person at the meeting.
The following pages tell you more about how to exercise your right to vote your shares and provide additional information relating to the matters to be dealt with at the meeting.
By Order of the Board of Directors of Chorus.
Barbara Snowdon
General Counsel and Corporate Secretary
Dartmouth, Nova Scotia
March 30, 2015
3
PROXY CIRCULAR
In this proxy circular ("circular"), you and your refer to a shareholder of Chorus. We, us, our and Chorus refers to, as the context may require, Chorus and its current and former subsidiaries (including, but not limited to, Jazz Aviation LP ("Jazz"), Aviation General Partner Inc., Jazz Aviation Holdings Inc., Jazz Aircraft Financing Inc. and Jazz Leasing Inc.) collectively, Chorus and one or more of its subsidiaries, one or more of Chorus' subsidiaries or Chorus itself. Unless otherwise stated, all dollar amounts contained in this circular are expressed in Canadian dollars.
This circular is for our annual shareholder meeting to be held on May 14, 2015 (such meeting, and any adjournment or postponement thereof, the "meeting"). As a shareholder of Chorus, you have the right to vote your shares in respect of the election of the directors, the appointment of the auditors and on any other items that may properly come before the meeting.
To help you make an informed decision, please read this circular. This circular describes the meeting, the nominee directors, the proposed auditors, our corporate governance practices, the compensation of our directors and certain officers, and other matters. Financial information regarding Chorus is provided in the consolidated financial statements of Chorus and the management's discussion and analysis for the year ended December 31, 2014, both of which are available on our website at www.chorusaviation.ca and on SEDAR at www.sedar.com.
Your proxy is solicited by or on behalf of management of Chorus for use at the meeting. In addition to solicitation by mail, employees or agents may solicit proxies by other means. The cost of any such solicitation will be borne by Chorus. Chorus may also reimburse brokers and other persons holding shares in their names, or in the names of nominees, for their costs incurred in sending proxy materials to beneficial owners and obtaining their proxies or voting instructions.
If you have any questions about any of the information in this circular, please call Chorus Investor Relations at (902) 873-5094.
Approval of this Circular
The board of directors of Chorus (the "Board of Directors" or the "Board") approved the contents of this circular and authorized it to be sent to each shareholder who is eligible to receive notice of, and vote his or her shares at, our annual shareholder meeting, as well as to each director of Chorus and to the auditors of Chorus.
Date of Circular
This circular is dated March 30, 2015, and all information was current as of that date, unless otherwise stated.
Barbara Snowdon General Counsel and Corporate Secretary Dartmouth, Nova Scotia March 30, 2015
VOTING YOUR SHARES
Your vote is important
As a shareholder of Chorus, it is very important that you read the following information on how to vote your shares and then vote your shares, either by proxy or in person, at the meeting.
Voting
You can attend the meeting or you can appoint someone else to vote for you as your proxyholder. Voting by proxy means that you are giving the person named on your form of proxy or your voting instruction form ("proxyholder") the authority to vote your shares for you at the meeting. A shareholder entitled to vote at the meeting may by means of a proxy appoint a proxyholder or one or more alternate proxyholders, who are not required to be shareholders, to attend and act at the meeting in the manner and to the extent authorized by the proxy and with the authority conferred by the proxy.
The persons who are named on the form of proxy or the voting instruction form are directors or officers of Chorus and will vote your shares for you. You have the right to appoint someone else to be your proxyholder. If you appoint someone else, he or she must attend the meeting to vote your shares.
How to vote – registered shareholders
You are a registered shareholder if your name appears on your share certificate.
If you are not sure whether you are a registered shareholder, please contact CST Trust Company, at 1-800-387-0825.
By proxy
By facsimile, mail or e-mail
Complete a form of proxy and return it by facsimile to 1-866-781-3111 or return it in the envelope we have provided or by delivering it to one of CST Trust Company's principal offices in Halifax, Montreal, Toronto, Calgary or Vancouver or scan and e-mail it to email@example.com for receipt before 9:00 a.m. (Atlantic time) on May 12, 2015, or, if the meeting is adjourned or postponed, not later than 48 hours prior to the adjourned or postponed meeting (excluding Saturdays, Sundays and statutory holidays). A list of addresses for the principal offices of CST Trust Company is set forth on page 56 of this circular.
If you return your proxy by facsimile or by mail, you can appoint a person other than the directors or officers of Chorus named in the form of proxy as your proxyholder. This person does not have to be a shareholder. Fill in the name of the person you are appointing in the blank space provided on the form of proxy. Complete your voting instructions, date and sign the form. Make sure that the person you appoint is aware that he or she has been appointed and attends the meeting.
Please see the section titled "Completing the Proxy and Voting Instruction Form" for more information.
In person at the meeting
You do not need to complete or return your form of proxy.
You will receive an admission ticket at the meeting upon registration at the registration desk.
How to vote – non-registered shareholders
You are a non-registered shareholder if your bank, trust company, securities broker or other financial institution ("your nominee") holds your shares for you.
If you are not sure whether you are a non-registered shareholder, please contact CST Trust Company at 1-800-387-0825.
These securityholder materials are being sent to both registered and non-registered shareholders of Chorus. Chorus is paying for the delivery of these securityholder materials to all non-registered holders including objecting beneficial holders under National Instrument 54-101 – Communication with Beneficial Owners of Securities of a Reporting Issuer.
By choosing to send these materials to you directly, Chorus (and not the intermediary holding shares on your behalf) has assumed responsibility for (i) delivering these materials to you, and (ii) executing your proper voting instructions. Please return your voting instructions as specified in the request for voting instructions.
By proxy
Your nominee is required to ask for your voting instructions before the meeting. Please contact your nominee if you did not receive a voting instruction form in this package. Your nominee must receive your voting instructions in sufficient time for your nominee to act on them prior to Chorus' proxy deadline of 9:00 a.m. (Atlantic time) on May 11, 2015.
On the Internet
Go to the website at www.proxyvote.com and follow the instructions on the screen. Your voting instructions are then submitted electronically over the Internet.
You will need the 12 digit Control Number found on your voting instruction form.
If you return your voting instruction form via the Internet, you can appoint a person other than the directors or officers of Chorus named on the voting instruction form as your proxyholder. This person does not have to be a shareholder. Fill in the name of the person you are appointing in the blank space provided on the voting instruction form. Complete your voting instructions, date and submit the form. Make sure that the person you appoint is aware that he or she has been appointed and attends the meeting.
The cut-off time for voting over the Internet is 9:00 a.m. (Atlantic time) on May 11, 2015, or, if the meeting is adjourned or postponed, not later than 48 hours prior to the adjourned or postponed meeting (excluding Saturdays, Sundays and statutory holidays).
By facsimile or by mail
Alternatively, non-registered shareholders may vote their shares by completing the voting instruction form and returning it by facsimile to (905) 507-7793 or to (514) 281-8911 or in the enclosed business reply envelope for receipt before 9:00 a.m. (Atlantic time) on May 11, 2015, or, if the meeting is adjourned or postponed, not later than 48 hours prior to the adjourned or postponed meeting (excluding Saturdays, Sundays and statutory holidays).
In person at the meeting
You can vote your shares in person at the meeting if you have instructed your nominee to appoint you as proxyholder.
To do this, fill in your name in the blank space provided on the voting instruction form and otherwise follow the instructions of your nominee.
How to vote – employees holding shares under Employee Share Ownership Plan of Chorus
Shares purchased by employees of Chorus under its Employee Share Ownership Plan ("Employee Shares") are registered in the name of Computershare Trust Company of Canada ("Computershare"), as administrative agent, unless the employees have withdrawn their shares from the plan.
If you are not sure whether you are an employee holding your shares through Computershare, please contact Computershare at 1-866-982-0314.
If an employee holds any shares other than Employee Shares and wishes to vote those other shares, he or she must also complete a form of proxy (if a registered shareholder) or voting instruction form (if a nonregistered shareholder) with respect to such other shares in the manner described above.
By proxy
A voting instruction form is enclosed with this circular which allows you to provide your voting instructions on the Internet or by mail.
On the Internet
Go to the website at www.investorvote.com and follow the instructions on the screen. Your voting instructions are then submitted electronically over the Internet.
You will need the 15 digit Control Number found on your voting instruction form.
You can appoint a person other than Computershare as your proxyholder. This person does not have to be a shareholder. Indicate the name of the person you are appointing in the space provided on the website. You can also appoint the person on the voting instruction form. Complete your voting instructions, date and submit the form. Make sure that the person you appoint is aware that he or she has been appointed and attends the meeting.
The cut-off time for voting over the Internet is 9:00 a.m. (Atlantic time) on May 11, 2015, or, if the meeting is adjourned or postponed, not later than 48 hours prior to the adjourned or postponed meeting (excluding Saturdays, Sundays and statutory holidays).
By mail
Alternatively, you may vote your shares by completing the voting instruction form and returning it in the enclosed business reply envelope for receipt before 9:00 a.m. (Atlantic time) on May 11, 2015, or, if the meeting is adjourned or postponed, not later than 48 hours prior to the adjourned or postponed meeting (excluding Saturdays, Sundays and statutory holidays).
In person at the meeting
You can vote your shares in person at the meeting if you have instructed Computershare to appoint you as proxyholder.
To do this, enter your name in the appropriate box on the website or write your name in the space provided on the voting instruction form and follow the instructions otherwise provided in the voting instruction form.
Completing the Proxy and Voting Instruction Form
Please follow the instructions included on the proxy or voting instruction form.
You can choose to vote "For" or "Withhold" with respect to the election of each director and the appointment of the auditors.
When you sign the proxy or voting instruction form without appointing an alternate proxyholder, you authorize Richard H. McCoy, Joseph D. Randell or Barbara Snowdon, who are directors and/or officers of Chorus, to vote your shares for you at the meeting in accordance with your instructions. If you sign and return your proxy or voting instruction form without specifying how you want to vote your shares, your vote will be counted FOR the election of the nominee directors of Chorus who are named in this circular and FOR the appointment of PricewaterhouseCoopers LLP as auditors of Chorus.
The directors of Chorus are not aware of any other matters which will be presented for action at the meeting. If, however, other matters properly come before the meeting, the persons designated in the enclosed proxy or voting instruction form will vote in accordance with their judgment, pursuant to the discretionary authority conferred by the proxy or voting instruction form with respect to such matters.
You have the right to appoint someone other than the designated nominees to be your proxyholder. If you are appointing someone else to vote your shares for you at the meeting, fill in the name of the person voting for you in the blank space provided on the form of proxy or voting instruction form.
If you do not specify how you want your shares voted, your proxyholder will vote your shares in favour of each item scheduled to come before the meeting and as he or she sees fit on any other matter that may properly come before the meeting.
A proxyholder has the same rights as a shareholder to speak at the meeting in respect of any matter, to vote by way of ballot at the meeting and, except where the proxyholder has conflicting instructions from more than one shareholder, to vote at the meeting in respect of any matter by way of a show of hands.
If you are an individual shareholder, you or your authorized attorney must sign the form of proxy or voting instruction form. If you are a corporation or other legal entity, an authorized officer or attorney must sign the form of proxy or voting instruction form.
You must also complete the Declaration of Canadian Status contained in the form of proxy or voting instruction form for the Class A Variable Voting Shares or Class B Voting Shares, as applicable, to inform Chorus whether or not you are Canadian in order to enable Chorus to comply with the share ownership and voting restrictions imposed by the Canada Transportation Act (the "Act"). If you do not complete such declaration or if it is determined by Chorus or its transfer agent that you incorrectly indicated (through inadvertence or otherwise) that the shares represented by proxy are owned and controlled by a Canadian, you will be deemed to be a non-Canadian for purposes of voting at the meeting.
If you need assistance completing your form of proxy or voting instruction form, please contact Chorus Investor Relations at (902) 873-5094 for service in English or in French.
Changing Your Vote
A registered shareholder may revoke a previously submitted proxy by an instrument in writing executed by the shareholder or the shareholder's attorney authorized in writing and deposited either at the Halifax office of Chorus' transfer agent, CST Trust Company, 1660 Hollis Street, Suite 406, Halifax, Nova Scotia, B3J 1V7, or at Chorus' registered office, 100 King Street West, 1 First Canadian Place, Suite 6200, P.O. Box 50, Toronto, Ontario, M5X 1B8, at any time up to 9:00 a.m. (Atlantic time) on May 12, 2015 (or 5:00 p.m. (Atlantic time) on the last business day preceding the date set for any adjourned or postponed meeting), or with the chair of the meeting on the day of the meeting.
A non-registered shareholder may revoke previously submitted voting instructions given to a broker, securities dealer, trust company or other intermediary by providing written notice to them (or in the case of
a desire to change your vote, by re-submitting voting instructions by Internet, telephone or mail). Your nominee must receive such notice in sufficient time for your nominee to act on it. A holder of Employee Shares may revoke previously submitted voting instructions given to Computershare by providing written notice to Computershare (or in the case of a desire to change your vote by re-submitting voting instructions by Internet or mail).
Voting Requirements
The appointment of the auditors of Chorus and the election of the directors of Chorus will be determined by a majority of votes cast at the meeting by proxy or in person. If there is a tie, the chair of the meeting is not entitled to a second or casting vote.
CST Trust Company counts and tabulates the votes.
Voting Shares and Quorum
As of March 26, 2015 there were 6,146,732 Class A Variable Voting Shares and 114,628,471 Class B Voting Shares of Chorus issued and outstanding. Shareholders of record on April 2, 2015 are entitled to receive notice of and vote at the meeting. The list of shareholders entitled to vote at the meeting will be available for inspection on and after April 10, 2015 during usual business hours at the Halifax office of Chorus' transfer agent, CST Trust Company, 1660 Hollis Street, Suite 406, Halifax, Nova Scotia, B3J 1V7, at Chorus' registered office, 100 King Street West, 1 First Canadian Place, Suite 6200, P.O. Box 50, Toronto Ontario M5X 1B8, and at the meeting.
A quorum is present at the meeting if the holders of not less than 25% of the shares entitled to vote at the meeting are present in person or represented by proxy, irrespective of the number of persons actually present at the meeting. If a quorum is present at the opening of the meeting, the shareholders present or represented by proxy may proceed with the business of the meeting notwithstanding that a quorum is not present throughout the meeting. If a quorum is not present at the opening of the meeting, the shareholders present or represented by proxy may adjourn the meeting to a fixed time and place but may not transact any other business.
If a body corporate or association is a shareholder of Chorus, Chorus shall recognize any individual authorized by a resolution of the directors or governing body of the body corporate or association to represent it at the meeting. An individual so authorized may exercise on behalf of the body corporate or association all the powers it could exercise if it were an individual shareholder.
If two or more persons hold shares jointly, one of those holders present at the meeting may in the absence of the others vote the shares, but if two or more of those persons who are present, in person or by proxy, vote, they shall vote as one on the shares jointly held by them.
Restrictions on Voting Securities
As of March 30, 2015, the applicable provisions of the Act require that holders of domestic, scheduled international and non-scheduled international licenses be "Canadian" as defined in the Act ("Canadian"). In the case of each licence holder, this requires that at no time may non-Canadians (i) control the corporation in fact or (ii) hold or beneficially own or control, directly or indirectly, such number of shares entitling them to more than 25% (or any higher percentage as the Governor in Council may by regulation specify) of the votes attached to all outstanding shares. The Articles of Chorus contains restrictions to ensure that Chorus remains Canadian under the Act. The definition of the term "Canadian" under section 55(1) of the Act may be summarized as follows:
(a) Canadian citizen or a permanent resident within the meaning of the Immigration and Refugee Protection Act (Canada);
(b) a government in Canada or an agent of such a government; or
(c) a corporation or other entity that is incorporated or formed under the laws of Canada or a province, that is controlled in fact by Canadians and of which at least 75% (or such lesser percentage as the Governor in Council may by regulation specify) of the voting interests are owned and controlled by Canadians.
Chorus has two classes of shares: (i) Class B Voting Shares and (ii) Class A Variable Voting Shares.
The Class B Voting Shares may only be held, beneficially owned and controlled, directly or indirectly, by persons who are Canadians. Unless the foreign ownership restrictions of the Act are repealed and not replaced with other similar restrictions, an issued and outstanding Class B Voting Share shall be converted into one Class A Variable Voting Share, automatically and without any further act of Chorus or the holder, if such Class B Voting Share becomes held, beneficially owned or controlled, directly or indirectly, otherwise than by way of security only, by a person who is not a Canadian. Each Class B Voting Share confers the right to one vote.
The Class A Variable Voting Shares may only be held, beneficially owned or controlled, directly or indirectly, by persons who are not Canadians. An issued and outstanding Class A Variable Voting Share shall be converted into one Class B Voting Share, automatically and without any further act of Chorus or the holder, if (i) such Class A Variable Voting Share becomes held, beneficially owned or controlled, directly or indirectly, otherwise than by way of security only, by a person who is a Canadian; or (ii) the provisions contained in the Act relating to foreign ownership restrictions are repealed and not replaced with other similar provisions.
The holders of Class A Variable Voting Shares are entitled to one vote per Class A Variable Voting Share unless: (i) the number of Class A Variable Voting Shares outstanding, as a percentage of the total number of all voting shares outstanding, exceeds 25% (or any higher percentage that the Governor in Council may by regulation specify); or (ii) the total number of votes cast by or on behalf of holders of Class A Variable Voting Shares at any meeting exceeds 25% (or any higher percentage that the Governor in Council may by regulation specify) of the total number of votes that may be cast at such meeting. If either of the above-noted thresholds would otherwise be surpassed at any time, the vote attached to each Class A Variable Voting Share will decrease proportionately, automatically and without further act or formality such that (i) the Class A Variable Voting Shares as a class do not carry more than 25% (or any higher percentage that the Governor in Council may by regulation specify) of the aggregate votes attached to all issued and outstanding voting shares of the corporation, and (ii) the total number of votes cast by or on behalf of holders of Class A Variable Voting Shares at any meeting do not exceed 25% (or any higher percentage that the Governor in Council may by regulation specify) of the total number of votes that may be cast at such meeting.
In 2009, the Government of Canada introduced Bill C-10, the Budget Implementation Act, which proposed amendments to the Act relating to foreign ownership restrictions on domestic air carriers. Bill C-10 received Royal Assent on March 12, 2009. The Governor in Council now has the authority on the recommendation of the Minister of Transport to fix by order, a day on which the Governor in Council may by regulation, set new foreign ownership limits up to a maximum of 49% foreign ownership. The regulations may specify that the new limits apply generally to all non-Canadian investors or, alternatively may specify increased foreign ownership limits available to specific classes of non-Canadians to be identified in the regulations. As of March 30, 2015 no such regulations have been proposed by the Governor in Council.
The holders of Class A Variable Voting Shares and Class B Voting Shares will vote together at the meeting and no separate meeting is being held for any such class of shares.
Shareholders who wish to vote at the meeting either by completing and delivering a proxy or a voting instruction form or by attending and voting at the meeting will be required to complete a Declaration of Canadian Status in order to enable Chorus to comply with the restrictions imposed by the Act regarding the ownership and voting of its voting securities. If you do not complete such declaration or if it is determined by Chorus or its transfer agent that you incorrectly indicated (through inadvertence or otherwise) that the shares of Chorus represented by the proxy are owned and controlled by a Canadian, you will be deemed to be a non-Canadian for purposes of voting at the meeting. Such declaration is
contained in the accompanying form of proxy or in the voting instruction form provided to you if you are a non-registered shareholder or an employee voting shares of Chorus under the Employee Share Ownership Plan and in the Internet voting instructions.
Principal Shareholders
As of March 30, 2015, to the knowledge of the directors of Chorus and based on publicly available early warning reports and insider reports, no person or entity beneficially owned, or exercised control or direction over, directly or indirectly, shares carrying 10% or more of the votes attached to all outstanding shares entitled to vote in connection with any matters being proposed for consideration at the meeting.
BUSINESS OF THE MEETING
Four items will be covered at the meeting:
1. placement before the shareholders of the consolidated financial statements of Chorus for the year ended December 31, 2014, including the auditors' report thereon;
2. election of the directors of Chorus who will serve until the end of the next annual shareholder meeting unless a director leaves the Board prior to such time;
3. appointment of auditors of Chorus; and
4. consideration of such other business, if any, that may properly come before the meeting or at any adjournment or postponement thereof.
As of the date of this circular, management are not aware of any changes to these items, and do not expect any other items to be brought forward at the meeting. If there are changes or new items, your proxyholder can vote your shares on these items as he or she sees fit.
1. Placement of financial statements of Chorus
The consolidated financial statements of Chorus for the year ended December 31, 2014, including the auditors' report thereon, are available on our website at www.chorusaviation.ca and on SEDAR at www.sedar.com. Copies of such statements will also be available at the meeting.
2. Election of the directors of Chorus
Seven directors are to be elected to the Board of Directors. Please see "The Nominated Directors" section of this circular for more information. Each director elected at the meeting will serve until the end of the next annual shareholder meeting unless he or she leaves the Board prior to such time.
All of the individuals to be nominated as directors are currently members of the Board of Directors. All seven of these individuals, Gary M. Collins, Karen Cramm, Richard D. Falconer, Sydney John Isaacs, G. Ross MacCormack, Richard H. McCoy, and Joseph D. Randell, were elected at the annual meeting of shareholders of Chorus held on May 14, 2014. Benjamin C. Duster, IV was elected at the annual meeting of shareholders of Chorus held on May 14, 2014 and resigned from the Board effective August 14, 2014. Please see "The Nominated Directors" section in this circular for additional information relating to each such director standing for nomination.
The Board has adopted a majority voting policy which stipulates that if a director nominee has more votes withheld than are voted in favour of him or her, the nominee will be expected to forthwith submit his or her resignation, to be effective on acceptance by the Board. The Board will refer the resignation to the Governance and Nominating Committee for consideration. The Board will make its decision within 90 days of the meeting. The Board will accept the resignation unless the Governance and Nominating
Committee determines that there are extraordinary circumstances that should delay acceptance of the resignation or justify rejecting it.
The majority voting policy does not apply where an election involves a proxy battle (i.e., where proxy material is circulated in support of one or more director nominees who are not part of the director nominees supported by the Board).
If you do not specify how you want your shares voted, the persons named as proxyholders will cast the votes represented by proxy at the meeting FOR the election as directors of the nominee directors who are named in this circular.
3. Appointment of auditors
The Board, on the advice of the Audit, Finance and Risk Committee, recommends that PricewaterhouseCoopers LLP, Chartered Accountants, be re-appointed as auditors of Chorus. PricewaterhouseCoopers LLP has served as auditors of Chorus' predecessors since February 19, 2001, and of Chorus since its creation on September 27, 2010. The auditors appointed at the meeting will serve until the end of the next annual shareholder meeting or until their successors are appointed.
Fees payable for the years ended December 31, 2014 and December 31, 2013 to PricewaterhouseCoopers LLP and its affiliates are $579,089 and $588,831 respectively, as detailed below:
The nature of each category of fees is described below.
Audit fees. Audit fees were paid for professional services rendered for the audit of Chorus and its affiliates' annual financial statements, for the reviews of quarterly reporting by Chorus and for services normally provided in connection with statutory and regulatory filings or engagements.
Audit-related fees. Audit-related fees were paid for professional services related to pension plan audits and accounting consultation.
Tax fees. Fees were paid for professional services rendered with respect to income taxes, including tax advice, tax planning and payroll tax consultation.
All other fees. Other fees paid in 2013 were for pension filing software and a review of the security of Chorus' information technology infrastructure.
If you do not specify how you want your shares voted, the persons named as proxyholders will cast the votes represented by proxy at the meeting FOR the appointment of PricewaterhouseCoopers LLP as auditors.
4. Consideration of other business
We will:
- report on other items that are significant to our business; and
- invite questions and comments from shareholders.
THE NOMINATED DIRECTORS
Seven directors are to be elected at the meeting, each of whom is to hold office until the end of the next annual meeting of shareholders unless he or she leaves the Board prior to such time.
All nominees have established their eligibility and willingness to serve as directors. If, prior to the meeting, any of the listed nominees becomes unable or unavailable to serve, proxies will be voted for any other nominee or nominees at the discretion of the proxyholder. The table below sets out, among other things, the names of the proposed nominees, together with their municipality of residence, the date they became directors (if applicable), their principal occupation and other principal directorships and committee memberships. Also indicated is the number of securities of Chorus beneficially owned, or over which control was exercised, directly or indirectly, as of March 26, 2015 and the value of those securities as of March 26, 2015 based on a market value of $5.95 per Class A Variable Voting Share and $5.96 per Class B Voting Share.
Biographies
GARY M. COLLINS
Vancouver, British Columbia
Age: 51
Independent
Chorus Securities Held or Controlled:
Class B Voting Shares:
5,000
Deferred Share Units:
101,542
Total Class B Voting Shares and Deferred Share Units: 106,542 Total Market Value of Class B Shares and Deferred Share Units: $634,990 (1) Mr. Collins’ holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Accounting, Finance, Aviation/Transportation Industry Knowledge, Human Resources/Compensation and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: Liquor Stores North America Inc. and D-Box Technologies Inc.
Other Board Membership During the Last Five Years: Catalyst Paper Corporation, Lantic Inc. (Rogers Sugar)
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share.
Director of Chorus and its predecessors or subsidiaries since May 8, 2008
Chair of the Governance and Nominating Committee Member of the Audit, Finance and Risk Committee
Gary M. Collins is a corporate director. Most recently, Mr. Collins was the President of Coastal Contacts Inc., the world's leading online direct-tocustomer retailer of replacement contact lenses, eye glasses and optical products. In May 2014 Coastal Contacts was purchased by Essilor International. From April 2007 to June 2012 Mr. Collins was Senior Vice President of Belkorp Industries Inc. Prior to that, Mr. Collins was the President and Chief Executive Officer of Harmony Airways from December 2004 until December 2006. From October 1991 to December 2004 he was a member of the British Columbia Legislative Assembly and held the portfolio of Minister of Finance from June 2001 to December 2004. Mr. Collins is also a director of Liquor Stores North America Inc. and D-Box Technologies Inc.
KAREN CRAMM
Director of Chorus and its predecessors or subsidiaries since December 6, 2010
Chair of the Audit, Finance and Risk Committee Member of the Governance and Nominating Committee
Karen Cramm is a corporate director. A Chartered Accountant, Mrs. Cramm holds master's degrees in business administration (MBA) and in public administration (MPA). In the Uniform Final Examination for the chartered accountancy designation, Mrs. Cramm placed on the honour roll of the Canadian Institute of Chartered Accountants, being one of the top twenty candidates in Canada. Mrs. Cramm was a Partner of Deloitte & Touche ("Deloitte") for twenty-seven years before retiring on August 31, 2009. While an active Partner of Deloitte, she practiced in the Financial Services Group with a focus on Reorganization Services and Forensic & Dispute Services and held two specialist designations: one in insolvency and restructuring (CA•CIRP) and the other in investigative and forensic accounting (CA•IFA). She was also licensed as a Trustee in Bankruptcy. Mrs. Cramm has served as President of the Institute of Chartered Accountants of Nova Scotia and was elected as a Fellow of that Institute (FCA) on December 6, 1991 in recognition of distinguished service to the profession. During that time, she chaired and served on various board committees. From September 1, 1993 to August 31, 1999, Mrs. Cramm served as the Managing Partner of the Deloitte Halifax Office. She was elected to the Canadian Deloitte Board of Directors for fourteen years and during that time she chaired and served on various committees of the Deloitte Board. Also, Mrs. Cramm chaired the Deloitte Foundation, a registered charity focusing on corporate responsibility and giving back to communities across Canada. Mrs. Cramm has also served on the boards of Izaak Walton Killam Hospital, Art Gallery of Nova Scotia, Dalhousie University and Mount Saint Vincent University.
Chorus Securities Held or Controlled:
Class B Voting Shares:
0
Deferred Share Units:
51,200
Total Class B Voting Shares and Deferred Share Units: 51,200 Total Market Value of Class B Shares and Deferred Share Units: $305,152 (1) Mrs. Cramm’s holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Accounting, Finance, Aviation/Transportation Industry Knowledge and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: None.
Other Board Membership During the Last Five Years: The Deloitte Foundation
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share.
RICHARD D. FALCONER
Age: 70
Independent
Chorus Securities Held or Controlled:
Total Class B Voting Shares and Deferred Share Units: 75,973
Class B Voting Shares:
35,000
Deferred Share Units:
40,973
Total Market Value of Class B Shares and Deferred Share Units: $452,799
(1)
Mr. Falconer's holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Accounting, Finance, Aviation/Transportation Industry Knowledge, Human Resources/Compensation and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: Resolute Forest Products (formerly AbitibiBowater Inc.), Jaguar Mining Inc., LOFT Community Services, Dorothy Ley Hospice, Shaw Festival Theatre Endowment Foundation
Other Board Membership During the Last Five Years: None.
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share.
Director of Chorus since March 1, 2012
Chair of the Human Resources and Compensation Committee Member of the Audit, Finance and Risk Committee
Richard D. Falconer is a Senior Partner with Verus Partners & Co. Inc., a strategic financial advisory firm. Mr. Falconer retired from CIBC in 2011 after 40 years with the bank. At the time of retirement, Mr. Falconer was Vice Chairman and Managing Director, CIBC World Markets Inc. Mr. Falconer has extensive corporate finance and M&A experience in numerous industries including agriculture; energy; financial; forest products; media and telecom; mining; retail; technology; and transportation. Mr. Falconer holds a Master of Business Administration from York University, a Bachelor of Arts (Honours) from the University of Toronto, and is a Chartered Financial Analyst. Mr. Falconer is currently Chairman of the Board of Jaguar Mining Inc., a member of the Board of Directors of Resolute Forest Products Inc., a Director of LOFT Community Services and Dorothy Ley Hospice and a Member of the Board of Governors of the Shaw Festival Theatre Endowment Foundation.
SYDNEY JOHN ISAACS
Westmount, Québec
Age: 58
Independent
Chorus Securities Held or Controlled:
Class B Voting Shares:
5,000
Deferred Share Units:
57,609
Total Class B Voting Shares and Deferred Share Units: 62,609 Total Market Value of Class B Shares and Deferred Share Units: $373,150 (1) Mr. Isaacs’ holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Finance, Aviation/Transportation Industry Knowledge, Human Resources/Compensation, Legal and Strategic Planning
Current Board Memberships other than Chorus and including Non-Profit Boards: None.
Other Board Membership During the Last Five Years: None.
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share.
Director of Chorus and its predecessors or subsidiaries since January 1, 2008
Member of the Governance and Nominating Committee Member of the Human Resources and Compensation Committee
Sydney John Isaacs is a corporate director. He was the Senior Vice President, Corporate Development and Chief Legal Officer, for ACE Aviation Holdings Inc., from November 2004 until June 2012. From September 2000 to October 2004, Mr. Isaacs held a number of senior management positions at Air Canada in restructuring, mergers and acquisitions and business development. Prior to that, Mr. Isaacs was a partner at Stikeman Elliott LLP, where his practice was focused on mergers and acquisitions, corporate finance and corporate and securities law.
G. ROSS MACCORMACK
Director of Chorus and its predecessors or subsidiaries since January 24, 2006
Member of the Human Resources and Compensation Committee Member of the Governance and Nominating Committee
G. Ross MacCormack is a consultant providing marketing and strategic services to the aviation industry. Mr. MacCormack previously held various positions at Air Canada including Senior Vice President, International and Alliances, Vice President, Market Development and Vice President, Corporate Strategy. Mr. MacCormack is a past member of the Board of Directors of Air Canada Regional Airlines, Air Nova, Air Ontario, AirBC, and Continental Micronesia, and served as a member of the Industry Affairs Committee of the International Air Transport Association.
Mr. MacCormack also served as Chairman of the Star Alliance Management Board and is currently Chairman, Advisory Board, of the Premier Aviation Overhaul Center group of companies, and a Board Member of the Newport City Renaissance Corporation.
Chorus Securities Held or Controlled:
Class A Variable Voting Shares: 2,000
Deferred Share Units:
84,276
Total Class A Variable Voting Shares and Deferred Share Units: 86,276 Total Market Value of Class A Shares and Deferred Share Units: $513,342 (1) Mr. MacCormack’s holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Accounting, Aviation/Transportation Industry Knowledge, Human Resources/ Compensation and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: Newport City Renaissance Corporation, Premier Aviation Overhaul Centre Group (Chair and Advisory Board)
Other Board Membership During the Last Five Years: Aeroplan Finance LLC
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class A Variable Voting Shares of Chorus at March 26, 2015 of $5.95 per share.
RICHARD H. MCCOY
Age: 72
Independent
Chorus Securities Held or Controlled:
Class B Voting Shares:
41,294
Deferred Share Units:
140,196
Total Class B Voting Shares and Deferred Share Units: 181,490 Total Market Value of Class B Shares and Deferred Share Units: $1,081,680 (1) Mr. McCoy’s holdings exceed the director share ownership requirement.
Experience: Executive Leadership, Board Experience, Finance, Aviation/Transportation Industry Knowledge, Human Resources/ Compensation and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: Aberdeen Asia-Pacific Income Investment Company Limited, Uranium Participation Corporation and Pizza Pizza Royalty Corp.
Other Board Membership During the Last Five Years: MSD Inc., Gerdau Ameristeel Inc. and ACE Aviation Holdings Inc.
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on the market value of Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share.
Director of Chorus and its predecessors or subsidiaries since January 24, 2006
Chairman of the Board of Directors
Richard H. McCoy is a corporate director. Mr. McCoy has over 35 years' experience in the investment industry. From May 1997 to October 31, 2003, Mr. McCoy was Vice-Chairman, Investment Banking at TD Securities. Prior to joining TD Securities in 1997, Mr. McCoy was Deputy Chairman of CIBC Wood Gundy Securities. Mr. McCoy is a Director of Aberdeen Asia-Pacific Income Investment Company Limited, Uranium Participation Corporation and Pizza Pizza Royalty Corp.
JOSEPH D. RANDELL
Chorus Securities Held or Controlled:
Class B Voting Shares:
845,790
Restricted Share Units: 583,379
Total Class B Voting Shares and Deferred Share Units: 1,429,169 Total Market Value of Class B Shares and Deferred Share Units: $6,199,888 (1) Mr. Randell’s holdings exceed the executive share ownership requirement.
Experience: Executive Leadership, Board Experience, Accounting, Finance, Aviation/Transportation Industry Knowledge, Human Resources/Compensation and Strategic Planning
Current Board Memberships other than Chorus Aviation Inc. and including Non-Profit Boards: National Airlines Council of Canada (NACC), Regional Airline Association (RAA), MS Scientific Research Foundation
Other Board Membership During the Last Five Years: Discovery Air Inc.
Public Board Overlap: No interlocking outside public company directorships.
(1) Based on market value of the Class B Voting Shares of Chorus at March 26, 2015 of $5.96 per share. The amounts for the Restricted Share Units are shown as the minimum payouts reflecting the 1/3 of restricted shares granted that will vest on a time basis.
Director of Chorus and its predecessors or subsidiaries since January 24, 2006
Joseph (Joe) D. Randell has been President and Chief Executive Officer of Jazz since January 1, 2001. Mr. Randell was a founder of Air Nova in 1985 and served as its President. In 1999, Mr. Randell led the consolidation of Air Nova and Air Alliance, the eastern based Air Canada regional carriers. Under Mr. Randell's direction, further consolidation of Air Ontario, Air BC and Canadian Regional led to the creation of Jazz. Mr. Randell is a Director of the National Airlines Council of Canada (NACC), the Regional Airline Association and the MS Scientific Research Foundation. Mr. Randell is the former Chairman of the Board of Directors of the Air Transportation Association of Canada. Mr. Randell holds a Bachelor of Industrial Engineering with distinction from the Technical University of Nova Scotia and a Masters Degree in Business Administration from the Memorial University, Newfoundland.
REMUNERATION OF DIRECTORS
The compensation structure of the Board is designed to attract and retain highly talented and experienced directors focussed on the long-term success of Chorus. This requires that directors of Chorus be adequately and competitively compensated.
The Board has determined that directors should be compensated in a form and amount which is appropriate and customary for comparable corporations, having regard for such matters as time commitment, responsibility and trends in director compensation. In 2010, the Governance and Nominating Committee, assisted by Mercer Consulting, conducted a review of director compensation by referencing the benchmark group used for executive compensation reviews. As a result, and to maintain a competitive compensation structure, annual retainers were adjusted effective October 1, 2010, and a deferred share unit program ("DSU Plan") was approved effective January 1, 2011. There has been no change to director compensation since 2010.
Directors (other than the Chairman and the executive director, Mr. Randell) receive an annual retainer of $65,000. The Chairman receives an annual retainer of $110,000. The Directors are not paid meeting fees for attending Board or committee meetings.
Directors (other than the Chairman and the executive director) also receive an additional annual retainer of $15,000, $7,500, and $7,500, respectively, if they chair the Audit, Finance and Risk Committee, the Governance and Nominating Committee, or the Human Resources and Compensation Committee. Members of the Audit, Finance and Risk Committee, the Governance and Nominating Committee, and the Human Resources and Compensation Committee, receive, respectively, an additional annual retainer of $5,000, $2,500, and $2,500.
Non-executive directors receive a portion of their remuneration in deferred share units ("DSUs") pursuant to a DSU Plan designed to promote the alignment of interests between individual non-executive directors and the shareholders of Chorus. DSUs will have a value equivalent to the value of the shares at any time. DSUs may only be redeemed for cash and will be paid out only subsequent to the time the director ceases to be a director, or in the case of a U.S. taxpayer, subsequent to the date such person incurs a "separation from service" under applicable U.S. law. Participating directors will receive, in respect of their DSUs, an amount equivalent to the amount of any dividends paid on the shares in the form of additional DSUs. Under the DSU Plan, the Chairman receives an annual grant of DSUs with a value of $40,000 while other non-executive directors receive an annual grant of DSUs with a value of $30,000, paid in quarterly instalments. In addition, a participating director may elect to have his or her annual retainer and/or any additional retainer payable in the form of DSUs or a combination of DSUs and cash.
The executive director, Mr. Randell, is not paid retainer fees or committee fees and does not receive DSUs.
Directors are reimbursed for travel and out-of-pocket expenses incurred in attending meetings of the Board or the committees, as applicable. Non-executive directors also receive an annual grant of travel reward miles. As these travel reward miles are a taxable benefit, they receive a payment to address the related income tax.
Director Compensation
| Name | | Director | | Committee | Chair-person’s retainer(s)(3) ($) | Share based awards(4) ($) | Other(5) ($) |
|---|---|---|---|---|---|---|---|
| | | annual | | annual | | | |
| | | retainer( 1) | | retainer(s)(2) | | | |
| | | ($) | | ($) | | | |
| Gary M. Collins | 65,000 | | 5,000 | | 7,500 | 30,000 | 5,600 |
| Karen Cramm | 65,000 | | 2,500 | | 15,000 | 30,000 | 5,600 |
| Benjamin C. Duster, IV (7) | 48,750 | | 3,750 | | 5,625 | 22,500 | 5,600 |
| Sydney John Isaacs | 65,000 | | 5,000 | | - | 30,000 | 5,600 |
| G. Ross MacCormack | 65,000 | | 5,000 | | - | 30,000 | 5,600 |
| Richard H. McCoy | 110,000 | | - | | - | 40,000 | 5,600 |
| John T. McLennan(8) | 24,286 | | 2,802 | | - | 11,209 | 5,600 |
| Richard Falconer | 65,000 | | 6,875 | | 1,875 | 30,000 | 5,600 |
(1) The annual retainer for non-executive board members is $65,000 and for the Chairman is $110,000. Mr. Randell is not paid an annual retainer for his role as a director or for his participation in any committee business. Directors are reimbursed for travel and out-of-pocket expenses incurred in attending meetings of the Board of Directors or committees, as applicable. Board retainers are paid quarterly. Board members are not paid meeting fees for attending Board or committee meetings.
(2) Members of the Audit, Finance and Risk Committee, the Governance and Nominating Committee and the Human Resources and Compensation Committee received, respectively, an additional committee annual retainer of $5,000, $2,500 and $2,500, respectively. Committee retainers are paid quarterly.
(3) The chair of each of the Audit, Finance and Risk Committee, the Governance and Nominating Committee and the Human Resources and Compensation Committee receives, respectively, an additional committee chair annual retainer of $15,000, $7,500 and $7,500, instead of the annual committee member retainer referred to in Note 2 above. Chair retainer fees are paid quarterly.
(4) Effective January 2011, non-executive directors receive a portion of their remuneration in deferred share units ("DSUs"). All directors receive $30,000 value in DSUs annually with the exception of the Chairman who receives $40,000 value in DSUs annually.
Directors have the option to elect to have all or a portion of their annual retainer and/or committee retainer(s) paid in DSUs. For the period January 1, 2014 to December 31, 2014, Mr. Collins elected to receive 50% of his total fees paid in DSUs. Mr. Isaacs elected to receive 20% of his annual director retainer paid in DSUs for the first quarter and for the remaining quarters he elected not to take any DSUs in lieu of his retainer. Mr. Falconer elected to receive 100% of his annual committee retainers paid in DSUs. Mr. McCoy elected to receive 50% of his total fees paid in DSUs. Mr. MacCormack elected to receive 50% of his annual director retainer paid in DSUs for the first quarter and for the remaining quarters he elected not to take any DSUs in lieu of his retainer. The value of these DSUs in lieu of cash is reflected in the values shown in the columns headed "Director Annual retainer" and "Committee Annual retainer". Mr. Duster, Mr. McLennan and Mrs. Cramm did not take any DSUs in lieu of retainers.
(5) Directors receive an annual grant of travel reward miles. As these travel reward miles are a taxable benefit, they receive a payment to address the related income tax. Mr. Randell does not receive this grant of travel reward miles. The value of the travel reward miles is included as other income.
(6) The value of the aggregate number of DSUs credited to each board member during 2014 (including DSU grants and DSUs taken in lieu of cash fees), the values of which are included in this table, are for Mr. Collins $68,750, Mrs. Cramm $30,000, Mr. Duster $22,500, Mr. Isaacs $33,250, Mr. Falconer $38,750, Mr. MacCormack $38,125, Mr. McCoy $95,000 and Mr. McLennan $11,209.
(7) Mr. Duster resigned from the Board on August 14, 2014; Mr. Falconer was appointed Chair of the HRCC effective November 11, 2014,
(8) Mr. McLennan resigned from the Board on May 15, 2014; he did not stand for re-election.
2014 Outstanding share-based awards at fiscal year end
| | Name | Market Value of DSUs vested but not paid out ($)(1) |
|---|---|---|
| Gary Collins | | |
| Karen Cramm | | |
| Sydney John Isaacs | | |
| G. Ross MacCormack | | |
| Richard H. McCoy | | |
| Richard Falconer | | |
(1) Based on market value of shares of Chorus at December 31, 2014 of $4.55 per share. Amounts represent balance of DSUs awarded and the additional DSUs that have been credited to the directors on account of dividends on shares of Chorus in accordance with the terms of the Chorus DSU Plan.
Share-Based Plan – value vested during 2014
(1) The grant value of DSUs awarded in 2014 and the value of additional DSUs credited to the directors on account of dividends on shares of Chorus in accordance with the terms of the Chorus DSU Plan.
SHARE OWNERSHIP REQUIREMENT FOR DIRECTORS
Effective January 1, 2011, the Board adopted share ownership guidelines according to which nonexecutive directors are required to own securities of Chorus with a value equal to three times their base annual retainer through shares and/or DSUs which would mean a requirement to hold securities with a minimum value of $195,000 for non-executive directors and $330,000 for the Chairman. The value of securities for this purpose is the greater of the market value of the securities and the aggregate purchase price of the securities. Such ownership must be achieved by the later of five years from January 1, 2011 or the date of the director's appointment. As of March 30, 2015, all directors had met the guidelines. For share ownership requirements for the executive director, please refer to the details in the "Executive Compensation" section of this circular.
CERTAIN PROCEEDINGS
To the knowledge of Chorus, none of the proposed nominees for election as directors (a) are, as at the date hereof, or have been, within ten years before the date of this circular, a director, chief executive officer or chief financial officer of any company that, (i) was subject to a cease trade order, an order similar to a cease trade order or an order that denied the relevant company access to any exemption under securities legislation that was in effect for a period of more than 30 consecutive days (an "Order") that was issued while the proposed nominee was acting in the capacity as director, chief executive officer or chief financial officer; or (ii) was subject to an Order that was issued after the proposed nominee ceased to be a director, chief executive officer or chief financial officer and which resulted from an event that occurred while that person was acting in the capacity as director, chief executive officer or chief financial officer, (b) are, as the date of this circular, or have been within ten years before the date of this circular, a director or executive officer of any company that, while person was acting in that capacity, or within a year of that person ceasing to act in that capacity, became bankrupt, made a proposal under any legislation relating to bankruptcy or insolvency or was subject to or instituted any proceedings, arrangement or compromise with creditors or had a receiver, receiver manager or trustee appointed to hold its assets; or (c) have, within the ten years before the date of this circular, become bankrupt, made a proposal under any legislation relating to bankruptcy or insolvency, or become subject to or instituted any proceedings, arrangement or compromise with creditors, or had a receiver, receiver manager or trustee appointed to hold the assets of the proposed nominee, except that Richard D. Falconer was a member of the board of Jaguar Mining Inc. when it filed for a voluntary proceeding under the CCAA on December 23, 2013.
STATEMENT OF GOVERNANCE PRACTICES
After reviewing its governance practices, the Board has concluded that Chorus complies with the requirements of National Instrument 58-101 - Disclosure of Corporate Governance Practices. Chorus regularly adjusts its governance practices as regulatory changes come into effect, and will continue to monitor these changes closely and make any required amendments to its governance practices.
Board of Directors
Director Independence
The Charter of the Board of Directors provides that the Board of Directors shall at all times be composed of a majority of individuals who must be determined to have no material relationship with Chorus and who, in the reasonable opinion of the Board of Directors, must be unrelated and independent under the laws, regulations and stock exchange listing requirements to which Chorus is subject. Based on the information received from each director, the Board of Directors concluded that each of the directors of Chorus standing for election to the Board, except the President and Chief Executive Officer, Joseph D. Randell, is independent in that he or she does not have a direct or indirect material relationship with Chorus and, in the reasonable opinion of the Board of Directors, is unrelated and independent under applicable laws, regulations and listing requirements. Mr. Randell is not independent because he is the President and Chief Executive Officer of Chorus.
Six of the seven directors of Chorus nominated for election to the Board have been determined, based on National Instrument 52-110 – Audit Committees, to be independent (as listed in the following table). All committee members are independent.
| Director Name | Independence Status | |
|---|---|---|
| | Independent | Not Independent |
| Gary M. Collins | | |
| Karen Cramm | | |
| Richard D. Falconer | | |
| Sydney John Isaacs | | |
| G. Ross MacCormack | | |
| Richard H. McCoy | | |
| Joseph D. Randell | | |
Chairman of the Board
The nominated Chairman of the Board is independent. Chorus' maintenance of separate Chair and Chief Executive Officer positions enables more effective oversight of management.
A position description for the Chairman of the Board has been adopted under which the Chairman is responsible for, among other things: (i) ensuring that the responsibilities of the Board are well understood; (ii) ensuring that the directors work as a cohesive team and providing the requisite leadership to achieve this; (iii) ensuring that the resources available to the directors (in particular, timely and relevant information) are adequate to support their work; (iv) adopting procedures to ensure that the directors can conduct their work effectively and efficiently, including committee structure and composition, scheduling and management of meetings; (v) developing agenda for meetings and procedures, and monitoring the composition of the committees of the Board; (vi) ensuring proper flow of information to the Board; (vii) ensuring that a process is in place by which the contribution of individual directors and the effectiveness of the Board as a whole are assessed; and (viii) chairing every meeting of the Board and encouraging free and open discussion at such meetings.
Board Size
The Board was comprised of seven directors on December 31, 2014. Eight directors were elected at the annual meeting of shareholders held on May 15, 2014 and on August 14, 2014, one of those directors, Benjamin C. Duster, IV, resigned from the Board. Seven nominees are being proposed in this circular as directors. The Board is of the view that such size and composition is adequate and allows for the efficient functioning of the Board.
"In camera" Sessions of Board of Directors
At Board of Directors meetings, time is reserved for non-management directors to hold "in camera" sessions in the absence of the members of management and the non-independent management director. The Board of Directors meets without management and without the non-independent management director at each regularly scheduled meeting, and at all other meetings, the directors consider whether an "in camera" meeting would be appropriate in the circumstances. Questions and comments formulated during "in camera" sessions are then passed on to the members of management who were excluded from the "in camera" sessions. During the year ended December 31, 2014, six such in-camera sessions were held in the absence of management. In addition, the non-management directors held four sessions in the absence of the non-independent management director, Mr. Randell. In addition to the Board in-camera sessions, during 2014, the Human Resources & Compensation Committee held four in-camera sessions in the absence of management and three in-camera sessions in the absence of the non-independent management director, Mr. Randell. Also during 2014, the Audit, Finance & Risk Committee held four incamera sessions in the absence of management and three in-camera sessions in the absence of Mr. Randell.
Board and Committee Composition
| Director | Year Appointed to the Board | | 2014 Committees | | | |
|---|---|---|---|---|---|---|
| | | Audit, Finance & Risk Committee | Audit, Finance & | | Human Resources & | Governance & |
| | | | Risk Committee | | Compensation | Nominating |
| | | | | | Committee | Committee |
| Gary M. Collins | 2008 | √ | | - | | |
| Karen Cramm | 2010 | Chair | | - | | |
| Benjamin C. Duster, IV(1) | 2010 | √ | | Chair | | |
| Richard D. Falconer (2) | 2012 | √ | | Chair | | |
| Sydney John Isaacs | 2008 | - | | √ | | |
| G. Ross MacCormack | 2006 | - | | √ | | |
| Richard H. McCoy (3) | 2006 | √ | | √ | | |
| John T. McLennan (4) | 2006 | √ | | √ | | |
| Joseph D. Randell (3) | 2006 | √ | | √ | | |
(1) Benjamin C. Duster, IV was the Chair of the Human Resources & Compensation Committee until he resigned from the board effective August 14, 2014
(2) Richard D. Falconer was appointed as Chair of the Human Resources & Compensation Committee effective November 11, 2014
(3) The Chairman of the Board, Mr. McCoy, and the President and Chief Executive Officer, Mr. Randell attended all committee meetings as ex officio members.
(4) John T. McLennan retired from the board effective May 15, 2014
Attendance Record
The attendance records of the Board of Directors for each of the meetings of the Board of Directors and the standing committees is reflected in the following chart.
| Director | Board (1) | Audit, Finance & Risk Committee | | Human | Governance & Nominating Committee | Totals |
|---|---|---|---|---|---|---|
| | | | | Resources & | | |
| | | | | Compensation | | |
| | | | | Committee | | |
| Gary M. Collins | 11 of 11 | 4 of 4 | - | | 4 of 4 | 19 of 19 (100%) |
| Karen Cramm | 11 of 11 | 4 of 4 | - | | 4 of 4 | 19 of 19 (100%) |
| Benjamin C. Duster, IV(3) | 6 of 6 | 3 of 3 | 3 of 3 | | - | 12 of 12 (100%) |
| Richard D. Falconer | 11 of 11 | 4 of 4 | 4 of 4 | | - | 19 of 19 (100%) |
| Sydney John Isaacs | 11 of 11 | - | 4 of 4 | | 4 of 4 | 19 of 19 (100%) |
| G. Ross MacCormack | 11 of 11 | - | 4 of 4 | | 4 of 4 | 19 of 19 (100%) |
| Richard H. McCoy (2) | 11 of 11 | 4 of 4 | 4 of 4 | | 4 of 4 | 23 of 23 (100%) |
| John T. McLennan (4) | 4 of 4 | 2 of 2 | 1 of 2 | | - | 7 of 8 (87.5%) |
| Joseph D. Randell (2) | 11 of 11 | 4 of 4 | 4 of 4 | | 4 of 4 | 23 of 23 (100%) |
(1) Includes all Board meetings and the annual shareholder meetings.
(2) The Chairman of the Board, Mr. McCoy, and the President and Chief Executive Officer, Mr. Randell attended all committee meetings as ex officio members.
(3) Benjamin C. Duster, IV resigned from the board effective August 14, 2014
(4) John T. McLennan retired from the board effective May 15, 2014
Board Mandates
The Board has adopted a written charter which sets out, among other things, its roles and responsibilities. The Charter of the Board of Directors can be found at "Schedule A" to this circular.
Position Descriptions
President and Chief Executive Officer
The Board has adopted a position description for Joseph D. Randell, the President and Chief Executive Officer ("CEO") of Chorus. The CEO has full responsibility for the day-to-day operations of Chorus' business in accordance with its strategic plan, and its operating and capital budgets, in each case, as approved by the Board. The CEO is accountable to the shareholders of Chorus, through the Board, for the overall management of Chorus, and for conformity with policies agreed upon by the Board. The approval of the Board (or appropriate Committee) is required for all significant decisions outside of the ordinary course of Chorus' business.
More specifically, the primary responsibilities of the CEO include the following: (i) developing, for the Board's approval, a strategic direction and positioning to ensure Chorus' success; (ii) ensuring that the day-to-day business affairs of Chorus are appropriately managed by developing and implementing processes that will ensure the achievement of Chorus' financial and operating goals and objectives; (iii) fostering a corporate culture that promotes performance, customer focus and service; (iv) keeping the Board aware of Chorus' performance and events affecting its business, including opportunities in the marketplace and adverse or positive developments; and (v) ensuring, in cooperation with the Board, that there is an effective succession plan in place for the CEO position.
Chair of each Committee
The Chairs of the Audit, Finance and Risk Committee, the Governance and Nominating Committee, and the Human Resources and Compensation Committee, are respectively, Karen Cramm, Gary M. Collins and Richard D. Falconer. Mr. Duster was the Chair of the Human Resources and Compensation Committee until he resigned from the Board effective August 14, 2014.
Position descriptions have been adopted by the Board for the Chair of each of the Audit, Finance and Risk Committee, the Governance and Nominating Committee and the Human Resources and Compensation Committee. Under such position descriptions, the Chair of each Committee is required, among other things: (i) to ensure that the Committee fulfils the objectives and responsibilities set out in its charter; (ii) to ensure that enough time and attention is given to each aspect of the Committee's responsibilities; (iii) to ensure that members of the Committee maintain the level of independence required by applicable legislation; (iv) to review the annual assessment of the Committee and take the appropriate measures to correct the weaknesses identified in the assessment; (v) to ensure that the other members of the Committee understand the role and responsibilities of the Committee; (vi) to ensure that sufficient information is provided by management to enable the Committee to exercise its duties; and (vii) to carry out other duties as requested by the Board depending on need and circumstances.
Orientation and Continuing Education
Chorus has in place an orientation program for new directors. New directors are invited to attend orientation sessions with members of senior management of Chorus, including the CEO, to improve their understanding of Chorus' business. Each new director is also asked to review the Charter of the Board, the Charter of each Committee and the position descriptions of the Chairman of the Board, the President and Chief Executive Officer and the Chair of each Committee in order to fully understand the role he or she is expected to play as a director and Committee member.
As part of its mandate, the Governance and Nominating Committee is also responsible for providing a continuous education program for the directors. Chorus has in place a continuous education program. Chorus provides directors with regular reports on the operations and finances of the corporation.
Management periodically provides directors with analyst studies, industry studies and benchmarking information. At each regular board meeting, the directors are provided with updates and summaries of relevant information. Documentation and selected articles and presentations are also provided to directors to keep current their knowledge and understanding of Chorus' business and issues facing Chorus. Furthermore, facility tours are periodically provided to directors so they can enhance their understanding of the operational aspects of Chorus' business.
Skills Matrix
Directors identify their skills and experience in March of each year. The information is used to assess the overall strength and diversity of the Board, as shown in the following chart:
| | | Collins | | Cramm | | Falconer | | Isaacs | | MacCormack | | McCoy | Randell |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Executive Leadership (1) | | | | | | | | | | | | | |
| Other Board Experience (2) | | | | | | | | | | | | | |
| Accounting (3) | | | | | | | | | | | | | |
| Finance (4) | | | | | | | | | | | | | |
| Aviation / Transportation Industry Knowledge (5) | | | | | | | | | | | | | |
| Human Resources / Compensation (6) | | | | | | | | | | | | | |
| Legal (7) | | | | | | | | | | | | | |
| Strategic Planning (8) | | | | | | | | | | | | | |
(1) Experience as senior executive/officer of a publicly listed company or major organization.
(2) Served as a board member of a public, private or non-profit entity.
(3) Knowledge of and experience with financial accounting and reporting, and familiarity with internal financial/accounting controls, Canadian or US Generally Accepted Accounting Principles and/or IFRS.
(4) Experience with corporate finance and financing transactions.
(5) Knowledge of the aviation/transportation industry.
(6) Experience with benefit, pension and compensation programs (in particular, executive compensation programs).
(7) Experience as a lawyer either in private practice or in-house with a publicly listed company or major organization.
(8) Experience in the development and implementation of a strategic direction for a large organization.
BOARD AND EXECUTIVE OFFICER DIVERSITY
Chorus seeks to maintain a Board and executive leadership team comprised of talented and dedicated directors and officers whose skills and backgrounds reflect the diverse nature of the business environment in which Chorus operates. Chorus is committed to a merit based system for Board and executive composition, which includes a diverse and inclusive culture. Accordingly, the composition of the Board and of the executive leadership team is intended to reflect a diverse mix of skills, experience, knowledge and backgrounds, including an appropriate number of women directors and officers.
The Board has not, at this time, adopted a formal diversity policy. The Governance and Nominating Committee ("Governance Committee") periodically assesses the skills, experience, knowledge and backgrounds of Chorus' Board and the Human Resources and Compensation Committee ("HRCC") periodically assesses the skills, experience, knowledge and backgrounds of Chorus' executive officers in
light of the needs of the Board and of Chorus. When identifying suitable candidates for election to the Board and appointment as executive officers, the Governance Committee and HRCC, as appropriate, will consider candidates on merit against an objective criteria having due regard to the benefits of diversity and the needs of the Board and of Chorus.
In addition, as a federally regulated company, Jazz Aviation LP ("Jazz", Chorus' subsidiary with greater than 99% of Chorus' employees) complies with the Employment Equity Act which includes the requirement to implement an Employment Equity program. Jazz reports annually on steps taken to meet the obligations to identify and remove systemic barriers to the hiring and promotion of persons from the four designated groups who have traditionally been underrepresented in the Canadian workforce: women, visible minorities, Aboriginal persons and persons with disabilities.
Jazz's five year plan outlines qualitative goals, hiring and promotion goals and representation goals for each designated group. Jazz has voluntarily chosen to set goals in the areas of hiring and promotion to ensure that progress is achieved and/or maintained where possible. These goals are considered when making recommendations to the HRCC and the Board for appointments at the executive level and in the succession planning process.
In light of the foregoing, the Board has determined, at this time, that it can manage Board and executive officer gender diversity without establishing a formal diversity policy or a specific target for the representation of women on the Board and as executive officers. The Board and the Governance Committee may, from time to time, continue to evaluate the adoption of such policies and targets.
In addition to Employment Equity, Jazz launched a Diversity and Inclusion Strategy which strengthens the commitment to the organization's core value of respecting diversity. The Commitment and Belief Statements are posted on the Jazz web-site at www.flyjazz.ca and a three year Diversity Blueprint has been launched internally.
This culture of equal opportunity and inclusion has been recognized externally, as Jazz has been selected as one of Canada's Best Diversity Employers for four consecutive years in an award program conducted by Mediacorp Canada Inc. partnered with, among others, The Globe and Mail.
The current proportion of women on the Board stands at 14% (1 of 7). Mrs. Cramm will stand for reelection at the Meeting. The current proportion of women executives of Chorus stands at 18% (2 of 11).
Board Term and Renewal
Chorus does not have a mandatory age for the retirement of directors and there are no term limits for the directors on the Board. Instead, the Governance and Nominating Committee reviews the composition of the Board on a regular basis in relation to approved director criteria and skill requirements and recommends changes as appropriate to renew and strengthen the Board. The Chair of the Governance and Nominating Committee leads the effort to identify and recruit candidates to join the Board in current and future years, with a focus on enhancing the Board's diversity and skills. The Board of Chorus has determined that they can manage diversity, skills, renewal and succession planning adequately without imposing term limits and can also maintain an appropriate degree of continuity both on the Board and on its committees.
Strategic Planning
The Board works with management to develop Chorus' strategic direction which includes Chorus' longrange and annual objectives. Management prepares materials related to the strategic plan and presents them to the Board for discussion and, where required, approval. The Board is actively involved in the strategic planning process. Management and the Board discuss the main risks facing Chorus' business, strategic issues, competitive developments and corporate opportunities at each regularly scheduled Board meeting. No less than annually, the Board also conducts a special meeting dedicated to the review and discussion of the strategic plan.
Corporate Policy and Guidelines on Business Conduct
Chorus has adopted a Corporate Policy and Guidelines on Business Conduct (the "Code") which was approved by the Chorus Board of Directors on November 7, 2011. The Code applies to all directors of Chorus and officers and employees of Chorus and its subsidiaries. A copy of the Code can be obtained on SEDAR at www.sedar.com or on Chorus' website at www.chorusaviation.ca. The Code addresses, among other things, the following matters:
(a) conflicts of interest;
(b) use of company assets;
(c) confidential information;
(d) fair dealing with other people and organizations;
(e) compliance with laws, rules and regulations;
(f) employment policies;
(g) computer, e-mail and Internet policies; and
(h) reporting suspected non-compliance.
The Governance and Nominating Committee has the responsibility for monitoring compliance with and interpreting the Code. The Code has been communicated or brought to the attention of all employees of Chorus. In addition, all management, administration and technical employees are required to complete an acknowledgement annually under which they undertake to comply with the guidelines and principles of the Code. The Code also includes provisions whereby employees can report violations. The Board has concluded that such measures are appropriate and sufficient to ensure compliance with the Code. Since the adoption of the Code, Chorus has not filed any material change report pertaining to any conduct of a director or executive officer of Chorus.
In addition to the relevant provisions of the CBCA applicable to directors, the Charter of the Board of Directors provides that the directors shall disclose all actual or potential conflicts of interest, and refrain from voting, on matters in which the director has a conflict of interest. The Charter also provides that a director shall excuse himself or herself from any discussion or decision on any matter in which the director is precluded from voting as a result of a conflict of interest or which otherwise affects his or her personal, business or professional interests.
Nomination of Directors
The Governance and Nominating Committee is composed entirely of independent directors. It is responsible for considering and making recommendations on the desired size of the Board, the need for recruitment and the expected skill-set of new candidates. In consultation with the Chairman of the Board and the CEO, the Governance and Nominating Committee determines the expected skill-set of new candidates by taking into account the existing strength of the Board and the needs of Chorus. The Governance and Nominating Committee then reviews and recommends the candidates for nomination as directors and approves the final choice of candidates for nomination and election as directors by the shareholders. Directors must have an appropriate mix of skills, knowledge and experience in business and an understanding of the industry and the geographical areas in which Chorus operates. Directors selected should be able to commit the requisite time for all of the applicable Board business. Directors are expected to:
(a) demonstrate high ethical standards and integrity in their personal and professional dealings;
(b) act honestly and in good faith with a view to the best interest of Chorus;
(c) devote sufficient time to the affairs of Chorus and exercise care, diligence and skill in fulfilling their responsibilities both as Board members and as Committee members;
(d) provide independent judgment on a broad range of issues;
(e) understand and challenge the key business plans and the strategic direction of Chorus;
(f) raise questions and issues to facilitate active and effective participation in the deliberation of the Board and of each Committee;
(g) make all reasonable efforts to attend all meetings of the Board and Committee meetings; and
(h) review the materials provided by management in advance of the meetings of the Board.
Please see the "Committees" section of this circular for a description of the responsibilities, powers and operations of the Governance and Nominating Committee.
Compensation
Please see the "Remuneration of the Directors" section of this circular for the criteria used to determine the remuneration of the directors. Please see the "Executive Compensation" section of this circular for the process and criteria used to determine the compensation of the officers of Chorus.
Please see the "Committees" section of this circular for a description of the responsibilities, powers and operations of the Human Resources and Compensation Committee and the Governance and Nominating Committee as they relate to compensation issues.
Assessments
It is the role of the Chair of the Governance and Nominating Committee to assess, on an annual basis, the contribution of each individual director, the effectiveness of the Board and the effectiveness of the Committees. For this purpose, the Chair of the Governance and Nominating Committee and/or the Chairman of the Board conduct private meetings with each director. During those meetings, the Chair of the Governance and Nominating Committee or the Chairman review with each director his or her assessment of the effectiveness of the Board and its Committees and personal contributions. The results of these discussions are shared with the Board. Also, on a quarterly basis, the Chair of each committee reports to the Board on the activities of the Committee. If appropriate, the Board will then consider procedural or substantive changes to increase the effectiveness of the Board and its Committees.
Directorships of Other Reporting Issuers
The following directors of Chorus are presently directors of other public entities:
- Gary M. Collins is currently a director of Liquor Stores North America Inc. and D-Box Technologies Inc.
- Richard D. Falconer is currently a director of Resolute Forest Products (formerly AbitibiBowater Inc.) and Jaguar Mining Inc.
- Richard H. McCoy is currently a director of Aberdeen Asia-Pacific Income Investment Company Limited, Uranium Participation Corporation and Pizza Pizza Royalty Corp.
Please see "The Nominated Directors" section in this circular for additional information relating to each director standing for nomination, including other boards on which they serve.
COMMITTEES
The Board has three standing committees (collectively, the "Committees"):
- the Audit, Finance and Risk Committee;
- the Governance and Nominating Committee; and
- the Human Resources and Compensation Committee
All committees of the Board of Directors are composed of independent directors of Chorus. The roles and responsibilities of each committee are set out in formal written charters. These charters are reviewed annually to ensure that they reflect best practices and conform with applicable regulatory requirements.
This section includes reports from each Committee, which provide details regarding their respective members, responsibilities and activities.
Audit, Finance and Risk Committee
Chorus is required by law to have an audit committee. The Audit, Finance and Risk Committee shall be comprised of not less than three directors, all of whom shall meet the independence, experience and other membership requirements under applicable laws, rules and regulations as determined by the Board. The members of the Audit, Finance and Risk Committee shall have no relationships with management and its related entities that in the opinion of the Board may interfere with their independence from management and from Chorus. In addition, a member of the Audit, Finance and Risk Committee shall not receive, other than for service on the Board or the Audit, Finance and Risk Committee or other Committees of the Board, any consulting, advisory, or other compensatory fee from Chorus or any of its related parties or subsidiaries. The members of the Audit, Finance and Risk Committee shall possess the mix of characteristics, experiences and skills to provide an appropriate balance for the performance of the duties of the Audit, Finance and Risk Committee and in particular each member of the Audit, Finance and Risk Committee shall be "financially literate" and at least one member of the Audit, Finance and Risk Committee shall be a "financial expert" as defined by relevant securities legislation or regulations.
The objectives of the Audit, Finance and Risk Committee include the following:
- To assist the Board in the discharge of its responsibility to monitor Chorus' financial reporting and audit process.
- To maintain and enhance the quality, credibility and objectivity of Chorus' financial reporting and to satisfy itself and oversee management's responsibility as to the adequacy of the supporting systems of internal financial and accounting controls.
- To assist the Board in its oversight of the independence, qualifications and appointment of the external auditor.
- To monitor the performance of the internal financial and accounting controls and of the internal and external auditors.
- To provide independent communication between the Board and the internal auditor and the external auditor.
- To facilitate in-depth and candid discussions between the Audit, Finance and Risk Committee and management and the external auditor regarding significant issues involving judgment and impacting quality of controls and reporting.
The Audit, Finance and Risk Committee's responsibilities include the following:
- Monitor and review the quality and integrity of Chorus' accounting and financial reporting process through discussions with management, the external auditor and the internal auditor.
- Determine, based on its review and discussion, whether to recommend the approval by the Board of audited and unaudited financial statements and the financial disclosure in any Management's Discussion and Analysis ("MD&A"), any annual information forms, earnings press releases, prospectuses and other similar documents.
- Review with management, the internal auditor and the external auditor and, if considered appropriate, approve the release of Chorus' quarterly financial statements and related MD&A.
- Review with management, the external auditor and legal counsel, Chorus' procedures to ensure compliance with applicable laws and regulations.
- Meet with the external auditor to review and approve their audit plan.
- Review and approve estimated audit and audit-related fees and expenses.
- Review and approve, prior to the commencement of such work, the nature of all non-audit services, as permitted by securities legislation and regulations, to be provided by the external auditor prior to the commencement of such work.
- Review a report from the external auditor, if deemed appropriate by the Audit, Finance and Risk Committee, of all relationships between the external auditor and its related entities and Chorus and its related entities.
- Evaluate the performance of the external auditor.
- Review the mandate of and the services provided by the internal audit department.
- Review significant emerging accounting and reporting issues.
- Review policies and procedures for the receipt, retention and treatment of complaints received by Chorus from employees, shareholders and other stakeholders regarding accounting issues and financial reporting.
- Review risk management systems and controls, especially in relation to derivatives, foreign currency exposure, hedging and insurance.
- Review and approve the Public Disclosure Policy.
- Identify and address material financial and other risks to the business and affairs of Chorus and its related entities and subsidiaries and make recommendations in that regard to the Board.
- Review and approve policies relating to the financial control, conduct, regulation and administration of subsidiary companies.
- Review, monitor and approve the Donations Policy, if applicable.
- Review actual financial performance compared to budget.
- Establish processes and procedures to identify and monitor compliance with applicable legislation with respect to the environment as well as occupational health and safety, and safety in general.
- Review the management corporate policies, procedures, reports regarding environmental matters.
- Review with management and the environmental officer the results of environment audits and recommendation resulting therefrom.
- Review and approve the investment structure and policy for pension plans.
- Review matters pertaining to funding, funding policy, investment policy, investment return and other investment matters for pension plans.
- Approve the actuary and consultants for pension matters and approve the pension accounting for the plans.
- Make recommendations to the Board.
The Audit, Finance and Risk Committee met four times during the period from January 1, 2014 to December 31, 2014.
The Audit, Finance and Risk Committee is currently composed of the following independent directors:
Members:
Karen Cramm, Chair Gary M. Collins Richard D. Falconer
Additional information respecting the Audit, Finance and Risk Committee is set out in our 2014 Annual Information Form under "Directors and Officers - Audit, Finance and Risk Committee".
Risk Oversight
The Audit, Finance and Risk Committee, among other responsibilities, identifies and monitors risks faced by the business, and seeks to put in place systems to effectively identify, monitor and manage them.
In its risk oversight role, the Audit, Finance and Risk Committee has, among other things, overseen the development by management of Chorus' Safety Management System ("SMS"), which has been implemented and is the framework for managing operational risks. SMS is a comprehensive, highly integrated set of policies, processes, systems and resources that address safety planning and goalsetting, management review, quality assurance (including safety and quality auditing), safety training, safety oversight, trending and analysis, risk assessment and mitigation, and emergency preparedness. SMS also integrates related frameworks, including occupational safety and health, security and environment, in order to maximize the likelihood of comprehensive, robust and efficient outcomes.
Governance and Nominating Committee
The Governance and Nominating Committee shall be comprised of not less than three directors of Chorus as determined by the Board of Directors, all of whom shall be independent (as defined under applicable securities laws) and shall comply with eligibility and qualification standards under applicable legislation in effect from time to time.
The primary objective of the Governance and Nominating Committee is to assist the Board in fulfilling its responsibilities by ensuring that corporate governance guidelines are adopted, disclosed and applied including director qualification standards, director responsibilities, director access to management and independent advisors, director compensation, director orientation and continuing education, management succession and annual performance evaluation of the Board of Directors, and to identify individuals qualified to become new board members and recommending to the Board of Directors the new director nominees for each annual meeting of shareholders of Chorus.
The Governance and Nominating Committee's responsibilities include the following:
- Review and develop position descriptions for the Board of Directors, the Chairman of the Board of Directors and the President and Chief Executive Officer.
- Ensure that appropriate structures and procedures are in place so that the Board of Directors can function independently of management.
- Put in place an orientation program for new directors and a continuing education program for the Board.
- Review and monitor systems and processes established for compliance with applicable legislation.
- Review proposed amendments to Chorus' by-laws.
- Make recommendations to the Board of Directors with respect to monitoring, adoption and disclosure of corporate governance guidelines.
- Recommend the types, charters and composition of the Board committees.
- Recommend the nominees to the chairmanship of the Board committees.
-
Monitor the governance structure and, as required, report to the Board of Directors on the necessity or advisability of modifications to such structure.
- Review such other corporate governance and strategic planning committee functions customarily carried out by such committees as well as such other matters which may be referred to it by the Board of Directors from time to time.
- Assist the Board of Directors in determining what competencies and skills the Board, as a whole, should possess and what competencies and skills each existing director possesses.
- Assist the Board of Directors in determining the appropriate size of the Board, with a view to facilitating effective decision-making.
- Develop and review criteria regarding personal qualification for Board membership, such as background, experience, technical skill, affiliations and personal characteristics, and develop a process for identifying and recommending candidates.
- Identify individuals qualified to become new Board members and recommend them to the Board of Directors.
- Consider whether or not each new nominee can devote sufficient time and resources to his duties as a Board member.
- Recommend the slate of director nominees for each annual meeting of shareholders of Chorus.
- Recommend candidates to fill vacancies on the Board of Directors occurring between annual meetings of shareholders of Chorus.
- Review and make recommendations relative to non-management nominees of the boards of subsidiaries of Chorus or of companies in which Chorus has an interest.
The Governance and Nominating Committee, in conjunction with the Chairman of the Board, annually conducts an assessment of the Board's effectiveness. The Chair of the Governance and Nominating
Committee, with the input of directors, circulates a series of questions to prompt discussion on the effectiveness of the Board, the committees of the Board and their respective chairs, and the directors. Those questions form the agenda of individual one on one discussion between the Chairman and each director. The comments and suggestions are reported back to the Board by the Chairman.
The Governance and Nominating Committee met five times during the period from January 1, 2014 to December 31, 2014.
The Governance and Nominating Committee is currently composed of the following independent directors:
Members:
Gary M. Collins, Chair Sydney John Isaacs G. Ross MacCormack Karen Cramm
Human Resources and Compensation Committee
The Human Resources and Compensation Committee ("HRCC") shall be comprised of not less than three directors of Chorus as determined by the Board of Directors, all of whom shall be independent (as defined under applicable securities laws).
The primary purpose of the Committee is to assist the Board of Directors in fulfilling its oversight responsibilities in the field of human resources and compensation as well as succession planning including appointing, training and monitoring of senior management, compensation of officers, organization plans and compensation philosophy.
The responsibilities of the HRCC include the following:
- Develop compensation philosophy and guidelines.
- Review and approve corporate goals, objectives and business performance measures relevant to the compensation of the President and Chief Executive Officer, evaluate the President and Chief Executive Officer's performance in light of those goals, objectives and business performance measures, and make recommendations to the Board of Directors with respect to the President and Chief Executive Officer's compensation level based on this evaluation.
- Make recommendations to the Board of Directors with respect to officers' compensation, incentive compensation and equity-based plans.
- Review and make recommendations to the Board of Directors with respect to incentive compensation plans and equity based plans and any amendments thereto.
- Review and approve, on behalf of the Board of Directors, salary ranges for all positions including executive management.
- Administer the equity-based plans.
- Review executive compensation disclosure before public dissemination, including the review of the annual report of senior management compensation for inclusion in Chorus' proxy circular, in accordance with applicable rules and regulations.
- Review on an ongoing basis management's organization plans and essential elements of succession plans for executive management of Chorus and its subsidiaries so as to ensure that successors have been identified and that their career development is appropriate in the context of the challenges facing the organization.
- Review and approve the training, monitoring and development of senior officers.
- Review and approve the senior management organizations and reporting structure.
- Review and approve the contingency plans in the event of the disability of key executives.
- Approve the design of, and amendments to, pension plans and, on recommendation of the Chief Executive Officer, approve the appointment of members of the pension committee and trustees of pension plans.
- Monitor the pension communication strategy for compliance with disclosure requirements.
The HRCC met four times during the period from January 1, 2014 to December 31, 2014.
The HRCC annually reviews the succession plan for the executive management including the President and Chief Executive Officer and for positions reporting to the executive. Management identifies immediate successors, both internal and external, as appropriate. Management also outlines plans to address gaps identified in the succession plan, if any. Development plans for key successors at the senior level and key talent at other levels are also reviewed by the HRCC. Retention risks, if any are identified by management to the HRCC.
The HRCC is currently composed of the following independent directors:
Members:
Richard D. Falconer, Chair G. Ross MacCormack Sydney John Isaacs
The members of the HRCC bring many years of relevant experience to their role and duties on the HRCC. The Chair of the HRCC, Mr. Falconer has extensive experience in executive leadership roles with CIBC World Markets and as a board member of public issuers such as Resolute Forest Products (formerly, AbitibiBowater Inc.) and Jaguar Mining Inc. Mr. Falconer is a member of the Compensation Committee and the Corporate Governance Committee of Jaguar Mining Inc. Mr. MacCormack has extensive executive aviation experience and has been a director of Chorus or its predecessors since the initial public offering of Jazz Air Income Fund in 2006 and was Chair of the HRCC from February 2006 to May 2012. Mr. Isaacs has many years of experience as a senior executive of a public issuer, ACE Aviation Holdings Inc. and as a partner in a national law firm where he practiced in the areas of mergers and acquisitions, corporate finance and corporate and securities law.
EXECUTIVE COMPENSATION
Compensation Discussion and Analysis
Overview
To achieve its vision, Chorus needs a strong executive team capable of achieving profitability and growth. Chorus' Executive Compensation Program is designed to attract, retain and motivate the key people Chorus needs to meet its strategic plans. In addition, by closely linking executives' and shareholders' interests through incentive compensation, the Executive Compensation Program contributes to the achievement of profitable growth for shareholders. This is achieved through:
- compensation which is market competitive with companies of similar complexity and revenues;
- incentives which reward achievement of corporate objectives and long-term value creation; and
- share ownership guidelines which ensure a personal stake in the company and alignment with shareholder interest.
Chorus' Executive Compensation Program reflects high standards of corporate governance in its compensation policies and practices, including oversight and mitigation of risk. These include:
- share ownership guidelines for executives;
- a balanced mix of fixed to variable and short to long-term compensation;
- payout limits in the Annual Incentive Plan ("AIP") and the Long Term Incentive Plan ("LTIP");
- a balance of financial and individual measures in the incentive plans; and
- an element of discretion to be exercised having regard to individual performance in the AIP and the determination of corporate performance under the LTIP.
The HRCC has direct access to consultants specializing in compensation and benefits. Chorus' management has received advice, and shared with the HRCC when applicable, from Mercer (Canada) Limited ("Mercer") since 2006 with respect to compensation and benefits matters. The decisions made by the HRCC are its responsibility and may reflect factors and considerations in addition to the information and recommendations provided by Mercer. Since January 1, 2014 neither the Board nor the HRCC has retained independent consultants.
The President and Chief Executive Officer and members of management provide informational presentations to the HRCC related to various human resources and compensation initiatives.
The executive officers of Chorus named in the "Summary Compensation Table" below are referred to herein as the "named executive officers".
Share Ownership Guidelines
Share Ownership Guidelines were approved effective January 1, 2011 to promote share ownership by executives and to better align executives' interests with those of Chorus' shareholders. Following a market review, and further to a recommendation of the HRCC, the following guidelines were approved by the Board to be achieved within five years commencing on the later of January 1, 2011 or the participant's date of hire or promotion to a higher executive level: ownership of Chorus shares with a value equal to three times salary for the President and Chief Executive Officer ("CEO"), two times salary for the Chief Financial Officer ("CFO"), Chief Operating Officer ("COO") and Chief Administrative Officer ("CAO") and one times salary for Vice Presidents (including the position of General Counsel and Corporate Secretary).
Class B Voting Shares and restricted share units ("RSUs") granted under the Chorus Aviation Inc. longterm incentive plan (the "LTIP") are included when determining whether an executive satisfies the applicable minimum ownership requirement. One hundred per cent of any time-based RSUs, and 50% of
any performance based RSUs, are included for such purposes. The value of such securities is calculated by reference to the greater of the market and grant share price. As of March 30, 2015 all executives had attained the required level of share ownership.
Named executive officers and directors are restricted under applicable corporate law from engaging in certain transactions to hedge or offset a decrease in market value of equity securities granted as compensation or held, directly or indirectly, by the named executive officer or director. In particular, the named executive officers and directors may not engage in short sales or certain transactions involving calls or puts with respect to Chorus' securities. There are no other restrictions on the ability of named executive officers or directors to engage in such hedging or offset transactions. A named executive officer or director would be required to report any such hedging or offset transactions under applicable securities laws.
Benchmark Group
In determining compensation, the HRCC gives consideration to a benchmark group of Canadian businesses. This benchmark group, based on a review by Mercer in 2010, is reviewed annually by management and the HRCC and adjusted as appropriate in order to guide executive compensation decisions for the following year, including salary adjustments, if any.
Companies chosen for the benchmark group are headquartered in Canada, are in the industrial sector and have revenues approximately one-third to three times that of Chorus. In addition, companies selected were of similar business complexity. Based on these characteristics, the companies in the benchmark group were Transat A.T. Inc., WestJet Airlines Ltd., Superior Plus Corp., Transcontinental Inc., TransForce Inc., Toromont Industries Ltd., Aecon Group Inc., CAE Inc., Stantec Inc., Emera Inc., Wajax Ltd., Progressive Waste Solutions and Algoma Central Corp. The HRCC also monitors and considers executive compensation levels at certain US-based regional airlines.
Chorus considers the development of a direct comparable benchmark group to be challenging both because of Chorus' unique business model in the Canadian landscape and because there are relatively few industrial and utilities type publicly-traded businesses of similar size to Chorus (with many comparable businesses being much larger than Chorus). For these reasons, Chorus considers base pay positioning in the 25 th to 50 th percentile of the benchmark group to be competitive as it reflects Chorus' size relative to the other companies.
Aligning Risk and Compensation
Chorus' compensation oversight and risk management are closely aligned. The HRCC assesses, on a regular basis and periodically in consultation with its external consultants as it determines appropriate, the risks associated with Chorus' executive compensation program. In order to minimize emphasis on shortterm results, Chorus' compensation programs have evolved to place greater emphasis on longer-term share-based compensation.
The HRCC is satisfied that:
- Chorus' compensation policies and practices do not encourage any named executive officer or employee who works in a principal business unit or division to take inappropriate or excessive risks; and
- there were not any identified risks arising from Chorus' compensation policies and practices that would be reasonably likely to have a material adverse effect on Chorus.
Executive Compensation Program
Chorus' Executive Compensation Program emphasizes incentive compensation linked to Chorus' annual and long-term financial performance to align executives' interests to those of Chorus' shareholders.
Five principal elements of fixed, variable and indirect compensation are evaluated together to determine the appropriate compensation level for Chorus executives. Consideration is given to the balance between fixed and variable (at risk), short and long-term and cash and equity components. Each element and the specific objectives it is designed to meet are shown, and described further, below.
| | Compensation Element | Objectives |
|---|---|---|
| Base Salary | | |
| Annual Incentive | | |
| Long-Term Incentive | | |
| Pension and Benefits | | |
| Perquisites | | |
1) Base Salary
Competitive base salaries for Chorus' executives, including the named executive officers, are established by the HRCC based on the responsibilities, contribution, experience and skill set of each executive. When reviewing base salaries, the HRCC also considers equitable factors (such as the desire to maintain a similar level of compensation for a particular officer group, irrespective of function, as well as length of service) and salaries offered by other companies in Chorus' benchmark group for similar positions. Base salary forms a portion of total compensation and compensates individuals for fulfilling their responsibilities.
2) Variable Cash Compensation
In 2014, Chorus had two cash-based variable compensation plans: an AIP and an operational bonus plan called Ensemble Plus.
Annual Incentive Plan
The level of participation in the AIP is formula-based, such that individuals are eligible to be paid a target bonus amount, which for 2014 was equal to 35% of base earnings at the Vice President level, with the exception of 40% of base earnings for the Vice President, Business Development, 60% of base earnings for the CFO, COO and CAO, and 100% of base earnings for the CEO. AIP payouts are based on: (i) corporate performance against financial targets in Chorus' business plan for the relevant year, which, for 2014, consisted of Operating Income ("OI") and Free Cash Flow ("FCF") subject to the Board of Directors' authority to adjust performance results for compensation purposes to take into account matters not reflective of Chorus' business plan or executive performance or other variances when warranted; and (ii) individual performance based on performance assessments. The two financial measures encourage a focus on profitability and align with shareholders' interests in regards to strong cash management.
OI is a GAAP measure defined as operating revenue less operating expenses. FCF is a non-GAAP financial measure defined as adjusted EBITDA (net income before net interest expense, income taxes, depreciation and amortization and other items such as asset impairment and foreign exchange gains or losses), less non-operating expenses and maintenance capital expenditures required to sustain the operation, and adjusted for any unrealized foreign exchange gain or loss on long-term debt and finance
leases. Other capital expenditures incurred to facilitate growth of the business are excluded from the calculation.
All members of management participate in the AIP at target bonus percentages commensurate with their management level. With regards to performance against financial targets, participants in the AIP were eligible to receive payouts of between 0% and 200% of their target bonus amount, based on the achievement of between 80% and 120% of OI and FCF. These financial targets were given equal weighting. Participants were eligible to be paid 100% of their target bonus amount under the AIP if 100% of the financial targets were met. Participants were eligible to be paid a lesser amount than 100% of their target bonus if less than 100% of the financial targets were met. The relationship is linear such that if 90% of OI and FCF targets were met, participants were eligible to be paid 50% of their target bonus amount. Participants were eligible to be paid more than 100% of their target bonus if more than 100% of the financial targets were met, up to 200% of their target bonus amount for achieving 120% or more of OI and FCF targets. Participants would receive no payments under the plan if less than 80% of these financial targets were met.
A personal performance factor ranging from 0.75 to 1.5 times was also applied to cash payments under the AIP, although total payouts under the plan were capped in all cases at 200% of an individual's target bonus amount after taking into account both achievement of financial targets and the personal performance factor.
Ensemble Plus
Ensemble Plus is designed to provide quarterly payments to eligible employees if Chorus achieves predetermined monthly operational and customer service goals. The categories include controllable on-time performance, flights actually flown, incidences of mishandled luggage at airports where Chorus is responsible for luggage handing and other customer service measures related to inflight and check-in satisfaction. The Ensemble Plus plan is offered to all eligible employees (including the named executive officers) on the same basis to allow them to share in Chorus' success and to ensure they work together to achieve corporate goals. The maximum annual payout pursuant to Ensemble Plus for 2014 was $2,550 per eligible employee. In 2014, the total payment under the Ensemble Plus was $1,400 per eligible employee.
3) Equity Plans
In 2014, Chorus had two equity-based compensation plans: the LTIP and the Employee Share Ownership Plan ("ESOP"). The LTIP and the ESOP are designed to align the interests of executives and employees more closely with the interests of Chorus' shareholders. As Chorus' equity compensation plans are largely formula-based, previous grants do not impact the allocation of new grants.
LTIP
The LTIP is Chorus' share-based long-term incentive plan. The President and Chief Executive Officer of Chorus, all senior vice presidents, vice presidents and other officers of Chorus or named individuals, employees or officers of Chorus, Aviation General Partner Inc. or any other entity designated by the Board of Chorus (the "Eligible Participants") are eligible to participate in the LTIP and may be awarded RSUs or options. The LTIP became effective as of January 5, 2011.
Recent Amendments
To further incentivize management to drive operating and strategic improvements aimed at value creation for shareholders, the Board approved amendments (the "2014 LTIP Amendments") to the LTIP to provide for the granting of options exercisable for common voting shares effective as of May 16, 2014. The 2014 LTIP Amendments also permitted cash settlements for RSUs at the election of the Eligible Participants. No shareholder approval was required for the 2014 LTIP Amendments under the terms of the shareholder amendment provision of the LTIP.
Purpose
The purpose of the LTIP is to provide Eligible Participants with incentive compensation that enhances Chorus' ability to attract, retain and motivate key personnel and to reward executives and other key employees (as approved by the Board from time to time) for performance that results in Chorus meeting specified performance targets.
The LTIP aligns the interests of its participants more closely with the interests of Chorus' shareholders, as the value of the RSUs is tied to Chorus' financial and share trading performance. The value of the options is tied to Chorus' share trading performance and, if the Board prescribes performance vesting conditions when awarding such options, Chorus' financial performance. Annual RSUs granted under the LTIP focus executives on long-term value creation, and also support the retention of executives as such RSU grants vest over three-year cycles. Options granted under the LTIP are intended to reward executive performance and focus executives on long-term value creation.
Level of Participation
The level of participation in the LTIP with respect to RSU grants is formula-based, such that individuals are eligible to be granted an annual award of RSUs equal to 50% of base salary at the Vice President level, with the exception of 55% for the Vice President Business Development, 65% of base salary for the CFO and CAO, 75% of base salary for the COO, and 120% of base salary for the CEO. Base salaries are determined as of January 1 of the relevant year. Grants of RSUs under the LTIP vest over a three-year cycle.
The level of participation in the LTIP with respect to option grants is determined by the Board.
The Board or the HRCC has the power to, among other things, determine: (i) those individuals who are eligible to participate in the LTIP; (ii) the level of participation of each participant; and (iii) the time or times when LTIP awards will vest or be paid to each participant.
Total Number of Shares Issued and Issuable
The total number of shares issued and issuable is described on page 53.
Vesting of Awards
The LTIP has a restricted share unit component under which Eligible Participants may be granted RSUs that vest for common shares of Chorus. The vesting of RSUs may be time-based or based on meeting individual or corporate performance targets. The performance conditions for grants of RSUs will be contained in an award agreement relating to the particular grant. RSUs entitle the participant to receive common shares of Chorus on a one-for-one basis. Additional RSUs representing the value of dividends paid on corresponding common shares of Chorus accrue for the benefit of participants. The number of additional RSUs credited is calculated by dividing: (a) the amount obtained by multiplying the amount of the dividend declared and paid by Chorus per share by the number of RSUs recorded in the participant's account on the record date for the payment of such dividend, by (b) the five day volume weighted average price ("VWAP") of the shares for the period including and ending on the third trading day prior to the record date for the payment of such dividend. On vesting, the additional RSUs in respect of dividends will vest in the same manner as the RSUs originally granted.
The vesting of options is time based and, at the discretion of the Board, may be based on meeting individual or corporate performance targets. The performance conditions, if any, for grants of options will be contained in an award agreement relating to the particular grant. Unless otherwise specified by the Board, each vested option may be exercised at any time or from time to time, in whole or in part, for up to the total number of common shares with respect to which it is then exercisable and it remains exercisable until expiration or termination of the option. For options subject to a performance vesting condition if, as a result of a failure to meet the performance vesting condition, some or all of the options granted to the Eligible Participant have not vested and are not exercisable by the date of such determination, the unvested options expire and are cancelled.
Performance Measures
Performance measures of FCF, adjusted Earnings Per Share ("EPS") and Return on Capital Employed ("ROCE"), weighted at 50%, 25% and 25% respectively, have been selected by the Board to reflect a balance of shareholder alignment, profitability and return; amongst these measures heavier weighting has been placed on FCF to align with Chorus' dividend policy. (FCF is described on page 40). This measure ensures shareholder alignment, focusing on strong cash management.
Adjusted EPS is a non-GAAP measure which measures overall profitability and is defined as earnings (net income) adjusted for any unrealized foreign exchange gain or loss on long term debt and finance leases, divided by weighted average number of shares outstanding,
In February 2014, the Board reviewed the performance measures used for vesting of RSUs and approved that the formerly used measure of ROCE be replaced by Return on Invested Capital ("ROIC") effective with the 2014 LTIP grants. The ROCE measure will still be used for purposes of determining vesting of performance shares for the outstanding 2013 LTIP grants.
ROCE is a non-GAAP measure defined as EBIT (net income before interest and taxes) divided by total assets less current liabilities.
ROIC is a non-GAAP measure frequently used in the airline industry and is a metric reported in Chorus' 2014 management's discussion and analysis. It is commonly used to assess the efficiency with which a company allocates its capital to generate returns. Return is calculated based on Chorus' earnings before tax, excluding special items, finance costs and implied interest on off-balance sheet aircraft leases for aircraft for which Chorus holds the head lease. Invested capital includes average long-term debt, average finance lease obligations, average shareholder' equity and off-balance sheet aircraft operating leases for aircraft for which Chorus holds the head lease.
Exercise Price and Term of Options
The exercise price of options granted under the LTIP is determined by the Board but may not be less than the fair market value of shares on the grant date.
Options will expire on the tenth anniversary of the grant date unless otherwise specified by the Board at the time of the grant. Options may terminate earlier, such as upon a participant's termination of employment, as set out below.
Treatment upon Termination for Cause and Resignation
Upon a participant's termination for cause and resignation from employment, participation in the LTIP will be terminated immediately. All RSUs credited to the participant's account will be forfeited and cancelled. All options, whether vested or not, held by a participant terminated for cause will be forfeited and cancelled. In the case of resignation, any options that are not vested will be forfeited and cancelled and any vested options will continue to be exercisable until the earlier of 90 days and the date on which the exercise period of the particular options expire.
Treatment upon Retirement, Long-term Disability, Death or Termination without Cause
In the event of a retirement, long-term disability, death or termination by Chorus without cause, participation in the LTIP will be terminated immediately. Any unvested RSUs would be pro-rated based on the completed months of service during the three year performance cycle. RSUs subject to time vesting will vest within 45 days. The participant would be entitled to performance-based RSUs at the end of each applicable cycle, if targets are achieved (vesting is variable based on whether target performance is between 80% and 100% of target). With respect to options held upon a retirement, long-term disability, death or termination by Chorus without cause, unless otherwise set out in the award agreement, options that are exercisable will continue to be exercisable by the participant until the earlier of 12 months and the date on which the exercise period of the particular options expire.
Treatment upon a Change of Control
In the event of a change of control, all unvested RSUs will vest on the date of the change of control, whether or not the RSUs have met the vesting conditions. However, in the event that the change of control occurs in the circumstances of an internal reorganization involving Chorus or its subsidiaries, the Board may, in its sole discretion, determine that such RSUs will not vest as at the date of such change of control. In the event that, at any time, an offer to purchase is made to all holders of shares of Chorus, notice of such offer shall be given by the trustee under the LTIP to enable each participant to tender his/her shares of Chorus should he/she so desire, provided such notice shall only be sent in respect of shares of Chorus that have been obtained through secondary market purchases and are being held by the trustee in accordance with the provisions of the LTIP.
Unless otherwise set out in the award agreement, all unvested options will be fully vested and exercisable upon a change of control until the earlier of 90 days after the date of the change of control and the date on which the exercise period of the particular options expire. In the event that the change of control occurs in the circumstances of an internal reorganization involving Chorus or its subsidiaries, the Board may, in its sole discretion, determine that options won't become vested and exercisable upon the occurrence of the change of control, shorten the exercise period or provide for the conversion of any unvested options outstanding into other securities in any entity participating in or resulting from the change of control.
Assignability of Awards
Except as provided in the LTIP, the rights of participants under the LTIP cannot be assigned, charged, anticipated, given as security, transferred or surrendered, in whole or in part, either directly or by operation of law or otherwise in any manner.
Amending the LTIP
Under the amendment provision of the LTIP, shareholder approval is required for any amendment to the LTIP that results in (i) an increase in the number of common shares reserved for issuance by Chorus from treasury pursuant to the LTIP; (ii) permission for RSUs or options to be transferred other than for normal estate settlement purposes; or (iii) any changes to the section of the LTIP entitled "Amendment, Suspension or Discontinuance" other than to add items for which shareholder approval is required. Beyond these amendments, the Board may make changes to, or suspend or discontinue, the LTIP in such manner as the Board, in its sole discretion, determines appropriate, including without limitation, making amendments to the LTIP for administrative matters, for clarification, to address regulatory or other developments, to add additional types of awards (which would not result in an increase to the number of common shares reserved for issuance under the LTIP), to change the vesting provisions of RSUs, options or the LTIP or to change the termination provisions of RSUs, options or the LTIP, provided that no such amendment: (a) results in the LTIP becoming a "salary deferral arrangement" under the Income Tax Act (Canada) (the "Tax Act") or any applicable provincial legislation; (b) reduces the number of RSUs or options granted prior to such amendment or adversely modifies the vesting condition(s) of such RSUs or option, as applicable; and (c) modifies the amendment provision of the LTIP without the consent of all participants with respect to RSUs or options granted prior to the amendment. In setting and amending the terms of the LTIP the HRCC reviews and recommends the terms and conditions of any change in the terms and conditions of the existing LTIP to the Board for approval.
Employee Share Ownership Program
The ESOP enables employees to buy common shares of Chorus through payroll deductions. Through the ESOP, eligible employees may invest up to 6% of their salary for the purchase of common shares of Chorus on the secondary market. The ESOP aligns the interests of participating employees more closely with the interests of Chorus' shareholders.
The Board may use its discretion to set the employer match at or above 33.33% of the investments made by the employees under the plan. The funds from the employer match are used to purchase common shares of Chorus on the secondary market on behalf of such participants. The percentage of matching contributions and the base threshold amounts are established and are subject to adjustment by the Board
or the HRCC. In years 2011 to 2014 inclusive, the Board approved a 60% match for employee contributions made to the ESOP for the following year.
Each quarter, employees who have reached one year of service in the preceding quarter receive a ten share gift. Chorus purchases such shares on the secondary market.
4) Benefits
Group benefits and Chorus' executive pension plan are intended to be at the median level for Chorus' benchmark group. Benefits include life insurance, accidental death and dismemberment (AD&D) insurance, extended health, dental and short and long-term disability insurance.
5) Perquisites
Perquisites offered to executive officers include a car allowance, a medical top-up plan and optional health assessment and financial advisory services. Perquisites are intended to be at the median level for Chorus' benchmark group.
Compensation of Named Executive Officers
All named executive officers, other than the CEO, receive performance reviews based on a common set of evaluation criteria. These criteria are grouped into the following categories: job responsibilities, leadership, and progress on department plans. The results of these performance reviews form the basis for determining the personal performance factor for AIP purposes. For 2014, a personal performance factor of 1.25 or 1.5 (out of a maximum of 1.5 and a minimum of 0.75) was applied in respect of the named executive officers based on the results of their performance review.
The HRCC and the Board assess the performance of the CEO annually based on financial measurements of FCF and OI and non-financial measurements to determine an appropriate level of compensation. However, the formulas used and program parameters for variable compensation and the LTIP are those approved by the Board for all executives. The annual performance review of the CEO takes into account a number of factors. Overall leadership performance is evaluated with consideration given to the achievement of the annual business plan, which includes short-term initiatives to meet annual targets and long-term strategic initiatives aimed at growing shareholder value. In 2014, factors considered by the HRCC included: (i) success in amending and extending the capacity purchase agreement with Air Canada (ii) strong financial results, including significant progress in reducing costs and increasing efficiencies in critical areas such as crew utilization and heavy maintenance (iii) exceptional operational performance maintaining a leading position amongst North American airlines for on-time performance (iv) industry leading safety programs and practices; (v) managing the dividend levels; (vi) a focus on diversification initiatives following the favourable benchmarking arbitration award; (vii) achievement of planned strategic initiatives; (viii) performance in special reviews and audits (ix) charity and community involvement; and (x) industry and business community involvement. Based on the review of Mr. Randell's performance and corporate performance for 2014, the Board approved the maximum incentive payment.
The following recommendations on compensation for the named executive officers were made by the HRCC and were approved by the Board in relation to the 2014 financial year: (i) a payout under the AIP of 196% of target bonus amount for each named executive officer; (ii) the vesting of all time-based and performance-based RSUs granted in 2012 under the LTIP plus their associated additional RSUs in relation to dividends on shares of Chorus; (iii) a grant of RSUs in respect of 2014 under the LTIP at the regular formula amount applicable to the particular named executive officer; and (iv) base salary market adjustment increases effective January 1, 2014 based on a review of the comparator group and updates to the market executive compensation review referred to previously.
Corporate Performance achievement of 196% was based on achievement of OI and FCF performance in excess of the combined targets. For the purposes of this calculation the AIP expense was excluded from the actual and target results. As a result, adjusted actual OI performance was $147.7 million against a target of $125.0 million, while adjusted actual FCF performance was $172.9 million against a target of $143.6 million.
The vesting of 100% of performance based RSUs represented the attainment of the combined, aggregate three year targets for FCF, adjusted EPS and ROCE, applying the formula described under the LTIP. Actual aggregate FCF was $430.0 million against a target of $398.6 million, actual aggregate adjusted EPS was $2.24 against a target of $2.03 and actual aggregate ROCE was 64.3% compared to a target of 70.6%.
On May 20, 2014 The Board granted 1.3 million stock options to Mr. Randell, 750,000 stock options to each of Ms. Mahody, Mr. Copp and Mr. Flynn, and 300,000 options to each of Mr. Tapson and the following five executives: the Vice Presidents of Finance, Maintenance and Engineering, Flight Operations, Airports and SOC and the General Counsel and Corporate Secretary. The options were intended to further incentivize management to drive operating and strategic improvements which result in value creation for shareholders and to recognize the extraordinary efforts required to achieve the long term strategy. The options vest 100% after three years and have a five year option term. The options have an exercise price of $4.50. Consistent with the purpose of the option grant, the exercise price was set at a hurdle that was significantly above the $3.84 (closing) market price of the shares on the date of grant.
The Board approved base salary market adjustment increases effective January 1, 2015. Target annual incentive amounts and LTIP grants were considered to be in line with market practices for all executives and no adjustments were made.
Performance Graph
The following graph compares the total cumulative return of a $100 investment in the units of Jazz Air Income Fund (now shares of Chorus) made on January 1, 2010, with the cumulative return of the S&P/TSX Composite Index for the period beginning on January 1, 2010 and ended December 31, 2014.
The trend shown in the graph generally corresponds to the trend in the compensation of the named executive officers, excluding the impact of individual performance factors and increases in compensation due to promotion. The dollar value of variable compensation in the form of payouts under Chorus' cashbased variable compensation plan has varied as the financial performance of Chorus has varied over the period.
Comparison of Total Return of Chorus Aviation Inc. Shares with S&P/TSX Composite Index January 1, 2010 to December 31, 2014
Summary Compensation Table
| Name and principal position | Year | Salary ($) | Share-based awards ($) | | | | Non-equity incentive plan | | Pension value(2) ($) | All other compensation ($) |
|---|---|---|---|---|---|---|---|---|---|---|
| | | | | | | | compensation(1) ($) | | | |
| | | | | Value of | Option Based Awards(4) | Annual Incentive Plan | | Other employee programs(5) | | |
| | | | | Restricted | | | | | | |
| | | | | Shares | | | | | | |
| | | | | Granted(3) | | | | | | |
| Joseph Randell President and Chief Executive Officer | 2014 2013 2012 | 600,000 599,513 578,881 | 720,000 720,000 694,800 | | 429,000 - - | 1,200,000 1,199,000 950,000 | | 1,400 1,727 1,470 | 224,691 185,765 132,505 | 11,348 (6) 11,756 30,725 |
| Richard Flynn Chief Financial Officer | 2014 2013 2012 | 319,698 308,792 299,038 | 208,000 200,851 195,000 | | 247,500 - - | 383,637 370,550 333,727 | | 1,400 1,727 1,470 | 266,026 87,054 67,506 | 11,117 (7) 10,800 12,609 |
| Jolene Mahody Chief Operating Officer | 2014 2013 2012 | 334,725 324,562 305,885 | 251,250 243,750 198,900 | | 247,500 - - | 401,670 389,474 341,367 | | 1,400 1,727 1,470 | 126,997 109,745 102,672 | 884 (8) 11,016 15,230 |
| Colin Copp Chief Administrative Officer | 2014 2013 2012 | 314,725 304,792 295,885 | 204,750 198,249 192,400 | | 247,500 - - | 377,670 340,605 275,173 | | 1,400 1,727 1,470 | 114,188 101,424 51,908 | 10,973 (9) 10,656 15,392 |
| Scott Tapson Vice President Business Development | 2014 2013 2012 | 221,808 214,654 199,739 | 122,100 118,250 90,000 | | 99,000 - - | 177,446 159,917 92,879 | | 1,400 1,727 1,470 | 56,566 67,969 79,494 | 2,576 (10) 3,508 8,462 |
(1) Payments under the AIP for a particular financial year are actually made in the following financial year when corporate and personal performance factors are available. Amounts shown represent payments for performance relating to the particular financial year.
(2) This column includes the compensatory changes reflected in both the pension plan and SERP tables.
(3) Represents value of RSUs granted in the financial year shown. Value of RSUs granted as shown in the table is based on fair market value per share as of the date of grant of $3.79 for 2014, $3.93 for 2013 and $3.80 for 2012. The value of the RSUs for accounting purposes at the date of grant is also based on the fair market value per share as of the date of grant.
Subsequent to grant date, for accounting purposes, the RSU obligation is recognized in the appropriate short and long-term liability accounts in the statement of financial position. The RSU liability is adjusted quarterly to reflect the number of RSUs expected to vest and the fair market value of the RSUs at the end of the reporting period. Changes to the outstanding RSU liability are accounted for in salaries, wages and benefits expense in the statement of income.
(4) Represents value of the options granted in the financial year shown. The fair value for the options granted on May 20, 2014 by Chorus as reported in this table, and for accounting purposes, is determined at the time of grant using a Black-Scholes option pricing model. The estimated fair value on the date of grant of the options was $0.33.
The fair value of the options is recognized as expense over the vesting period, based on the number of options expected to vest, with a corresponding entry to equity. The number of options expected to vest is reviewed at least once annually with any impact on previously recognized expense being adjusted immediately.
(5) Represents payments for Ensemble Plus.
(6) Amount for 2014 represents 60% employer matching of employee contributions made in 2013 through the ESOP, paid to Mr. Randell in April 2014. Perquisites for Mr. Randell did not exceed the lesser of 10% of base salary and $50,000.
(7) Amount for 2014 represents 60% employer matching of employee contributions made in 2013 through the ESOP paid to Mr. Flynn in April 2014. Perquisites for Mr. Flynn did not exceed the lesser of 10% of base salary and $50,000.
(8) Amount for 2014 represents 60% employer matching of employee contributions made in 2013 through the ESOP paid to Ms. Mahody in April 2014. Perquisites for Ms. Mahody did not exceed the lesser of 10% of base salary and $50,000.
(9) Amount for 2014 represents 60% employer matching of employee contributions made in 2013 through the ESOP paid to Mr. Copp in April 2014. Perquisites for Mr. Copp did not exceed the lesser of 10% of base salary and $50,000.
(10) Amount for 2014 represents 60% employer matching of employee contributions made in 2013 through the ESOP paid to Mr. Tapson in April 2014. Perquisites for Mr. Tapson did not exceed the lesser of 10% of base salary and $50,000.
Incentive Plan Awards
2014 Outstanding option-based awards and share-based awards at fiscal year end
The table below shows the awards of options granted in 2014 and the market value of those options on December 31, 2014. The table also shows the RSUs granted to the named executive officers and the market value of those RSUs on December 31, 2014. Pursuant to the LTIP, participants could have between 80% and 100% of their performance RSUs vest or none at all. Performance vesting conditions apply to two thirds of the RSUs. In February 2015, the HRCC approved the vesting of 100% of the timebased and performance-based RSUs granted in 2012 under the LTIP. See "Compensation of Named Executive Officers" above. Those RSUs vested in 2015, and therefore are not treated as having vested in 2014 for the purposes of the table below.
| Name | | Option-based Awards | | | | | |
|---|---|---|---|---|---|---|---|
| | | Number of securities | Option exercise price ($) | Option expiration date | Value of unexercised in-the-money options ($) (1) | Number of shares that have not vested (#)(2) | |
| | | underlying | | | | | |
| | | unexercised | | | | | |
| | | options (#) | | | | | |
| Joseph Randell | 1,300,000 | | 4.50 | May 20, 2017 | 65,000 | 2014 Grant | 209,119 |
| | | | | | | 2013 Grant | 228,663 |
| | | | | | | 2012 Grant | 267,512 |
| | | | | | | Aggregate | 705,294 |
| Richard Flynn | 750,000 | | 4.50 | May 20, 2017 | 37,500 | 2014 Grant | 60,412 |
| | | | | | | 2013 Grant | 63,788 |
| | | | | | | 2012 Grant | 75,079 |
| | | | | | | Aggregate | 199,279 |
| Jolene Mahody | 750,000 | | 4.50 | May 20, 2017 | 37,500 | 2014 Grant | 72,974 |
| | | | | | | 2013 Grant | 77,412 |
| | | | | | | 2012 Grant | 76,580 |
| | | | | | | Aggregate | 226,966 |
| Colin Copp | 750,000 | | 4.50 | May 20, 2017 | 37,500 | 2014 Grant | 59,468 |
| | | | | | | 2013 Grant | 62,961 |
| | | | | | | 2012 Grant | 74,078 |
| | | | | | | Aggregate | 196,507 |
| Scott Tapson | 300,000 | | 4.50 | May 20, 2017 | 15,000 | 2014 Grant | 35,463 |
| | | | | | | 2013 Grant | 37,555 |
| | | | | | | 2012 Grant | 34,671 |
| | | | | | | Aggregate | 107,689 |
(1) The value of unexercised option-based awards was calculated based on market value of shares of Chorus at December 31, 2014 of $4.55 per share.
(2) Amounts represent number of RSUs awarded under the LTIP, in each case on the date of grant and the additional RSUs that have been credited to the named executive officers on account of dividends on shares of Chorus in accordance with the terms of the LTIP.
(3) Based on market value of shares of Chorus at December 31, 2014 of $4.55 per share. The amounts for the 2014 and 2013 LTIPs are shown as the minimum payouts reflecting the 1/3 of RSUs granted that will vest on a time basis and do not include a value for RSUs which are subject to performance measures. The market value for the 2012 LTIP grant reflects the fact that vesting was determined in February 2015 to be 100% for the performance-based RSUs.
Incentive plan awards – value vested or earned during 2014
| Name | | Option-based awards – | Share based awards — Value vested during the year ($)(1) | | Non-equity incentive plan |
|---|---|---|---|---|---|
| | | Value vested during the | | | compensation — Value earned during |
| | | year | | | the year |
| | | ($) | | | ($) |
| Joseph Randell | - | | 794,651 | 1,201,400 | |
| Richard Flynn | - | | 185,853 | 385,037 | |
| Jolene Mahody | - | | 223,024 | 403,070 | |
| Colin Copp | - | | 215,590 | 379,070 | |
| Scott Tapson | - | | 96,008 | 178,846 | |
(1) Represents value of all restricted shares vested in 2014 determined on the date of delivery of shares or cash in lieu of shares. The HRCC typically approves the vesting of time-based RSUs and performance-based RSUs in February of each year, in respect of performance cycles ending at the end of the previous calendar year. For example, on February 19, 2014, the Board approved the vesting of 97.5% of all performance RSUs granted in 2011 under the LTIP reflecting actual performance achieved against performance targets over the three year performance cycle ending December 31, 2013. The vesting of these restricted share units is reflected in this table.
On February 18, 2015, the HRCC approved the vesting of 100% of all performance RSUs granted in 2012 under the LTIP. Since these RSUs did not vest in 2014, they are not reflected in this table.
Pension Benefits
Named executive officers of Chorus currently participate in a registered defined contribution pension plan (the "Pension Plan") under which Chorus contributes the maximum allowable amount under the Tax Act.
In recognition of the key roles of the CEO, CFO, COO and CAO in the achievement of the future long-term strategy and to encourage long-term retention, in 2013 the Board approved service credits for additional years of pensionable service under the supplemental executive retirement plan ("SERP") for these four named executive officers.
In aggregate, for each year of credited service as an executive, the Pension Plan and the SERP are intended to provide a target pension benefit of 1.5% of final average earnings up to, and 2.0% of final average earnings in excess of, the final average Year's Maximum Pensionable Earnings (the "YMPE"). For this purpose, final average earnings is defined as the average salary in the best three consecutive years and the final average YMPE is the average of the YMPE (as defined under the Canada Pension Plan) in the year of termination and the preceding two years. The SERP benefit is reduced by a deemed benefit from the Pension Plan.
The normal retirement date under the SERP is the first day of the month coincident with or next following attainment of age 65. Members who attain age 55 can retire prior to their normal retirement date provided that, if they retire prior to age 57, their pension is reduced by the ratio of the executive's service at the date of pension commencement to what the executive's service would have been at age 57 if the executive had continued in employment.
If a member's employment is terminated prior to age 55, the member is entitled to receive a pension commencing at age 55. Such pension is calculated in the same manner as the normal retirement date pension, but with their pension reduced by the ratio of what the executive's service would have been at age 55 if the executive had continued in employment to what the executive's service would have been at age 57 if the executive had continued in employment.
The normal form of pension for members with a spouse at the date of pension commencement is payable for the lifetime of the member with 60% of the member's pension continuing to a surviving spouse. The
normal form of pension for members without a spouse at the date of pension commencement is payable for the lifetime of the member, with a guarantee that a minimum of 120 monthly payments would be made.
Effective February 19, 2014, the Board approved an amendment to close the SERP to new participants. Prior to this the Board had applied its discretion under the SERP to approve new participants. There have been no new participants added since March 2011.
Pension Plan
The table below summarizes the accumulated balances in each named executive officer's defined contribution account at December 31, 2013 and December 31, 2014 as well as the factors that have caused the balance to change during 2014. The SERP benefit is reduced by a deemed benefit from the Pension Plan.
| Name | | Accumulated value at | | Compensatory | Accumulated value at |
|---|---|---|---|---|---|
| | | start of year ($) | | change ($) | end of year ($)1 |
| Joseph Randell | 302,820 | | 24,930 | | |
| Richard Flynn | 268,889 | | 24,930 | | |
| Jolene Mahody | 262,038 | | 24,930 | | |
| Colin Copp | 454,301 | | 24,930 | | |
| Scott Tapson | 505,391 | | 24,930 | | |
(1) The accumulated balances in Mr. Copp's and Mr. Tapson's defined contribution account in the table above reflect their participation over a number of years in the defined contribution pension plan that was the predecessor to the Chorus Executive Defined Contribution Pension Plan.
Supplemental Executive Retirement Plan
The table below shows the following information for each named executive officer participating in the SERP:
- years of credited service as at December 31, 2014;
- estimated annual benefit accrued, or earned, for service up to December 31, 2014 and up to the age of 65; and
- a reconciliation of the accrued obligation from December 31, 2013 to December 31, 2014.
In accordance with GAAP, the amounts below make no allowance for the different tax treatment of the portion of pension not paid from the registered or qualified pension plans. All amounts shown below are estimated based on assumptions and represent contractual entitlements that may change over time. The method and assumptions used to determine estimated amounts will not be identical to the method and assumptions used by other issuers and, as a result, the figures may not be directly comparable across issuers.
| Name | Number of years credited service | | Annual benefits | | | Accrued | | | | |
|---|---|---|---|---|---|---|---|---|---|---|
| | | | payable ($) | | | obligation | | | | Non- |
| | | | | | | at start of | | Compensatory | | compensatory |
| | | At year end(5) | | At age 65(6) | | | | | | |
| | | | | | | year (1) | | change(2) | | change(3) |
| | | | | | | ($) | | ($) | | ($) |
| Joseph Randell | 29.00 | 311,067 | | 378,299 | 4,730,823 | | 199,761 | | 992,748 | |
| Richard Flynn | 28.67 | 137,293 | | 166,629 | 1,780,135 | | 241,096 | | 418,666 | |
| Jolene Mahody | 22.25 | 108,234 | | 227,424 | 1,677,284 | | 102,067 | | 583,478 | |
| Colin Copp | 22.67 | 103,932 | | 213,385 | 1,544,601 | | 89,258 | | 527,078 | |
(1) The accrued obligation is the value of the projected pension earned for service to December 31, 2013. The values have been determined, based on the 2013 actual earnings adjusted to reflect expected increases in pensionable earnings, using the same actuarial assumptions used for determining the pension plan obligations at December 31, 2013 as disclosed in the notes to the 2013 consolidated financial statements as presented by Chorus.
(2) The values shown under the column headed "Compensatory change" include the value of the projected pension earned for service in the year plus the differences between actual and assumed compensation for the year.
(3) The values shown under the column headed "Non-Compensatory Change" include the impact of amounts attributable to interest accruing on the beginning of year obligation, changes in the actuarial assumptions, and any other experience gains and losses, including the impact of exchange rate changes and demographic changes.
(4) The accrued obligation is the value of the projected pension earned for service to December 31, 2014. The values have been determined, based on the 2014 actual earnings adjusted to reflect expected increases in pensionable earnings, using the same actuarial assumptions used for determining the pension plan obligations at December 31, 2014 as disclosed in the notes to the 2014 consolidated financial statements.
(5) The annual lifetime pension payable at age 65 based on the named executive officer's earnings and credited service as at December 31, 2014.
(6) The annual lifetime pension payable at 65 based on the named executive officer's earnings as at December 31, 2014 but with credited service projected to age 65. For Mr. Randell, Mr. Flynn, Ms. Mahody and Mr. Copp the amount reflects the additional credited service granted by the Board and assumes 100% vesting.
Four of the named executive officers will be credited for additional years of pensionable service under the SERP in the following manner:
A) Mr. Randell and Mr. Flynn will each receive an additional two years of pensionable service for the period from January 1, 2014 to December 31, 2015, vesting on December 31, 2015.
B) Ms. Mahody and Mr. Copp will each receive an additional 2.5 years of pensionable service for the period from January 1, 2014 to December 31, 2018, vesting on December 31, 2018 and an additional 2.5 years of pensionable service for the period from January 1, 2019 to the date when each of them reaches age 55, vesting upon reaching age 55 (occurs for both in 2022).
Equity Compensation Plan Information
The table below sets out information about the equity plans as at December 31, 2014.
| Plan Category | (a) Number of securities to be issued upon the exercise of outstanding options and vesting of restricted share units (1) | | (b) Weighted-average exercise price of outstanding options, warrants and rights | | (c) | |
|---|---|---|---|---|---|---|
| | | | | | Number of securities | |
| | | | | | remaining available for future | |
| | | | | | issuances under equity | |
| | | | | | compensation plans | |
| | | | | | (excluding securities reflected | |
| | | | | | in column (a)) | |
| | % of common shares outstanding | Number | $ | % of common shares outstanding | | Number |
| Equity compensation plans approved by security holders | 5.21% | 6,264,099 | 4.50 | 0.59% | | |
| Equity compensation plans not approved by security holders | Nil | Nil | 4.50 | Nil | | |
| Total | 5.21% | 6,264,099 | 4.50 | 0.59% | | |
Note:
The restricted share units awarded pursuant to the LTIP are not subject to an exercise price.
(1) Includes options and RSUs underlying the 2012 LTIP, but does not include shares underlying the total of 1,668,069 restricted share units granted on, Feb 26, 2013 and Feb 24, 2014 as these RSUs will either be redeemed for shares purchased on the secondary market (and not issued from treasury) and or equivalent cash at the option of the participant. Although the chart reflects the total balance of RSU grants made in 2012 under the LTIP, outstanding on December 31, 2014, the actual number of shares issued from Treasury on February 24, 2015 to participants electing settlement in shares, was 522,264.
The approved maximum number of shares of Chorus which may be issued from treasury under the LTIP is 7,371,000 shares (the "Reserved LTIP Shares"), representing approximately 6.1% of Chorus' issued and outstanding shares as at March 26, 2015.
Since the amount of Reserved LTIP Shares was approved: (i) Chorus issued 398,355 Class B Voting Shares on February 25, 2013 to satisfy the vesting of RSU grants made in 2010 under a predecessor long-term incentive plan; (ii) Chorus issued 522,264 Class B Voting Shares on February 24, 2015 to satisfy the vesting of RSUs granted in 2012 for participants who elected settlement in shares; and (iii) Chorus granted 5,350,000 options on May 20, 2014 that are exercisable for shares issued from treasury. The Board approved a resolution on February 18, 2015 requiring the RSU grants made in each of 2013, 2014 and 2015, together with the additional RSUs credited on account of dividends paid on shares, to be settled solely in market purchase shares or cash (at the election of the participant in accordance with the LTIP).
As of March 26, 2015, (i) the number of shares remaining available for future issuances from the Reserved LTIP Shares under the LTIP is 1,100,381 (representing approximately 0.9% of Chorus' issued and outstanding shares as at March 26, 2015), and (ii) the number of outstanding RSUs under the LTIP, which are to be settled solely in cash or through secondary market purchases (and not issued from treasury) is 2,207,531.
The total number of shares of Chorus issued from treasury to insiders within any one year period pursuant to the LTIP, together with the shares of Chorus issued from treasury to insiders during such one year period under all of Chorus' other treasury share based compensation arrangements, will not exceed 10% of Chorus' total issued and outstanding shares of Chorus. In addition, the total number of shares of Chorus issuable from treasury to insiders under the LTIP, at any time, together with the shares of Chorus issuable from treasury to insiders under all of Chorus' other treasury share based compensation arrangements, will not exceed 10% of Chorus' total issued and outstanding shares.
Termination and Change of Control Benefits
In 2012, Chorus entered into termination and change of control agreements with each of the named executive officers. Pursuant to these agreements, these executives become entitled to certain benefits in the event of (i) a termination without cause, or (ii) a change of control followed by termination for "good reason" (as defined in the agreement) within twenty-four months. Upon the occurrence of a triggering event:
- The President and CEO would be entitled to: 24 months of annual compensation (salary, shortterm incentive, and select benefits) plus one additional month of compensation per year of service to a maximum combined severance of 36 months. As of December 31, 2014, Mr. Randell would be entitled to a cash severance payment of $1,800,000 and a short-term incentive plan payment of $3,223,500. The short-term incentive plan payment represents the number that is the product of (A) the number of months of the severance period divided by 12 and (B) the greater of the average bonus payment for the previous two calendar years and 75% of the target bonus under the AIP.
- The CFO, COO and CAO would each be entitled to: 12 months of annual compensation (salary, short-term incentive, and select benefits) plus one additional month of compensation per year of service to a maximum combined severance of 24 months. As of December 31, 2014, the cash severance payments to which the CFO, COO and CAO would be entitled to are as follows: Mr. Flynn ($640,000), Ms. Mahody ($670,000) and Mr. Copp ($630,000). As of December 31, 2014, the short-term incentive plan payments to which the CFO, COO and CAO would be entitled to are as follows: Mr. Flynn ($704,277), Ms. Mahody ($730,841) and Mr. Copp ($615,778). The shortterm incentive plan payments represents the number that is the product of (A) the number of months of the severance period divided by 12 and (B) the greater of the average bonus payment for the previous two calendar years and 75% of the target bonus under the AIP.
- The Vice President Business Development would be entitled to: 12 months of annual compensation (salary, short-term incentive, and select benefits) plus one additional month of compensation per year of service to a maximum of 18 months. The short-term incentive plan payment would be equal to the product of (A) the number of months of the severance period divided by 12 and (B) the average bonus payment for the previous two calendar years. As of December 31, 2014, the executive would be entitled to a cash severance payment of $333,000 and short-term incentive plan payment of $189,597. Certain benefits would continue to the earlier of the end of the severance period or entitlement to similar coverage in connection with any new employment.
A change of control for the purposes of the termination and change of control agreements is defined to mean a transaction or series of transactions whereby any individual or corporation, or group or individuals or corporations acting jointly or in concert, obtains a sufficient number of securities of the Corporation to affect materially the control of the Corporation. For the purposes of the termination and change of control agreements, an individual or corporation, or group of individuals or corporations acting jointly or in concert, holding shares or other securities in excess of the number which, directly or following conversion thereof, would entitle such individual(s) and/or corporation(s) to cast 50% or more of the votes attaching to all shares of the Corporation which may be cast to elect directors of Chorus, shall be deemed to be in a position to affect materially the control of Chorus.
In addition, upon the occurrence of a triggering event, the named executive officers would no longer be eligible for RSU grants under the LTIP. The vesting of RSUs held by the named executive officers in the event of termination without cause or a change of control will be in accordance with the LTIP described on pages 43 to 44 and the treatment of the named executive officers in such circumstances will be the same as all other LTIP participants. As of December 31, 2014, the range of values for each of the named executive officers of the total number of incremental RSUs awarded under the LTIP on a termination without cause (based on the closing market price of Chorus' shares on December 31, 2014) is as follows: Mr. Randell ($742,652 - $2,227,955), Mr. Flynn ($208,908 – $626,725), Ms. Mahody ($231,310 – $693,931), Mr. Copp ($206,077 – $618,230) and Mr. Tapson ($108,485 – $325,455). As of December 31, 2014, the value for each of the named executive officers of the total number of incremental RSUs
awarded under the LTIP in the event of a change of control (based on the closing market price of Chorus' shares on December 31, 2014) is as follows: Mr. Randell ($3,209,088), Mr. Flynn ($906,719), Ms. Mahody ($1,032,691), Mr. Copp ($894,107) and Mr. Tapson ($489,985).
The vesting of options, granted on May 20, 2014 and held by the named executive officers, in the event of termination without cause will be in accordance with the award agreement. A pro-rated number of the outstanding, unvested options will become fully vested and exercisable and will remain exercisable until the earlier of the date which is the later of (i) ninety (90) days after the vesting date and (ii) 12 months after the applicable event, and the expiry date. Pro-ration would be based on the completed months of service during the three year vesting period. As of December 31, 2014 the value for each of the named executive officers of the total number of options available to be exercised in the event of a termination without cause (based on the margin of the closing market price of Chorus' shares on December 31, 2014 over the strike price and the percentage of the vesting period completed) is as follows: Mr. Randell ($21,667), Mr. Flynn ($12,500), Ms. Mahody ($12,500), Mr. Copp ($12,500) and Mr. Tapson ($5,000).
As of December 31, 2014, the value for each of the named executive officers of the total number of options available to be exercised in the event of a change of control (based on the margin of the closing market price of Chorus' shares on December 31, 2014 over the strike price) is as follows: Mr. Randell ($65,000), Mr. Flynn ($37,500), Ms. Mahody ($37,500), Mr. Copp ($37,500) and Mr. Tapson ($15,000).
An executive will be deemed to remain in continuous service, for purposes of determining their benefits under the SERP, for a period of 36 months in the case of the CEO, 24 months for the CFO, COO and CAO, and 18 months for the Vice President Business Development. An executive would also be entitled to retiree travel privileges in accordance with the retiree travel privilege plan then in effect.
As of December 31, 2014, the value of the incremental annual pension benefit payable to the named executive officers under their agreements, determined by assuming that each executive would receive 36 months in the case of Mr. Randell, 24 months for Mr. Flynn, Ms. Mahody and Mr. Copp, and 18 months for Mr. Tapson, of additional pension service credits under the SERP as at the date of termination, is as follows: Mr. Randell ($38,680), Mr. Flynn ($17,819), Ms. Mahody ($17,217), Mr. Copp ($15,248) and Mr. Tapson ($9,791). The incremental annual pension benefit represents the additional SERP pension payable immediately for those executives currently eligible for retirement, and at age 55 for those executives not currently eligible for retirement.
In addition, the executives are subject to certain confidentiality, non-solicitation and non-disparagement obligations under these agreements. Breach by the executive of such provisions may result in the executive becoming liable to pay to Chorus all amounts received pursuant to their respective agreement.
INTEREST OF INFORMED PERSONS IN MATERIAL TRANSACTIONS
No director, senior officer or other insider, as applicable, of Chorus, or any associate or affiliate of such persons, has or has had any material interest, direct or indirect, in any transaction since the commencement of Chorus' last financial year or in any proposed transaction that has materially affected or will materially affect Chorus or any of their subsidiaries.
OTHER IMPORTANT INFORMATION
Directors' and Officers' Liability Insurance
Chorus maintains directors' and officers' liability insurance for the benefit of the directors and officers of Chorus and its subsidiaries. The coverage limit of such insurance is $70,000,000 per claim and $70,000,000 in the annual aggregate. The current policy is effective from October 1, 2014 to October 1, 2015 and protects the directors and officers for allegations of alleged "wrongful acts" in the conduct of their activities as directors and officers.
Indebtedness of directors and officers
Chorus does not have outstanding any loans made to any of its officers, directors, employees or former officers, directors or employees.
Mail service interruption
If there is a mail service interruption prior to a shareholder meeting, in order to return a completed proxy to CST Trust Company, it is recommended that the shareholder deposits the completed form of proxy, in the envelope provided, at any of the following offices of CST Trust Company:
RECEIPT OF SHAREHOLDER PROPOSALS FOR NEXT ANNUAL MEETING
Any shareholder who intends to present a proposal at our 2016 Annual Meeting of Shareholders must send the proposal to Chorus, Attention: Corporate Secretary at 3 Spectacle Lake Drive, Dartmouth, Nova Scotia, B3B 1W8. In order for the proposal to be included in the proxy materials sent to shareholders for that meeting, the proposal must be received by Chorus no later than December 31, 2015, and must comply with the requirements of Section 137 of the CBCA.
HOW TO REQUEST MORE INFORMATION
Documents you can request
You can ask us for a copy of the following documents at no charge:
- the consolidated financial statements of Chorus for the year ended December 31, 2014, together with the accompanying auditors' report and the management discussion and analysis related to such consolidated financial statements;
- any interim financial statements of Chorus that were filed after its financial statements for the year ended December 31, 2014, together with the management discussion and analysis related to such interim financial statements; and
- the Annual Information Form of Chorus for the year ended December 31, 2014.
Please write to Chorus Investor Relations, 3 Spectacle Lake Drive, Dartmouth, Nova Scotia B3B 1W8.
These documents are also available on our website at www.chorusaviation.ca and on SEDAR at www.sedar.com. All of our news releases are also available on our website.
Receiving information electronically
You can choose to receive copies of our corporate documents, such as this circular, electronically. We will send you an email informing you when they are available on our website. If you do not sign up for this service, we will continue to send you these documents by mail.
How to sign up – registered shareholders
You are a registered shareholder if your name appears on your share certificate.
If you are not sure whether you are a registered shareholder, please contact CST Trust Company at 1-800-387-0825.
To sign up for electronic delivery of corporate documents, go to the website www.canstockta.com/electronicdelivery and follow the instructions.
How to sign up – non-registered shareholders
You are a non-registered shareholder if your shares are held in the name of a nominee or intermediary, such as a bank, trust company, securities broker or other financial institution.
If you are not sure whether you are a non-registered shareholder, please contact CST Trust Company at 1-800-387-0825.
To sign up for electronic delivery of corporate documents, go to the website www.investordelivery.com and follow the instructions.
How to sign up - employees holding shares under the Employee Share Ownership Plan of Chorus
If you are not sure whether you are an employee holding your shares under the Employee Share Ownership Plan, please contact Computershare at 1-866-982-0314.
To sign up for electronic delivery of corporate documents, go to the website www.computershare.com/employee/ca and follow the instructions.
DIRECTORS' APPROVAL
The directors of Chorus have approved the contents of this Management Proxy Circular and the circulation thereof.
Barbara Snowdon General Counsel and Corporate Secretary Dartmouth, Nova Scotia March 30, 2015
SCHEDULE A - CHARTER OF THE BOARD OF DIRECTORS
CHORUS AVIATION INC.
CHARTER OF THE BOARD OF DIRECTORS
1. PURPOSE
This charter describes the role of the Board of Directors (the "Board") of Chorus Aviation Inc. (the "Corporation"). The Corporation is a public corporation with two (2) class of shares listed as the Toronto Stock Exchange, Class A Variable Voting Shares and Class B Voting Shares. This charter is subject to the provisions of the Corporation's articles of incorporation and by-laws and to applicable laws. This charter is not intended to limit, enlarge or change in any way the responsibilities of the Board as determined by such articles, by-laws and applicable laws. Directors are elected annually and together with those appointed to fill vacancies or appointed as additional directors throughout the year, collectively constitute the Board.
2. ROLE
The Board is responsible for the stewardship of the Corporation and its business and is accountable to its shareholders for the performance of the Corporation.
The Board establishes the overall policies for the Corporation, monitors and evaluates the Corporation's strategic direction, and retains plenary power for those functions not specifically delegated by it to its Committees or to management. Accordingly, in addition to the duties of directors of a Canadian corporation as prescribed by applicable laws, the mandate of the Board is to supervise the management of the business and affairs of the Corporation with a view to evaluate, on an ongoing basis, whether the Corporation's resources are being managed in a manner consistent with ethical considerations and stakeholder's interests and in order to enhance shareholder value. In discharging their duties, directors must act honestly and in good faith, with a view to the best interests of the Corporation. Directors must exercise the care, diligence and skill that a reasonably prudent person would exercise in comparable circumstances.
The Board may, at the Board's option, delegate to Board committees matters it is responsible for to the extent permitted by law, including the approval of compensation of the Board and management, the conduct of performance evaluations and oversight of internal controls systems, but the Board retains its oversight function and ultimate responsibility for these matters and all other delegated responsibilities.
3. COMPOSITION
Selection
The Board is elected by the Shareholders and shall be comprised of that number of directors as shall be determined from time to time by the Board upon recommendation of the Governance and Nominating Committee of the Board and approved by the shareholders.
The Governance and Nominating Committee of the Board maintains an overview of the desired size of the Board, the need for recruitment and the expected skill-set of new candidates. The Governance and Nominating Committee reviews and recommends to the Board, candidates for nomination as directors. The Board approves the final choice of the candidates that are to be recommended to shareholders for election.
Board members must have an appropriate mix of skills, knowledge and experience in business and an understanding of the industry and the geographical areas in which the Corporation operates. Directors selected should be able to commit the requisite time for all of the Board's business. The Board will ensure,
through the Governance and Nominating Committee, that an appropriate orientation and education program for new directors is in place.
Chairman
A Chairman of the Board shall be appointed by the Board. If the President and Chief Executive Officer of the Corporation is also the Chairman of the Board, a Lead Director shall be appointed among the Board's independent directors.
Independence
A majority of the Board shall be composed of directors who must be determined to have no material relationship with the Corporation and who, in the reasonable opinion of the Board, must be unrelated and independent under the laws, regulations and stock exchange listing requirements to which the Corporation is subject.
Criteria for Board Membership
Board members are expected to possess the following characteristics and traits:
(a) demonstrate high ethical standards and integrity in their personal and professional dealings;
(b) act honestly and in good faith with a view to the best interest of the Corporation;
(c) devote sufficient time to the affairs of the Corporation and exercise care, diligence and skill in fulfilling their responsibilities both as Board members and as a Committee members;
(d) provide independent judgment on a broad range of issues;
(e) understand and challenge the key business plans and the strategic direction of the Corporation;
(f) raise questions and issues to facilitate active and effective participation in the deliberation of the Board and of each Committee;
(g) make all reasonable efforts to attend all Board and Committee meetings; and
(h) review the materials provided by management in advance of the Board and Committee meetings.
4. COMPENSATION
The Board has determined that the directors should be compensated in a form and amount which is appropriate and which is customary for comparable corporations, having regard for such matters as time commitment, responsibility and trends in director compensation.
5. RESPONSIBILITIES
Without limiting the Board's governance obligations, general Board responsibilities shall include the following:
(a) discussing and developing the Corporation's approach to corporate governance, with the involvement of the Governance and Nominating Committee;
(b) declaring and approving dividends paid by the Corporation;
(c) reviewing and approving management's strategic and business plans on an annual basis, including developing an in-depth knowledge of the business being served, understanding and questioning the plans' assumptions, and reaching an independent judgment as to the probability that the plans can be realized;
(d) monitoring corporate performance against the strategic business plans, including overseeing operating results on a regular basis to evaluate whether the business is being properly managed and meeting its strategic and operational goals;
(e) providing input to management on emerging trends and issues and on strategic plans, objectives and goals that management develops;
(f) reviewing and approving material transactions outside the ordinary course of business and those matters which the Board is required to approve under the Corporation's governing statute, including the payment of dividends, purchase and redemptions of securities, acquisitions and dispositions of material capital assets and material capital expenditures;
(g) appointing the Corporation's Chief Executive Officer, ensuring a succession plan is in place and developing his or her position description with the recommendation of the Governance and Nominating Committee;
(h) delegating to senior management the authority to enter into certain types of transactions, including financial transactions, subject to specified limits. Investments and other expenditures above the specified limits, and material transactions outside the ordinary course of business are reviewed by and are subject to the prior approval of the Board;
(i) reviewing, through the Human Resources and Compensation Committee, the compensation of the Chief Executive Officer;
(j) considering the principal risks of the Corporation's businesses and ensuring the implementation of appropriate systems to manage these risks;
(k) ensuring that appropriate structures and procedures are in place so that the Board and its committees can function independently of management;
(l) ensuring the proper and efficient functioning of its committees;
(m) providing a source of advice and counsel to management;
(n) reviewing and approving key policies developed by management;
(o) reviewing, approving and as required, overseeing compliance with the Corporation's disclosure policy by directors, officers and other management personnel and employees;
(p) overseeing the Corporation's disclosure controls and procedures;
(q) approving and, as required, monitoring compliance with all other significant policies and procedures by which the Corporation is operated and approving policies and procedures designed to ensure that the Corporation operates at all times within applicable laws and regulations and in accordance with ethical and moral standards;
(r) monitoring, through the Audit, Finance and Risk Committee, the Corporation's internal controls and information systems and the accurate reporting of the financial performance
of the Corporation to shareholders, other security holders and regulators on a timely and regular basis;
(s) ensuring that members of management possess the ability required for their roles, are adequately trained and monitored and that planning for their succession is ongoing;
(t) ensuring that the Chief Executive Officer and the other members of management have the integrity required for their roles and the capability to promote a culture of integrity and accountability within the Corporation;
(u) conducting, through the Governance and Nominating Committee, an annual assessment of the Board, the committees of the Board and of individual members of the Board;
(v) reviewing, through the Human Resources and Compensation Committee, management's succession plans;
(w) selecting, upon the recommendation of the Governance and Nominating Committee, the nominees that are to be recommended to shareholders for election as directors or appointed as interim directors, as applicable;
(x) selecting a Chairman of the Board and a Lead Director, as the case may be; and
(y) reviewing with the Governance and Nominating Committee that the Board as a whole, the Committees of the Board and the directors are capable of carrying out and do carry out their roles effectively.
6. MEETINGS
The Board will meet at least quarterly, with additional meetings scheduled as required. Such additional meetings may be held at the request of any director with notice given to all directors of the Board. Each director has a responsibility to attend and participate in meetings of the Board. The Chairman will prepare and distribute the meeting agenda and minutes to the Board.
Information and materials that are important to the Board's understanding of the agenda items and related topics will be distributed in advance of a meeting. The Corporation will deliver information on the business, operations and finances of the Corporation, to the Board on an as-required basis. Each member of the Board is expected to have reviewed all materials provided in connection with a meeting in advance of such meeting and be prepared to discuss such materials at the meeting.
On the occasion of each Board meeting, non-management directors will consider if an "in-camera" meeting, under the chairmanship of an independent director, would be appropriate. The director chairing such "in-camera" meetings will forward to the Chairman (if the Chair did not participate in such "incamera" session) and to the President and Chief Executive Officer any questions, comments or suggestions of the directors.
7. DECISIONS REQUIRING PRIOR BOARD APPROVAL
In addition to those specific matters requiring prior Board approval pursuant to the Corporation's by-laws or applicable laws, the Board will be responsible for approving the following:
(a) interim and annual financial statements, provided that the Board may delegate to the Audit, Finance and Risk Committee the responsibility to review such financial statements and make its recommendations to the Board;
(b) strategic plans, business plans and capital expenditure budgets;
(c) raising of debt or equity capital and other major financial activities;
(d) hiring, compensation and succession for the Chief Executive Officer and other senior executives which may be at the recommendation of the Human Resources and Compensation Committee;
(e) major organizational restructurings, including spin-offs;
(f) material acquisitions and divestitures; and
(g) major corporate policies.
8. BOARD COMMITTEES
There are three committees of the Board: the Audit, Finance and Risk Committee, the Governance and Nominating Committee and the Human Resources and Compensation Committee. The roles and responsibilities of each committee is described in the respective committee charters.
Members of the Audit, Finance and Risk Committee, the Human Resources and Compensation Committee and the Governance and Nominating Committee shall be independent as required under the charter of each Committee and the laws, regulations and listing requirements to which the Corporation is subject.
Board Committees shall be composed with such minimum number of Canadian Residents and Canadian director quorum requirements as required by applicable laws.
9. COMMUNICATION WITH THE BOARD
Shareholders and other constituencies may communicate with the Board and individual board members by contacting Investor Relations.
10. ADVISERS
The Board has determined that any director who wishes to engage a non-management advisor to assist on matters involving the director's responsibilities as a director at the expense of the Corporation should have its request reviewed by, and obtain the authorization of, the Governance and Nominating Committee.
11. OTHER MATTERS
The Board expects directors as well as officers and employees of the Corporation to act ethically at all times and to acknowledge their adherence to the policies comprising the Corporate Policy and Guidelines on Business Conduct (the "Code"). The Board, with the assistance of the Governance and Nominating Committee, is responsible for monitoring compliance with the Code.
Directors shall disclose all actual or potential conflicts of interest and refrain from voting on matters in which the director has a conflict of interest. In addition, a director shall excuse himself or herself from any discussion or decision on any matter in which the director is precluded from voting as a result of a conflict of interest or which otherwise affects his or her personal, business or professional interests.
The Board shall review and reassess the adequacy of this charter for the Board of Directors periodically and otherwise as it deems appropriate and amend it accordingly.
Approved – April 19, 2011
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"Shaping Change – Developing a Culture of Leadership at Johannes Gutenberg University Mainz"
sponsored by the Donors' Association for the Promotion of Sciences and Humanities in Germany and the Heinz Nixdorf Foundation 2011/2012
Table of contents
Editorial team:
Professor Dr. Mechthild Dreyer, Elke Karrenberg, Franziska Mientus, Professor Dr. Elisabeth Oy-Marra, Dr. Uwe Schmidt, Götz Scholz, Dr. Cornelia Stadlbauer
Responsibility for the proposal:
Elke Karrenberg, Dr. Cornelia Stadlbauer, Human Resources Development at JGU
Information correct as of August 31, 2010, revised for publication on December 21, 2010
1. The current situation – The JGU profile: participation and expertise
As a learning organization, Johannes Gutenberg University Mainz (JGU) has for many years been shaping processes of internal change in response to changes in external conditions. The reforms of course structures brought about by the Bologna Agreement and the federal and state excellence initiatives, for example, have provided the impetus for extensive profile building in the areas of learning, teaching, research, and university management. At the same time, JGU has endeavored and continues to endeavor to proactively initiate changes of its own accord. To date these efforts have led to the university gaining more financial and substantive autonomy and being able to make and secure sustainable improvements to its existing quality management system.
JGU sees itself as a comprehensive university understanding research and teaching as two equal elements of academic excellence and combining clear prioritization in its research activities with a wide variety of subjects being taught.
JGU bases its processes of change on two basic pillars:
1. The first is the idea of participation, i.e. the classic group university. The university community can be divided up into four groups: professors, academic staff, students, and academic support staff. Participation is realized by involving members of all four groups – in the executive committees of the institutes and departments, in the faculty councils of JGU's eleven faculties, and by participation in the Senate with its about 40 members. JGU's approach springs from the conviction that creative ideas can be generated from the entire university community.
2. The second pillar alongside participation is expertise and the shared strength of a body of experts. Using promotion of individual excellence as a basis and with the University Council acting as an advisory committee, flexible expert structures – including research centers and colleges such as the JGU Gutenberg Research College (GRC) – and short-term projects can be developed. The remit of such structures is to serve as think tanks which advise the university management and JGU's democratically elected committees. The interplay between participation and expertise in the processes of change at Johannes Gutenberg University Mainz can be illustrated with two examples. One is the program of structural and administration reforms grouped together under the heading "New Management Model" (see 1.1). The other example is the establishment of research priorities and reforms in teaching and learning (see 1.2). Finally, the strengths and weaknesses of the current situation are assessed, and areas where there is work to be done are highlighted (see 1.3).
1.1 University-wide processes of change
The New Management Model
As far back as 1999, JGU introduced a comprehensive reform process under the motto "Ensure performance, gain autonomy." At the core of this process was the so-called New Management Model. Based on an overarching management approach, the New Management Model had the following goals:
to further develop and adapt administration to meet higher quality expectations and service standards;
to increase the efficiency and effectiveness of administration;
to strengthen service and customer orientation.
The reforms made use of existing internal expertise, setting up a broad participatory process within a systematic project structure. All groups and committees took part in sub-project groups in workshops, large group events, surveys, and individual and group interviews. Contributions from this process were used to develop the JGU Mission Statement and the JGU Strategy Concept. Furthermore, the structure of the faculties was changed, administration was reorganized, personnel development was conceptualized and a global budget and management accounting system were introduced. This process received the 2002 Best Practice award from the Center for Higher Education (CHE).
Equal opportunities
JGU pursues a consistent strategy for providing equal opportunity. For over two decades, the university has made a point of promoting women in research and teaching, its aim being to eliminate all kinds of disadvantage and to promote individual excellence. These activities are grounded in a participatory process supported by a parity committee and by explicit participation of women's representatives as experts in the area of equal opportunity on all of JGU's committees. The success of these efforts has already been attested twice by being granted the Total-E-Quality award in 2005 and 2008.
Quality assurance and quality development
JGU leads the way among German universities when it comes to quality assurance and quality development, both of which are seen as important for the entire university. Under the direction of the JGU Center for Quality Assurance and Development, the university has engaged in some important new initiatives and integrated these into its working practice. The Center, which was founded as an expert body, supports the university administration by carrying out evaluations and by providing and collecting data on the management of the university. The JGU Center for Quality Assurance and Development functions as an internal consulting service both for the university administration and for the faculties. It sets the standard in terms of quality assurance for all research, teaching, and administrative processes (in cooperation with the Organizational Development staff unit) and supports those involved throughout the process of change. The Center's work in the field of quality management was recognized in 2008 by the Donors' Association for the Promotion of Sciences and Humanities in Germany and the Heinz Nixdorf Foundation.
1.2 Main emphases of teaching and research at JGU
The focus on teaching and research at JGU has already been mentioned. Both are seen as equally important in the context of a comprehensive university, and the following measures have been taken to integrate participation and expertise.
Setting priorities in research
JGU's goal is to achieve research performance that can compete on the international stage. To this end, the university focuses on the targeted promotion of individual excellence and concentrates on a limited number of priority areas. The resulting expertise should be used more intensively to help develop JGU. For this reason, the Gutenberg Research College (GRC), which is devoted to individual excellence, was founded in 2007 as an expert body to advise the university administration and committees of JGU on all issues relating to profile building and further development. Furthermore, all faculties and committees at JGU agreed to the creation of five areas of excellence (research centers), which are intended to accelerate excellent research and receive separate funding. These areas are managed collegially and are characterized by interdisciplinary teamwork. In the humanities field, individual research is supplemented by increasing collaborative research. In addition, new cooperative arrangements between the humanities and the natural sciences are being established.
Examples of the use of participatory processes and internal expertise are given below.
1. The President is advised by the GRC on the setting of research priorities within the scope of the Rhineland-Palatinate Research Initiative. To this end, a special fund of EUR 64 million was made available to the universities in Rhineland-Palatinate, of which EUR 34 million went to JGU's research projects. After further external consultation and compilation of an overall strategy, the GRC proposals became the foundation for decision making by the university administration and the University Senate. The combination of individual excellence as a criterion for membership of the GRC and the democratic legitimization by the Senate has proven to be a successful strategy: it ensures the highest academic standards on the one hand while promoting university-wide acceptance of the proposals on the other. In addition to the research centers which are already strong in the area of research, seven ideas were selected for the establishment of future focus areas or research units.
2. The development of graduate schools. Among others, the Graduate School of Excellence Materials Science in Mainz (MAINZ) was established with the support of the Excellence Initiative. Graduate schools are to support the structured doctoral programs, which have already been successfully implemented. There are also plans to create a Gutenberg Center for Young Researchers (GCYR).
3. Close collaboration with top-level partners, who, as external experts, support and provide advice on research at JGU. These include the two Max Planck Institutes located on the JGU campus, i.e. the Max Planck Institute for Chemistry and the Max Planck Institute for Polymer Research, and the GSI Helmholtz Center for Heavy Ion Research. In cooperation with both Max Planck Institutes, JGU founded the Max Planck Graduate Center, which is breaking new ground in the area of graduate education. Cooperation with the GSI has led to the establishment of the Helmholtz Institute Mainz, which structures cooperation between the two institutions. The Institute of Molecular Biology (IMB) was established through donations from the Boehringer Ingelheim Foundation with a laboratory building financed by the state of Rhineland-Palatinate. This institute plays an important role in collaborative work carried out with the Mainz University Medical Center and in the reorientation of the Biology faculty. Other external partners include the Institute of Translational Oncology (TRON), the Roman-Germanic Central Museum, and the Institute of European History.
Reforms to teaching and learning
JGU sees research and teaching as two equal, mutually beneficial elements within university life. Excellent teaching is an important prerequisite and foundation for excellent research and university teaching clearly reflects its research orientation, while students' first encounters with the world of research take place within the context of teaching and learning. Yet excellent teaching is not just research-oriented; it also has a professional bent as well as being interdisciplinary and international in nature. This results in new demands in terms of the skills required of teaching staff.
Over the past few years, using a model developed by external consultants in cooperation with experts from JGU, student advising offices and registrar's offices have been established by the faculty councils in all eleven faculties. These offices aim to ensure that courses and examinations are organized to the highest quality standards. The student advising offices also advise students on all organizational issues related to timetabling and registration for examinations on Bachelor's and Master's programs of study.
The combination of expertise and participatory processes also generates new programs of study. Ideas for programs of study are developed in joint subject committees and in the Senate Committee on Learning, Teaching, and Continuing Academic Education. They are decided upon in the Faculty Council and finally adopted at university level by the University Senate. The JGU Center for Quality Assurance and Development acts as an expert advisory body in this. The Center has by now developed an internationally recognized quality assurance system, as a result of which the university is currently undergoing a process of system accreditation.
In order to guarantee and develop teaching excellence and to strengthen research-oriented and focused teaching, JGU is establishing an organization of experts called the Gutenberg Teaching Council (GTC). This will be designed similarly to the Gutenberg Research College and will advise the university administration and faculties on all matters relating to strategic development of teaching. It also aims to develop and reward innovative teaching methods, promote initiatives to refresh teaching and curricula and develop teaching projects targeting the promotion of research skills. JGU is already setting up a competition to boost individual teaching excellence, with an award for innovative teaching projects to be given each year. Also at faculty level teaching prizes are awarded every year and awards are given for term papers and theses.
The Pro Humanities and Social Sciences project, designed as a think tank" with an 18 month program, provides internal consulting services comparable to the advisory function of the Gutenberg Research College and the planned Gutenberg Teaching Council. The project has developed strategies and ideas for the areas of teaching, research support, the promotion of young talent, and the library. Its aim is to advance and make better use of the huge potential of subjects in the humanities and social sciences, subjects studied by almost two-thirds of all JGU students. All its sub-projects and the main project steering committee had equal representation from all of the university's humanities and social science faculties.
1.3 Conclusion: Areas for improvement
In these times of constant change, experience at JGU has shown that a combined approach based on participation and expertise contributes to a sense of unity and purpose. The approach is a step in the right direction to ensure that JGU retains its competitive edge and its ability to deal with the challenges that lie ahead.
However, there is still work to be done on the framework for participation and maximizing of expertise. At present, there is the risk that the two basic pillars could compete in a way that would be damaging for the university, thereby obstructing or frustrating one another. In order to avoid this, the focus must be shifted toward the people involved, their self-awareness, and their skills. To this end, there must be a particular focus on management staff, as they are the main decision-makers and the ones who set targets, norms, and values within organizations.
Example 1: In a group university (a university run by different committees, each overseeing different administrative functions) the division of tasks and powers of decision-making can make it hard to identify hierarchies and to be clear who has responsibility for what. People are often concerned that taking responsibility may be construed as aggressive management behavior and might meet with resistance. At its worst, there will always be a "responsibility vacuum" within such a culture which, if it is never filled, will in turn lead to stagnation. Plainly, managers and would-be managers must be clear about their role and the areas of responsibility associated with it if they are to contribute constructively to processes of change.
Example 2: In the classic group university, leadership becomes increasingly collegiate and consensus-based. If committees are reaching decisions based on participatory processes, this may place special demands on the skills of leaders and managers. Management figures will need negotiation skills and the ability to be persuasive with their counterparts if they are to arrive at sustainable consensus decisions.
Example 3: In flexible expert structures the manager is often seen as an "equal among equals," often acting both as a spokesperson and a manager. Effective management requires ability both to make decisions and to bring about consensus.
In summary, staff in management roles must be able to maintain a balance between expertise and participation. This means that they must both make decisions and take responsibility, and facilitate processes by building consensus. So far, JGU has offered individual human resources development initiatives to help those concerned to adapt to the new patterns of thinking and behavior necessary. These initiatives include leadership development for specific target groups, leadership workshops for experienced managers, and coaching of both individuals and teams. However, all of these initiatives have been offered selectively, they have not yet being introduced systematically and across the board.
A model of leadership culture integral to these considerations is examined below under the key word "leadership" (see 2).
2. Target position – Leadership as a core element in shaping change
It is clear that staff within JGU must professionalize, just as the organizational structure of science at the university has been professionalized through a combination of participation and expertise. This requires a culture of leadership that targets in particular the assumption of leadership roles and the consensus-building through successful negotiation.
The best way to approach this is seen to be the introduction of a leadership culture at JGU, with a mindset based on the self-perception and needs of both academic and administrative leadership figures. This has already been integrated into the existing leadership development program at JGU for newly appointed professors and managers from administration and technical administration backgrounds, where it has proven its worth. Nonetheless, within the scope of this project it must continue to be adapted to suit conditions at JGU so that the leadership concept is deliberately adopted across the board, with Owen (2008, 2001) being used as a guide - see figure below.
The following figure illustrates management qualities (inner circle), which tend to emphasize control and therefore include more rigid duties and methods in dealing with employees and colleagues. It also illustrates leadership qualities (outer circle) which, in the systemic context, tend to focus on self-organization and selfcontrol of employees and colleagues. Based on our model of leadership, this is how management figures who view the organization as a complex system will be thinking and acting. In doing so, they assume that more control will be less likely to lead to employees and colleagues fulfilling their duties and in so doing achieving the organizational goal, because ultimately only limited control of social processes is possible. Because of this, they will focus more on the employees' own sense of responsibility and will work on the basis that it makes more sense to react flexibly to the internal dynamics of the system and to encourage helpful dynamics within the system.
In our model of leadership, managers act in pursuance of a vision which accords with organizational values and future goals. Ideally, this vision takes into account the ideas of all the major target groups involved in daily operations (employees, management, students, competitors, stakeholders, and even the federal state and the Ministry of Science, which reaps the final benefit from an improved reputation). If managers succeed in convincing their employees and colleagues of the importance of an activity, and can genuinely enthuse them about the goal (engaging the "spirit" as defined by Owens), this often avoids the need for much control or discussion. The new vision is more likely to be accepted if it builds on a link from the organization's past with the key values of the present. In this way the vision conveys clear guidelines for institutional values and, at best, gives a new sense of direction.
Leadership figures shape communication by organizing platforms for exchange and discourse on academic approaches and quality standards. They thereby promote the development of a shared understanding of problems while at the same time creating room for different interpretive approaches (Pellert 2001).
Management figures are able to motivate people towards the shared attainment of a defined outcome. They do this not just by pure monitoring but also by making a commitment to enabling employees and guiding them according to their individual needs. It is especially important for leadership figures to know about their counterparts' desires, values, and expectations to be able to look at things from a different perspective and to convey what is achievable and what is not achievable (Frey 2010). By acting as an enabler rather than a controller, they allow their employees to take responsibility for executing their own duties as well as allowing them to participate in the decision-making process in order to achieve a specific work result.
It is increasingly important for leaders to foster a commitment to the organization shared between employees and managers. Where changes are imminent, leadership figures must be able to reduce fears and resistance among staff or, ideally, prevent such fears or resistance from arising in the first place. The same applies to any potential conflicts within the team, which must be recognized and dealt with early on before they escalate and affect the ability of those involved to perform their duties.
It is therefore clear that leadership is not something that is done "with" or "at" somebody but that, instead, it is a way of behaving that manifests itself in everyday interactions. Under such conditions, leadership figures must be able to assume responsibility for strategically important duties at all levels. In addition, they also bear a lot of responsibility for themselves as role models, in particular for their employees as well as for their audiences (e.g. students). In so doing, management staff – who also function as catalysts within an organization – through their ethical leadership style create a culture that has at its core credibility, respect, fairness, pride, and a team focus, so making it clear that they and their teams are both part of the processes of change taking place.
In essence:
When a specific model of leadership appropriate to JGU becomes part of the university's culture, in other words when it is integrated into the (management) staff's thinking and behavior, processes of change implemented at a structural level can be better accepted and executed at the individual level. Developments which have a negative impact on employees' ability to do their work, e.g. frictional losses, are much less frequent as a result (key word: prevention). At the same time, employees' identification with the values of JGU increases. The result of this is that soft factors like the professionalism and quality of leadership and the organizational structure lead to more mutual trust among stakeholders and ultimately produce the desired results (in terms of staff turnover, sick days, achievement of targets, involvement in work groups, mutual help and support, etc.).
The overall model of leadership is basically compatible with both organizational forms. Socialization and identification promotion are inherent in the classic group university, which does not have any detailed hierarchical structure and which therefore relies on leaders' own self-awareness as well as on their willingness to assume responsibility and to act on their own initiative. The ability to exert influence over employees and colleagues – which, in a leadership context, is based on consensus-building – is also an absolute necessity for the group university. The model of leadership is also compatible with the structure of the modern expert organization where, although hierarchical structures provide orientation, a cooperative leadership style promises much greater success in terms of teamwork outcomes.
In order for leadership to become part of the culture and for the management role of management figures to be accepted, a sustainable, systematic, participatory development and introduction is required.
3. Project description
The Shaping Change – Developing a Culture of Leadership at JGU project, which runs from January 1st, 2011 to December 31st, 2012, is managed by the university's Human Resources Development department, who are taking on the project management and administration of the initiative. Staffing for the project consists of the Manager and the Representative of the Human Resources Development department. Further support will be provided by a project assistant, an assistant for finance and organization, and a student assistant, who will provide administrative support for the wide range of processes and events planned.
The project is controlled by a steering group (consisting of the Vice President for Learning and Teaching, the Chancellor, a dean, the Head of the Center for Quality Assurance and Development, and the Human Resources Development department), which is responsible for advising the university management and the project managers throughout the various project phases based on the results of the process evaluation. As the project plan below shows, the project can be divided into three key sub-projects and a fourth stage, i.e. the project evaluation.
The measures described below demonstrate how the idea of participation and expertise is also reflected in the human resources development strategy and, with it, the development and introduction of the JGU Leadership program.
3.1 Developing JGU Leadership (sub-project I)
The first step must be to develop a model of leadership specific to JGU. This should be generated within a participatory process, in other words including as many managers and other relevant groups as possible (e.g. students, external partners) from the academic, academic support, and administration areas within JGU 11 . Particularly appropriate here is the use of the Open Space method 2 , which promises to engage as
1 This should include as many managers as possible from all levels, in particular from the following target groups: university administration, deans, heads of institutes, executive managers, heads of major central institutions and research centers, departmental and unit heads of the JGU Central Administration, members of the University Senate and the University Council, representatives from special-interest groups (staff council, Gender Equality Officer, and spokeswoman for the severely disabled).
2 Open Space is a conference method for large groups, further developed by H. Owen in 1986.
many members of the university community as possible in order to work through and solve complex collective or personal issues and key topics. It is anticipated that this will link together abilities and knowledge across the spectrum of the university staff and channel them into creativity, innovation, and solutions. Committed participation by the organization's members is central to developing a generally applicable model of leadership, the definition of which is as consistent as possible and relevant to members' needs. Doing this should make it possible to reach a broad commitment to and mutual understanding of the idea of JGU Leadership. The concept of equal opportunity is a guiding principle here, one which must always be borne in mind across the board.
The process for developing a model of JGU Leadership is outlined here. The first step is for the steering committee to form a working/preparatory group representative of the large group which will be convened for the subsequent Open Space event. This preparatory group should consist of representatives of the university administration, university staff units, offices and departments, faculties and institutes. The group should discuss both the current and the target situation in the areas which provide the framework for leadership behavior. 3 From this, the group is able to work out appropriate guiding questions and a framework concept. The key topic provides a general direction for proceedings while still leaving room for individual suggestions and ideas which may arise among the participants on the day of the Open Space conference.
The second step is to hold an Open Space conference for around 500 people, lasting one or one-and-a-half days. Once the meeting is opened and the principles of Open Space are briefly introduced, the participants have an opportunity to present the issues that matter to them. All the issues are then brought together on a pre-prepared agenda wall. Times and places for discussion of each topic are agreed, with participants free to choose which topics they will work on. The topic discussion groups organize and document their own work and post their results on a noticeboard. At the end of the event, participants receive the documentation submitted by each discussion group. After this, topics that are similar in nature can be combined, priorities set, and the first concrete steps agreed upon.
It will be useful for the preparatory group to hold a follow-up meeting to reflect on the Open Space conference. This will also influence the process evaluation and will be reported to the steering committee. In order for the results obtained to be sustainably integrated into the everyday life of the organization, they must first of all be adopted by the University Senate and the participative management. Following this, they must be communicated both internally and externally. To this end, it may be appropriate to make presentations to the individual faculties, offices, and at staff meetings as well as publishing on the internet, etc.
3.2 Integrating JGU Leadership into leadership development programs (sub-project II)
As described, leadership must not be seen as a technique but rather as a behavior based on certain values, which managers must internalize. In times of constant change they will, in addition to their qualifications and subject knowledge, also need interdisciplinary skills, such as social-communicative, methodical, personal, and reflective skills (Sevsay-Tegethoff, 2004). If the entire organization is to become familiar with and internalize a JGU-specific model of leadership, it must be imparted through systematic leadership development for different target groups. This will be achieved by the three elements set out below.
3.1.1 Newly appointed deans (element 1)
Deans are key players at the decentralized level. They are responsible on the ground for all key processes within the faculties — teaching and research as well as the deployment of staff, property and space resources. However, the underlying conditions of the post are problematic because deans manage on a temporary basis and manage professorial colleagues to whom they are not superior within the existent hierarchy. In addition, they usually wish to keep a foothold within their own subject area and are only partly
3 Possible questions might include: How is the situation perceived in each case? What structure is currently in place and how is this judged? Are opportunities for action perceived? If so, which ones? What processes have already been initiated and how are they understood or judged? What objectives can already be identified? What is in the pipeline? Are there quantifiable goals? In what legal or material circumstances do managers at JGU work? How are they supported?, etc.
relieved of their teaching duties. In other words, the leadership behavior of deans has to follow the principle of consensual management and must have a collegial structure. The particular challenge in this area is therefore, within the context of constantly changing underlying conditions, 1) to "roll into" the new role as soon as taking up the post, i.e. to adapt to the office and to give this new role greater importance than one's own subject specialty and responsibility for one's own subject, 2) to share management with colleagues, and 3) as far as possible to bring about consensus decisions with all groups. The understanding of leadership developed by the program should provide some helpful orientation here.
The newly appointed deans element aims to address these underlying conditions. Following an extensive needs assessment, an initiative in line with the model of JGU Leadership will be designed for the deans to be appointed at the beginning of the 2011 summer semester. This will address both the requirements of deans new to the position and deans starting a follow-up period in office.
The aims of the process are as follows. Deans should receive individual support upon taking up their posts. There are plans to offer individual coaching to deal with issues which arise on taking up office and in carrying out the duties of a dean. In order to develop a network and to facilitate introduction to more specialized areas, network meetings should be set up to inform participants about key issues affecting JGU and how to access contact people in other areas (e.g. for an introduction to financing and budgeting at JGU, human resources issues, etc.).
The next stage should include workshops on overarching topics. Depending on specific needs, this could mean method workshops (e.g. on managing committees) or workshops on the subject of leadership development. The needs assessment should start in April 2011, with the first initiatives being provided during the 2011 summer semester.
3.1.2 JGU Leadership for new management staff (element 2)
The implementation of a leadership culture provides an opportunity to support and guide those managers who are new to the university, or new to their post within the university, as they define and exercise their new role. The aim is to ease their start into their new position and at the same time win new managers over as advocates for the new model of leadership.
As with element 2, mentoring processes should be brought in here. This could mean peer mentoring opportunities (such as the existing initiatives in the area of leadership development) or the inclusion of experienced managers (see element 4). This is not to mean mentoring in the traditional sense (the mentor as a father figure advising the inexperienced mentee) but rather the exchange of views and thoughts on the development of networks, discussions, etc.
3.1.3 Further development of existing tools for leadership development (element 3)
Experienced managers in both the academic and administrative areas are constantly under pressure from change, scarcity of resources, and targets heavily focused on results and cost. They are also expected to manage employees and teams. This is one of the reasons why, alongside the provision of the JGU leadership development program, further professional support is always needed. Up to now this support could be made available only to a rather limited extent. In their daily work there is seldom an opportunity for managers to reflect on the demands placed on their own leadership ability and to improve upon this ability. Only rarely is there a chance for in-depth exchange with colleagues on leadership issues.
This lack of initiatives for experienced managers should be improved by use of new formats. These could include the expansion of existing leadership development programs to include permanent leadership workshops using peer advice and/or peer mentoring, and comprehensive workshops on issues like change management or strategy development.
In addition, individual initiatives like coaching (involving, amongst other things, the development of an internal coach pool), team development, process support, or conflict resolution should be structured so that they can be requested across the board without restriction because they are no longer to be financed by the individual faculties and central institutions. Coaches or trainers in all initiatives will work with the JGU Leadership concept in mind.
3.3 Implementing JGU Leadership in other areas of human resources development (subproject III)
The new values of leadership and cooperation can only be absorbed into the university's culture when they are transferred to other existing structures, become established, and are then absorbed into JGU's "unwritten rules" and so become part of the staff's value system. Not until this has been done can the values in question be lived in everyday life at the university and also lead to increased identification with JGU. With the implementation of JGU Leadership, the various stakeholders at JGU are prepared for the processes of change which will arise and are building capacity to achieve a sustainable change in culture. The following three elements should help towards this goal.
3.3.1 Utilize experiences, adopt new viewpoints (element 4)
Within this element, experienced managers should be included in human resources development activities as specialist and experienced experts, offering supplementary discussions with the participants in the leadership development programs for instance. Furthermore, experienced managers should be sought to conduct specialized events and facilitate networks, e.g. for the new deans.
JGU wants to offer its managers rotating posts – in collaboration with cooperating companies, research institutions, other universities, and academic institutions. There are plans to introduce observation periods of between one and two weeks in partner companies and organizations, the aims being to get acquainted with new approaches, to change perspectives, and to develop networks.
3.3.2 Orientate staff recruitment to JGU Leadership (element 5)
The remit of the project should include working out and implementing new standards for the recruitment of staff. This should focus on staff selection procedures for filling both academic and non-academic posts. The existing processes should be examined, standardized, and implemented. In concrete terms, this means that expert teams will be appointed to make proposals to specify standards. These must be widely discussed in the context of the understanding of JGU Leadership concept worked out at the beginning of the project, decided upon in the relevant committees, and submitted to the participative management. Implementation is envisaged to be via continuing education courses, publication of guides, and advice to managers.
The aim is to implement shared standards in order to be able to control recruitment processes better and implement them more quickly. At the same time, new recruitment methods should also be considered.
3.3.3 Conduct appraisal interviews within the context of JGU Leadership (element 6)
The appraisal interview is a structured interview between a manager and an employee, introduced at the beginning of the year 2000 and supposed to take place once a year in all areas of work. Because it is executed and prepared for within specific guidelines, it differs significantly from everyday workplace discussions. Important aspects of the interview include, for example, teamwork and cooperation, personnel management and development and agreed targets. By their very involvement in the process, employees' motivation for and identification with their own work should be boosted and teamwork improved. Information and communication are particularly important, as is the establishment of a feedback culture. These are elements that are inherent to the understanding of leadership.
In the fall of 2010, an evaluation of the quality and benefit of the appraisal interview system was carried out. Appropriate steps must be taken based on the results of this evaluation. At present, it seems possible that the appraisal interview system might have to be thought out and/or interpreted in a way that is more specific to individual target groups. For example, questions might arise as to who carries out the appraisal interview for a professor and how it is executed and so on. Comprehensive information events and individual advice for employees will be needed to ensure that the structure and aim of the implementation are dealt with fully. Finally, a system to ensure the routine use of the appraisal interview will be needed.
3.4 Project evaluation and sustainability (sphere of activity)
The project should be supervised within the scope of a process and results evaluation with the support of the Evaluation Association of Institutes of Higher Education, Southwest. All the evaluation reports serve as opportunities for reflection by the steering committee and the project management, and therefore help in assessing and further developing individual sub-projects and their component parts. The appropriate criteria and methods for both forms of evaluation are defined at the beginning of the project.
At the close of the project, a final report will be compiled based on these results, which should also highlight the prospects for the sustainability of JGU Leadership. This will also include recommendations for action beyond the end of the project.
4. Sources of information
Web link to individual JGU projects (as of August 2010)
JGU Mission Statement: http://www.uni-mainz.de/downloads/JGU_mission_statement.pdf
JGU Strategy Concept: http://www.uni-mainz.de/downloads/JGU_strategy_concept.pdf
Gutenberg Research College (GRC): http://www.gfk.uni-mainz.de/eng/index.php
Research Centers: http://www.uni-mainz.de/forschung/103_ENG_HTML.php
Research Units: http://www.uni-mainz.de/forschung/104_ENG_HTML.php
Graduate School of Excellence Materials Science in Mainz: http://www.mainz.uni-mainz.de/
Research cooperation: http://www.uni-mainz.de/forschung/124_DEU_HTML.php
Mainz Science Alliance: http://www.wissenschaftsallianz-mainz.de (in German)
Center for Quality Assurance and Development: http://www.zq.uni-mainz.de(in German)
Human Resources Education and Development: http://www.personalentwicklung.uni-mainz.de (in German)
5. Literature
Frey, D. (2010): Ethikorientierte Führung, Macht, Vertrauen und Verantwortung aus psychologischer Sicht. Unveröffentlichter Vortrag auf der Fachtagung Leadership Meets University „Führung und Verantwortung" an der Ludwig-Maximillians-Universität, München.
Marx, S. (2007): Aufgaben einer Führungskraft im Spannungsfeld von Management und Leadership. Unveröffentlichtes Workshopkonzept des Entwicklungsprogramms für Führungskräfte an der Johannes Gutenberg-Universität, Mainz.
Owen, H. (2001): Open Space Technology - Ein Leitfaden für die Praxis, Stuttgart, Klett-Cotta.
Owen, H. (2008): The Spirit of Leadership. Carl-Auer-Systeme, Heidelberg.
Pellert, A. (1999): Die Universität als Organisation. Die Kunst, Experten zu managen. Böhlau Verlag, Wien, Köln, Graz.
Sevsay-Tegethoff, N. (2004): Ein Blick auf Kompetenzen. In: Böhle, F./Pfeiffer, S./ Sevsay-Tegethoff, N. (Hrsg.): Die Bewältigung des Unplanbaren. VS Verlag, Wiesbaden.
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Annual Report 2017–18
© Teacher Registration Board of the Northern Territory 2018
For further information please contact:
The Director Teacher Registration Board of the Northern Territory GPO Box 1675 DARWIN NT 0801
Telephone 08 8944 9380 Facsimile 08 8944 9444 Toll-free 1800 110 302 Website www.trb.nt.gov.au Email firstname.lastname@example.org
ISSN: 1833-0150 (Print)
ISSN: 2205-9539 (Online)
Published by the Northern Territory Government for the Teacher Registration Board of the Northern Territory 2018
Hon Selena Uibo Minister for Education Parliament House DARWIN NT 0800
Dear Minister
RE: TEACHER REGISTRATION BOARD 2017-18 ANNUAL REPORT
I have pleasure in submitting the Teacher Registration Board's report for the period 1 July 2017 to 30 June 2018 in accordance with section 79 of the Teacher Registration (Northern Territory) Act.
Yours sincerely
Karen Blanchfield Chair
Table of Contents
List of Tables ........................................................................................................................ 6
List of Tables
Table 1 – Overall Audit Statistics ........................................................................................ 18
Legend used in tables
Schedule A
Four years of tertiary education with at least one year of initial teacher education. Many applicants in this schedule have postgraduate qualifications beyond the required four years.
Schedule B
Less than four years of tertiary education but at least one year of initial teacher education. All applicants in this schedule were employed as teachers in the Northern Territory in 2005 and registered under a transition clause in the Act.
Schedule R
At least three years of tertiary education, including at least one year of initial teacher education, and registration with an Australian or New Zealand registration authority. Applicants in this schedule applied for registration under the provisions of the Mutual Recognition arrangements.
Schedule T
Application by a school to employ an unregistered person who does not meet registration requirements.
CHAIRPERSON'S REPORT
This is the fourteenth annual report for the Teacher Registration Board of the Northern Territory ("the Board") since its establishment in 2004 under the provisions of the Teacher Registration (Northern Territory) Act ("the Act").
The work of the Board continued as required under the Act and Board members, staff at the Office of the Board and various members of the teaching community worked diligently to ensure the functions of the Board were carried out effectively.
The renewal process for registration is well embedded with teachers meeting the nationally consistent requirement for 180 days of teaching in the previous 5 years as well as 100 hours professional learning. The Australian Professional Standards are the foundation against which teachers must provide evidence.
The Teacher Registration Board of the Northern Territory and the Northern Territory Department of Education are working collaboratively to review the Teacher Registration (Northern Territory) Act and Teacher Registration (Northern Territory) Regulations. The review serves to strengthen and update the legislative framework for the registration of teachers and the regulation of the teaching profession. Improved student learning is the purpose. In the past year, extensive consultation with stakeholders was carried out and drafting of the revised legislation is underway.
A national review of teacher registration was commissioned by the Minister for Education and Training to ensure processes are consistent and rigorous with an emphasis on teacher quality. The recommendations from the review, along with recommendations from the Royal Commission into the Institutional Responses to Child Sexual Abuse, remain a strong focus both nationally and locally and will inform registration and information sharing practices into the future.
The Australian Government's Act Now: Classroom Ready Teachers recommendations aimed at strengthening initial teacher education programs continue to be a national focus. Strong networks increase the organizational capability and ensure national alignment specifically relating to registration, accreditation of initial teacher education programs and the certification of Highly Accomplished and Lead teachers.
In April 2018, the Acting Director and I attended the International Forum of Teacher Regulatory Authorities in New Zealand. The focus topics of this biennial conference were: Teacher Capability and Teachers and Child Protection.
The Board continues to undertake investigations for notifications and complaints regarding disciplinary matters as a requirement under the Act. In the past year, there have been 14 Preliminary Investigations, with 2 completed. In addition, there have been 3 Inquiries, with 1 completed. The Board works closely with the Solicitor for the Northern Territory and the legal assistance provided in disciplinary matters is invaluable.
I acknowledge the leadership of Acting Director Sue Fisher. The expertise and commitment of Board members and Committee members enables the work of the Board to progress. I also acknowledge the competent staff of the Office of the Board who provide high quality support to the teaching profession.
Karen Blanchfield
TEACHER REGISTRATION BOARD
Establishment of the Board
The Teacher Registration Board of the Northern Territory is an independent statutory body created by the Teacher Registration (Northern Territory) Act. The Act came into force in September 2004 and was amended in September 2010.
The Board reports directly to the Minister for Education and, while it works cooperatively with all employers of teachers, is not responsible to any employer group, government or private sector.
Functions of the Board
The objective of the Act is to ensure that only people who are fit and proper and appropriately qualified are employed as teachers in the Northern Territory and to facilitate the continuing proficiency of teachers in the Northern Territory.
The Board's key functions are:
Registration of teachers
The Board is charged with ensuring the quality of the teaching force in the Northern Territory through the registration of all teachers and by granting employers authority to employ unregistered people where appropriate. The Board makes recommendations to the Minister in relation to the minimum qualifications and other requirements for registration in the Northern Territory.
Initial teacher education
The Board is responsible for accrediting education courses and liaising with institutions providing education courses in the Northern Territory.
Professional learning
The Board liaises with the agency administering the Education Act on strategic priorities for professional development of teachers in the Northern Territory and with employers of teachers to develop the competencies of teachers during all career stages.
Professional standards and ethics
The Board is charged with supporting professional teaching standards and using these to support the focus on quality teaching. The Board maintains a code of professional ethics for Northern Territory teachers.
Complaints and notifications
The Board may investigate employer notifications and complaints received regarding teachers. It may also prosecute offences set out in the Act.
Quality practice
Where appropriate to do so, the Board may conduct research into quality practice in teaching in the Northern Territory. The Board must promote quality practice in education based on research.
Board Membership as at 30 June 2018
Two teachers (one being from the Northern Territory Branch
a remote school), nominees of of the Australian Education
Ms Julie Donald (
Union
Dip Teach, Grad Dip remote
)
Aboriginal ED, BEd, MA
Appointed to October 2020
Two teachers (one being from a remote school), nominees of the Territory branch of the Australian Education Union Ms Yvonne Patterson (non-remote) Dip Teach, BEd
Appointed to October 2018
One teacher, nominee of the Independent Education Union Queensland/Northern Territory Ms Elsabe Bott BEd, MEd St, MEd Appointed to October 2020
One educator, nominee of the Catholic Education Office Ms Bernadette Morriss Dip Teach, BEd, Grad Dip Language and Literacy, MEd Leadership.
Appointed to October 2018
One educator, nominee of Charles Darwin University Prof Greg Shaw PhD, MEd, BEd, Dip Ed (Agriculture Science) Grad Cert (Online Teaching), Cert 4 (WTA)
Appointed to October 2018
One educator, nominee of the Batchelor Institute of Indigenous Tertiary Education Ms Claire Bartlett M Ed, Dip E-Learning, Post Grad Cert (TESOL), BEd Primary
Appointed to October 2018
One person, nominee of the NT Council of Government School Organisations Mr Steve Carter City & Guilds of London IMCC Dip Mn
Appointed to October 2018 **Deputy Chair
One teacher, nominee of Professional Teachers' Association of the Northern Territory Ms Lorraine Hodgson Dip Teach (Special Education)
Appointed to October 2020
One teacher, nominee of the Northern Territory Principals' Association (formerly ANTSEL) Ms Karen Blanchfield TTC, BEd, Grad Dip PSM, MIM Appointed to October 2020 *Chair
The Board comprises twelve members nominated by educational organisations. A quorum of 7 members are required at each meeting.
Board Meetings 2017-18
During the reporting period, the Board met nine times as follows:
| Meeting | Date | Venue | Duration |
|---|---|---|---|
| 1 | 10 August 2017 | Teleconference | Afternoon |
| 2 | 15 September 2017 | Teleconference | Morning |
| 3 | 26 October 2017 | Darwin | Full day |
| 4 | 7 December 2017 | Teleconference | Afternoon |
| 5 | 24 January 2018 | Teleconference | Afternoon |
| 6 | 1 March 2018 | Darwin | Full day |
| 7 | 12 April 2018 | Darwin | Full day |
| 8 | 17 May 2018 | Teleconference | Afternoon |
Attendance Register 2017-18
| Board Members | | 1 | | 2 | 3 | 4 | 5 | | 6 | | 7 | 8 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| | | 10/8/17 | | 15/9/17 | 26/10/17 | 7/12/17 | 24/1/18 | | 1/3/18 | | 12/4/18 | 17/5/18 |
| Louise | Corrigan | | | | | | | | | | | |
| Julie | Donald | | | AP | AP | | | | | | | |
| Yalmay | Yunupingu | AP | | | | AP | A | | | Resigned | | |
| Donna | Stephens | | TNS | | | | | | | | | |
| Yvonne | Patterson | AP | | | | | | | | | AP | AP |
| Elsabe | Bott | AP | | | AP | | | | | | AP | |
| Andrew | Manning | | | | | AP | | | | | P | |
| Bernadette | Morriss | AP | | | | AP | | | AP | | | |
| Peter | Kell | | | AP | AP | | | Retired | | | | |
| Greg | Shaw | | TNS | | | | | | | | | |
| Claire | Bartlett | | | | | AP | | | | | | |
| Lorraine | Hodgson | | | AP | | | | | | | P | AP |
| Steve | Carter | AP | | | | | | | | | AP | AP |
| Karen | Blanchfield | | | AP | | | AP | | | | | |
Legend: A - Absent AP - Absent with Apologies NA - Not Applicable P - Part meeting TNS – Term Not Started
Vision and Values
Vision
The Board is a regulatory body which enhances the quality of the teaching profession in the best interests of Northern Territory students.
Values
The Board's values reflect those of the Teacher Registration Board's Code of Ethics for Northern Territory Teachers:
Integrity
|
Respect
|
Justice
|
Empathy
|
Dignity
Code of Conduct
As members of a Northern Territory statutory authority, Board members adhere to the Code of Conduct for members of Northern Territory statutory authorities recommended in Board Membership: A Guide for Members of Northern Territory Government Board, Committees and Statutory Bodies (NTG 2005).
Strategic Plan 2016-2018
In fulfilling its legislative functions the Board will continue to focus on the following strategies and key result areas.
Strategy 1 Quality Teaching
Australian Professional Standards for Teachers
Professional learning
Advocacy
Professional conduct
Support for teachers through career stages
Registration renewal
Strategy 2 Regulation and Accreditation
Quality and nationally consistent registration processes
Robust, fair and equitable complaints and inquiries procedures
A profession informed of obligations as a registered teacher
Effective implementation of accreditation of initial teacher education
programs
Lead and influence future directions in the regulation of teaching Lead and influence and collaborate with major stakeholders on future directions in the regulation of the profession at both Territory and national levels
Public confidence in the teaching profession Accreditation of initial teacher education programs
Strategy 3
Services to the Profession
Strong partnerships with key stakeholders Communications are client focussed and accessible Support continuing professional learning Support for teachers moving from Provisional to Full registration
Strategy 4
Organisational Capability
Business systems that are contemporary, effective and efficient, and support
the delivery of user friendly and accessible services
Agile, skilled and productive workforce
Environmental sustainability
Corporate social responsibility
Cross-sectoral work and networks
Strategic Plan 2016-2018
COMMITTEES OF THE BOARD
All committees of the Board make recommendations on matters referred to them by the Board. Committee membership is at the invitation of the Board.
All committees have made a significant contribution to the Board's work in reviewing processes, developing policy, promoting the profession and fulfilling the Board's regulatory and professional responsibilities under the Teacher Registration (Northern Territory) Act.
Initial Teacher Education Committee
Terms of Reference
* To ensure graduates meet the Australian Professional Standards for Graduate Teachers for the purposes of Teacher Registration.
* To advise the Board and make recommendations on the assessment and accreditation of pre-service teacher education programs;
Goals
* Strengthen pre-service teacher education programs in the Northern Territory;
* Contribute to quality teaching in the Northern Territory through the accreditation of initial teacher education courses in accordance with the National Accreditation process;
* Research and promote best practice;
* Contribute to the review of processes through a national network.
The Initial Teacher Education Committee fulfils the functions of the Board outlined in section 11(d) of the Act. The committee advises the Board and makes recommendations on the assessment and accreditation of initial teacher education programs delivered in the Northern Territory to ensure graduates meet the Australian Professional Standards for Teachers (Graduate Teachers) for the purposes of registration.
The committee continued to advise the Board on the suitability of initial teacher education programs offered by Charles Darwin University (CDU) based on the processes and protocols established by AITSL and described in the Guidelines for the Accreditation of Initial Teacher Education Programs in Australia (June 2016) and the Accreditation of Initial Teacher Education Programs in Australia – Standards and Procedures (December 2015). The professional relationships are based on the continued focus on developing quality teachers through rigorous and innovative teacher preparation programs.
The committee has focussed this year on advising the Board on implementation of the TEMAG Recommendations, specifically through the revised Program Standards and the transition of existing courses to incorporate the revised Standards. Accreditation of new courses to be offered by CDU and how that will impact on the Northern Territory, has also been advised to the Board.
Members as at 30 June 2018
Ms Lola Sleep (Chair)
Education Consultant – Teacher at Good Shepherd Lutheran
College
Ms Kate Robarts
Growth Coach – Department of Education NT
Mr Geoff Perry
Principals' Consultant Project Officer and Grow Your Own
Coordinator - Catholic Education Office NT
Ms Liz Hockey
Education Officer Curriculum – Primary & Middle Secondary
Catholic Education Office(resigned January 2018)
* Member of the Teacher Registration Board NT
Meetings
Three committee meetings were held during 2017 - 2018 as follows:
29 November 2017
14 March 2018
6 June 2018
Accrediting Initial Teacher Education Programs
The major changes to course requirements in response to the TEMAG report Action Now: Classroom Ready have been adopted by Charles Darwin University as follows:
| | Program | | New | |
|---|---|---|---|---|
| | Standard | | Requirements | |
| 1.2 | 1.2 | Teaching Performance Assessment | Teaching | • Undergraduate: |
| | | | Performance | |
| | | | | Graduate Teacher Performance Assessment (GTPA) |
| | | | Assessment | |
| | | | | through Learning Sciences Institute Australia consortia |
| | | | | • Post graduate: |
| | | | | Assessment for Graduate Teachers (AfGT) through |
| | | | | Melbourne University consortia |
| 3.1, 3.2, 3.3 | | Selection | | |
SATAC based -machine scoring process:
| 3.5 | Literacy and Numeracy Test | • All students enrolled from 1 January 2017 in new and |
|---|---|---|
| | | old courses must do the test and meet benchmark as |
| | | a condition for graduation |
| | | • All students enrolled prior to 1 January 2017 are to be |
| | | strongly advised by CDU to complete the test to |
| | | increase employment opportunities |
| | | • It is a condition of employment for Education NT from |
| | | 1 July 2016 |
| 4.4 | Primary Specialisation | |
| 5.1, 5.3 | Professional Experience | 60 days |
| | | Bachelor of Education Graduate Entry |
| | | 80 days |
| | | Bachelor of Education Primary |
| | | Bachelor of Education Secondary |
| | | Masters of Teaching |
| | | 100 days |
| | | Bachelor of Early Childhood Teaching |
| 6.2 | Plan for Demonstrating Impact | |
Status of CDU Initial Teacher Education Courses
| | Course | | Accredited to | Status |
|---|---|---|---|---|
| | Bachelor of Education | December 2022 | | |
| | (Primary) | | | |
| Bachelor of Education (Secondary) • Science • Visual Arts • Music • Health & PE | | December 2017 | | |
| | Bachelor of Education | December 2018 | | |
| | (Secondary) | | | |
| | • Information | | | |
| | Technology | | | |
| | • Humanities and | | | |
| | Social Sciences | | | |
| | • Mathematics | | | |
| Bachelor of Education Graduate Entry | | December 2019 | | |
| | Bachelor of Early | December 2019 | | |
| | | | | Current |
| | Childhood Teaching | | | |
| Masters of Teaching | | December 2022 | | |
| Bachelor of Education Secondary | | December 2022 | | |
Panel Member Training
The Northern Territory has 28 trained panel members to date with 8 of the 25 also trained to sit on Stage 2 accreditation panels. An additional 8 panel members will be trained in 2018 focussing on training those with secondary expertise and/or Highly Accomplished or Lead teacher certification.
LANTITE
The Literacy and Numeracy Test for Initial Teacher Education (LANTITE) was introduced to facilitate meeting the new Program Standard 3.5 which states:
"Entrants to initial teacher education will possess levels of personal literacy and numeracy broadly equivalent to the top 30% of the population. Providers who select students who do not meet the requirement must establish satisfactory arrangements to ensure that these students are supported to achieve the required standard before graduation. The National Literacy and Numeracy Test is the means for demonstrating that all students have met the standard 1 ."
The test is a requirement for graduation so whilst it is not a requirement for teacher registration, it indirectly becomes a requirement as part of the successful completion of an initial teacher education qualification. The Department of Education has made the successful completion of the test a requirement for employment from 1 July 2016.
Standards and Professional Learning Committee
Strategic Objective
To develop and improve professional teaching standards and facilitate and support the continuing competence of teachers in the NT against the standards of practice for the profession.
Terms of Reference
* Make recommendations to the Board on the maintenance of the Australian Professional Standards of Professional Practice on entry and for continuing membership of the profession;
* Engage with the profession through workshops and other professional learning activities related to the maintenance of the professional standards;
* Make recommendations on the development and maintenance of policies and guidelines for Provisional Registration, Full Registration and registration renewal requirements;
* Provide advice related to developing a Professional Learning Framework for the purposes of continuing education and professional development for teachers; and
* Advise on research and promotion of quality practice in teaching in the NT.
Goals
* Promote and develop the competencies of teachers during the early stages of their careers;
* Research and promote quality practice;
* Promote the importance of ongoing professional learning against the standards of professional practice;
* Participate in the development and implementation of Australian Professional Standards for Teachers.
1 Australian Institute for Teaching and School Leadership, Accreditation of initial teacher education programs in Australia, Standards and Procedures December 2015
The Standards and Professional Learning Committee fulfils the functions of the Board under the provisions of section 11(e), (f), (g), (h) and (i) of the Act.
Members as at 30 June 2018
Meetings
The Standards and Professional Learning Committee is currently inactive as all projects have been completed. The Committee will reconvene following the outcome of the National Review of Registration and a review of the Australian Professional Standards for Teachers.
Provisional Registration
Provisionally registered teachers have access to a range of support materials available on the Board's website, including an Information Guide, evidence templates and exemplars. They continue to be supported through information sessions as required. Greater focus is required on support within schools for provisionally registered teachers, particularly in the area of mentoring.
Full Registration
The requirement to renew Full Registration every five years, fulfils the Board's statutory requirements under section 11 of the Act ensuring that teachers, who are registered, demonstrate ongoing competence against the Australian Professional Standards for Teachers at the proficient level. Section 32 of the Act requires teachers to meet the eligibility for registration criteria as a fit and proper person.
As part of the renewal of Full Registration process for registered teachers whose category of Full Registration expired on 31 December 2017, the Board conducted an audit of teachers, representative of approximately 10% of renewing teachers. The 2017 cohort saw 167 teachers renew of a total cohort of 222 required to renew. Twenty teachers were randomly selected for audit.
The audit was conducted by notification to teachers whose registration number had been randomly selected. Teachers who were called for the audit were required to provide evidence of a minimum of 180 days of practice and a minimum of 100 hours of professional learning in the previous five years. The requirement of being a "fit and proper person" was addressed in the online application. Upon completion of the audit, 89.4% of teachers audited met the requirements.
Of the 20 teachers randomly selected for audit, 17 met the requirements for renewal as evidenced by Statements of Employment/Service and professional learning logs and one was granted an exemption on medical grounds. Two teachers who did not meet the requirements for renewal were granted Provisional (F) Registration.
Australian Professional Standards for Teachers
Work continues on providing information and clarity on teaching practice as measured against the Australian Professional Standards for Teachers, particularly in the area of evidence. The Australian Professional Standards for Teachers are embedded in teachers' practice and teachers are using the Standards more extensively to develop and guide their practice.
An Evidence Guide has been developed for the website for fully registered teachers and provides advice on the renewal requirements for fully registered teachers and the audit.
An Evidence Guide is currently being developed for:
- Principals
- Provisionally Registered teachers
- Mentors of early career stage teachers
- Panel members
Evidence Guides will provide a contemporary version of regulatory processes as well as providing guidance to teachers and stakeholders about measuring practice against the Australian Professional Standards.
Employer Reference Committee
Terms of Reference
* Provide advice to the Board on the implementation of the objectives of the Act with regard to registration, authorisation and disciplinary procedures; and
* Facilitate the exchange of information between employers of teachers and the Board on matters to do with teacher registration and authorisation policy and procedures, disciplinary procedures and compliance;
* Provide advice to the Board on risk and risk management with regard to registration of teachers.
Members as at 30 June 2018
*Mr Steve Carter (Chair) COGSO
**Mr Greg O'Mullane
Employer – CEO
Ms Leanne Cull
Employer – DoE
Ms Cheryl Salter
Employer – AISNT
Ms Debra Twartz
Employer - NTCSA
Sue Fisher
Director TRB NT
Rebecca Maple
Manager, Professional Conduct & Policy TRB NT
* Member of the Teacher Registration Board NT **Former Member, Teacher Registration Board NT
Meetings
1 meeting was held during the 2017-2018 period.
The Committee focusses on developing understanding of the employer processes for managing issues of competency in relation to the Australian Professional Standards for Teachers including the use of the notification form used to guide employer notifications to the Board and aligning employer probation processes to the Australian Professional Standards for Teachers. The Committee is a key consultation body for progressing all matters to do with registration, including professional conduct and competence of teachers.
OFFICE OF THE TEACHER REGISTRATION BOARD
Overview
Secretariat support to the Board is provided by the Office of the Board.
The Office supports the Board on a range of matters including:
* Management of the registration and registration renewal processes;
* Assessment of all applications for registration and authorisation;
* Accreditation of initial teacher education programs;
* Management of Complaints, Inquiries and Investigations;
* Conduct of the annual audit of employers;
* Administration and management including financial management;
* Certification of HALT career stages; and
* Committees of the Board;
* Professional learning in relation to registration and the implementation of the Australian Professional Standards for Teachers.
TEACHER REGISTRATION BOARD OF THE NORTHERN TERRITORY
Staff of the Teacher Registration Board
Official Travel 2017-2018
BOARD MEETINGS: "Board members who travelled to attend the full day Board meetings in
Darwin"
Karen Blanchfield
Alice Springs/Darwin return x 3
Julie Donald
Nhulunbuy /Darwin return x 2
Yalmay Yunupingu
Nhulunbuy /Darwin return x 1
Australasian Teacher Regulatory Authorities (ATRA)
The purpose of ATRA is to:
* Facilitate collaboration and where appropriate coordination between members in the development and promotion of professional standards, professional learning and ethical conduct for the teaching profession within the Commonwealth of Australia and New Zealand;
* Collect and disseminate information on matters of collective interest, effectively evaluate initiatives undertaken and reach decisions by consensus;
* Formulate and forward to appropriate authorities advice on relevant matters including those of national concern;
* Advocate and promote teacher regulatory functions including teacher registration, accreditation and/or certification.
Senior Officers of ATRA usually meet twice per year for a Special General Meeting and Annual General meeting.
The Board's Chair and Acting Director attended both bi-annual meetings of the Australasian Teacher Regulatory Authorities (ATRA) in Adelaide in August (2017) and New Zealand in April (2018).
Karen Blanchfield (ATRA Chair) Alice Springs/Adelaide return x 1
Alice Springs/Wellington return (self-funded) x 1
ATRA Network Meetings
Regular network meetings across key areas of regulation and nationally consistent processes provide an opportunity for key team members to access valuable networking and learning forums.
The following networks were active during 2017-18:
* ICT Network
* Senior Registration and Assessment Officers Network
1 interstate meeting
* Initial Teacher Education Network
0 interstate meeting
* Professional Conduct and Legal Network 1 interstate meeting
* Professional Teaching Standards Network
4 interstate meetings
2 interstate meetings
0 interstate meeting
* Certification Authority Network
The Director participates regularly in teleconferences with ATRA associates.
The Director participated in a range of forums facilitated by the Australian Institute for Teaching and School Leadership and the Australasian Teacher Regulatory Authority, specifically dealing with initial teacher education in response to the recommendations of the TEMAG report Action Now - Classroom Ready.
International Forum of Teacher Regulatory Authorities (IFTRA)
The Acting Director and Board Chair attended the IFTRA Meeting in New Zealand in April 2018. The focus topics were Teacher Capability and Teachers and Child Protection. Both the Chair and the Acting Director chose to attend at their own cost.
Finances
The Board is an independent statutory authority which operates on a budget provided by the NTG and allocated by the DoE.
The total income from registration fees is not sufficient to enable the Board to operate with financial independence.
The total revenue from registration fees for 2017-2018 was approximately $486,000, down $149,000 from the approximate $635,000 received in 2016-2017.
| TRB | Budget | Actual |
|---|---|---|
| Employee | 1,224,431 | 1,059,302 |
| Operational | 127,689 | 98,664 |
| Total Rounded | 1,352,000 | 1,156,000 |
| HALT National Certification | 37,000 | 14,473 |
| Grants and Subsidies | | |
| Australian Institute for Teaching and School Leadership | 19,000 | 15,656 |
| Relief Teachers less than 15 days | 4,500 | 0 |
Information technology support
While the Department of Education provides corporate services to the Board, additional support in information technology is provided by Code Kitchen Pty Ltd.
Compliance with the Information Act
Type of information held
As a body corporate established by Territory legislation, the Board is a public sector organisation for the purposes of the Information Act.
The Board holds information relevant to the functions, services and operations of the Board as set out in this annual report.
The Professional Conduct Officer is the appointed Information Officer in this area.
Register of teachers
A register of teachers is kept by the Board. Members of the public may search the register of teachers to ascertain if a teacher is currently registered. The information accessed by this search is the teacher's name, registration number, category of registration and the date to which the teacher's registration fees have been paid.
The register may be searched via the TRB website.
The new online environment allows teachers to amend some personal details in their profile. Other inaccurate information may be corrected via contact with Board staff. No fee is incurred for these amendments.
Information access and reporting
Only applications that meet the formal requirements for acceptance under the Information Act are counted. One request for access to government information held by the Board was received during 2017-2018.
Information privacy
The Information Act (NT) defines personal information as information held by Government from which a person's identity is apparent or reasonably able to be ascertained.
The Board only collects information necessary for or related to its functions, services and operations. Information may also be used for statistical, research, planning and reporting those functions, services and operations as required.
The Board respects the privacy of individuals and is committed to collecting, using, storing and managing personal information in a manner that complies with the Information Privacy Principles set out at Schedule 2 in the Information Act.
Records and archives management
Part 9 of the Information Act provides for the protection and management of records and archives by public sector organisations. The Board complies with this Part by:
* Keeping full and accurate records of its activities and operations;
* Making arrangements for the archives service to monitor the management of its records.
* Implementing practices and procedures to safeguard the custody and ensure proper preservation of its records; and
REGISTRATIONS AND AUTHORISATIONS
Strategic Objective
To maintain the standards of professional practice for NT teachers through a standards-based, regulatory framework that ensures only appropriately qualified, competent and fit and proper persons are employed as teachers in the NT.
Goals
* Strengthen initial teacher education programs in the NT.
* Maintain a robust and efficient registration system.
* Ensure only fit and proper persons maintain registration in the NT.
* Maintain a Code of Ethics.
Who can be Registered?
The minimum qualification requirements for registration are met by applicants who have completed four years of approved tertiary study including an initial teaching education course. Applicants must also demonstrate they meet the English language proficiency requirement and that they are a fit and proper person.
In certain circumstances, employers are granted authorisation to employ persons as teachers who do not meet the minimum requirements for registration, but satisfy the Board they are competent to teach.
Registration Fees
The annual registration fee is currently $88.00 for one calendar year. New applicants for registration can pay for up to 3 years. Registered teachers can pay for more than one year, but not beyond their term of registration expiry date.
Number of Teachers Registered
The number of teachers registered to teach in the NT has increased by 51 in the past year.
| | June 2005 | | June 2006 | | June 2007 | | June 2008 | | June 2009 | June 2010 |
|---|---|---|---|---|---|---|---|---|---|---|
| 3992 | | 4481 | | 4572 | | 5086 | | 5462 | | |
| | June 2011 | | June 2012 | | June 2013 | | June 2014 | | June 2015 | June 2016 |
|---|---|---|---|---|---|---|---|---|---|---|
| 6151 | | 5884 | | 6014 | | 5710 | | 5751 | | |
| | June 2017 | | June 2018 | | | | | | | |
| 5521 | | 5572 | | | | | | | | |
Applications Assessed
The Office of the Board assesses applications for registration under the provisions of the Act and in compliance with the Mutual Recognition Act (Northern Territory) 1992 and the TransTasman Mutual Recognition Act 1997.
A total of 748 applications were assessed this financial year, the majority under the provision of the Mutual Recognition legislation. In assessing applications for registration, the Board was presented with 34 instances of applications categorised as being 'hard' (Schedule H). These applications require additional research and are presented to the Board case by case. One Schedule H application was not approved by the Board for Registration.
While the 34 instances are recorded in Table 2, it is the case that once granted registration by the Board, the Schedule H status changes to the relevant Schedule (A ,R or B) and therefore Table 3 is a true representation of the number of new teachers registered in 2017-18.
New Registrations
In 2017-18, there were 747 new teachers registered in the Northern Territory. The majority of Mutual Recognition (MR) applicants held registration with the Victorian Institute of Teaching. There were 61 new graduates from Charles Darwin University registered as teachers.
Profile of Teachers Registered in the Northern Territory
Of the teachers registered in the Northern Territory, there is a relatively even spread of teachers aged from 25-64, with slightly more in the 25-34 age bracket.
Registration Renewals
In 2017, there were 254 Provisionally Registered teachers who came to the completion of their first three year cycle of registration. Of these, 79 teachers did not transition to Full Registration and were granted a two year renewal ending 31 December 2019.
There were 174 fully registered teachers who came to the completion of their first five year cycle of registration on the 31 December 2017. Of these, 48 teachers did not apply to renew and their registration lapsed.
Of the 174 who applied to renew their 5 year term of registration, 167 were granted Full Registration for a further 5 years, and 7 teachers who did not meet the requirements for Full Registration were granted Provisional * (F) Registration for three years.
* The (F) after Provisional identifies that the teacher previously held Full Registration, and the pathway to return to Full Registration is streamlined.
Table 8 – Registered teachers by gender
Names Removed from the Register
Deceased teachers removed from the register 2017/2018 2
Authorisations to Employ an Unregistered Teacher
Table 10 – Authorisations granted January 2018 – June 2018
The Board may under certain circumstances, authorise an employer to employ an unregistered person as "a teacher" for a specific period not exceeding one calendar year.
There are four categories under which an employer might apply for Authority to Employ:
1. Applicants who are less than four year qualified;
3. Teach for Australia Associates and;
2. Applicants who have specialist knowledge and skills;
4. Pre-service teachers.
Between January 2017 and June 2018, 50 Teach for Australia Associates were granted Authorisation.
For the 2017 calendar year, the Board granted Authorisation to 78 people to be employed in teaching positions; of those, 35 were repeat applications for authorisation that were continued from the previous calendar year. From January to 30 June 2017, a total of 64 authorisations were granted to persons employed in teaching positions. Of this number, 33 were new applications and 31 were repeat Authorisations that were continued from the previous calendar year. The majority of Authorisations were granted to employ unregistered persons in the government sector.
Appeals
During the 2017-18 reporting period, no applicants for registration and no registered teachers have appealed a decision of the Board.
Annual Audit and Compliance
In accordance with section 78 of the Act employers are required to inform the Board of the names of all teachers employed in the employer's school during the period 1 January to 1 March. In 2018 employers were required to provide this information by 13 April.
Forty one people were noted to have been teaching unregistered or without authorisation this year compared to 37 teachers in 2017. Where no non-compliance was found, the Board acknowledged the diligence of those employers.
The Board noted that 30 instances of non-compliance were a consequence of failure to pay the annual registration fee. Where non-compliance is identified, letters are sent to relevant parties, advising them of their obligations under sections 72 and section 73 of the Act. No prosecutions were instigated.
| Sector | Employer Name |
|---|---|
| CEO | Catholic Education Office |
| GOV | Department of Education |
| IND | Good Shepherd Lutheran School |
| IND | Haileybury Rendall School (formerly Kormilda College) |
| IND | Living Waters Lutheran School |
| IND | Milkwood Steiner School |
| IND | Northern Territory Christian Schools |
| IND | Nyangatjatjara College |
| IND | St Philip’s College |
| IND | The Alice Springs Steiner School |
| IND | The Essington School |
| IND | Yipirinya School |
| IND | Yirara College |
| IND | Tiwi College |
| IND | Nawarddeken Academy |
| IND | Mapuru Yirralka College |
HIGHLY ACCOMPLISHED AND LEAD TEACHER CERTIFICATION
Certification Practices
The Board is responsible for all certification processes of Highly Accomplished and Lead Teachers as described in the Certification Guide based on the Australian Professional Standards for Teachers as a basis for making judgements at the higher career stages across Australia.
Implementation of National Certification Process
The Board is responsible for:
* Certification processes;
* Training and managing of NT nationally trained and registered assessors. The first group of NT assessors represent the Board, Department of Education, Catholic
Education, Independent Schools and Christian Schools and participated in 50 hours of national training;
* Data collection; and
* Training future assessors;
* Reporting 'completion of certification' information to Australian Government – Department of Education and Training
Cost:
An applicant pays $1825 (non-refundable). The process to be certified occurs in two stages:
* Stage 1: portfolio of annotated evidence against the Australian Professional Standards for Teachers ($925) at the Highly Accomplished or Lead teacher level
* Stage 2: Classroom observation by a trained assessor ($900).
National HALT Summit
The HALT network is the first of its kind in Australia, bringing together teachers nationally certified as Highly Accomplished or Lead against the Australian Professional Standards for Teachers.
AITSL HALT National Summit
Thirteen of the Northern Territory's certified Highly Accomplished and Lead teachers, attended the third national summit (self-funded), along with a principal from Katherine who promotes and supports teachers to achieve their certification, and the Manager Certification Teacher Registration Board of the Northern Territory.
The HALT Summit 2018 was held in Canberra on 16 and 17 March. The Summit brought together 260 nationally certified teachers from across Australia, to connect, share and develop their expertise as education leaders.
The keynote speakers at the summit were Professor Viviane Robinson from the University of Auckland; Peggy Brookins and Kristin Hamilton from the US National Board for Professional Teaching Standards; summit facilitator Dr Simon Breakspear; and AITSL chair Professor John Hattie. Peggy Brookins shared her valuable insights from a country that's also making big strides to recognise high achieving educators and cross-fertilise their expertise. Day two was highlighted by an address from renowned University of Auckland Professor Viviane Robinson.
At the sharespace session HALTs shared their ideas, initiatives, expertise and perspectives. The Summit also included jurisdictional breakout sessions – HALTs and jurisdictional representatives spent a session together. The Summit is a rare and valuable opportunity for expert educators to meet face-to-face to share their knowledge and form deeper connections that benefit all involved. Participants heard about the work of HALTs who of have engaged their colleagues with powerful initiatives that have evidence of impact in their classrooms.
National Representation
The Manager Certification at the invitation of AITSL represented the Northern Territory on the following:
2. HALT Steering Committee
1. Certifying Authority Network
3. National HALT Moderation/Quality Assurance
4. National HALT Summit 2018
Certification Process 2017-2018
Applications received 2017-2018
Fifty five (55) applications for certification have been received by the TRB NT to 30 June 2018. The application process has been streamlined and the data no longer reflects Expressions of Interest received.
Information Sessions
Eighteen (18) Highly Accomplished and Lead Teacher information sessions;
* 7 Skype sessions were delivered across the Northern Territory.
* 11 face-to-face and
Coaching
Approximately 100 hours have been spent on individual and small group coaching sessions across the Territory.
Workshops
Ten (10) professional learning workshops were conducted for applicants with a focus on the requirements of Stage 1: presentation of a portfolio of evidence of practice addressing either the highly accomplished or lead teacher standards/focus areas. The first workshop:
* Clarified processes
* Established a network of support for applicants; and
* Enhanced understanding of the Australian Professional Standards for Teachers;
* Developed network between TRB, HALT applicants
The second component of the workshops became an opportunity for applicants to work collaboratively and independently to develop annotations that enhanced quality of portfolios whilst receiving feedback from other applicants and the Manager Certification.
Current Certification
75 teachers have successfully completed the certification process in the Northern Territory as at 30 June 2018.
Certification Data
HALT Certification Data
| 2013 | | | | | | | 2014 | | | | | | | 2015 | | | | | | | 2016 | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Information | Sessions | Registrations | received | Withdrawals or | deferrals | Completions | Information | Sessions | Registrations | received | Withdrawals or | deferrals | Completions | Information | Sessions | Registrations | received | Withdrawals or | deferrals | Completions | Information | Sessions | Registrations | received | Withdrawals or | deferrals | |
| 8 | | 25 | | 0 | | 24 | 4 | | 31 | | 17 | | 12 | 0 | | 32 | | 5 | | 9 | 9 | | 54 | | 13 | | 5 |
*Stage 1 and Stage 2 assessments take place from the end of Term 3 to end Term 4. Completions also includes renewals of certification.
| 2017 | | | | | | | 2018 | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Information | Sessions | Registrations | received | Withdrawals | and/or deferrals | Completions | Information | Sessions | Registrations | received | Withdrawals | and/or deferrals | Completions |
DISCIPLINARY PROCEEDINGS
Strategic Objective
To maintain the standards of professional practice for Northern Territory teachers through a standards-based, regulatory framework that ensures only appropriately qualified, competent and fit and proper persons are employed as teachers in the Northern Territory.
Goals
* Ensure all registered teachers are made aware of their obligations under the Act.
* A robust and transparent Complaints and Inquiries procedure.
* Strengthen the capacity of the Board to obtain appropriate and timely legal advice.
* Processing disciplinary proceedings in a timely manner.
Inquiries and Preliminary Investigations
The Board is responsible for disciplinary proceedings in relation to registered teachers. It conducts Preliminary Investigations and Inquiries into allegations of a teacher's misconduct or incompetence.
An Inquiry or Preliminary Investigation may be initiated by:
* The lodging of a complaint;
* A notification from the Northern Territory Police;
* A notification from an employer;
* A notification from another teacher registration authority; or
* Information received from another source including declarations from the teacher.
In its disciplinary procedures the Board acknowledges the support provided by Solicitor for the Northern Territory (SFNT) in the Department of the Attorney-General and Justice and at times barristers from private practice as referred by SFNT.
| Number of cases carried over from previous year | 35 |
|---|---|
| Number of new cases received in the 2017 – 2018 financial year | 31 |
| | 66 |
Statistics
Complaints
| Received this financial year | 2 |
|---|---|
| Carried over | 2 |
| Dismissed without Preliminary Investigation | 0 |
| Preliminary Investigation commenced | 2 |
| Inquiry commenced | 0 |
| Registration cancelled (0), suspended (0) and/or conditions | 1 |
| imposed (1) | |
| Conditions revoked | 0 |
| Matters ongoing disciplinary process ongoing (2), conditions | |
Notifications from employer **
| Received this financial year | 18 |
|---|---|
| Carried over | 18 |
| Dismissed without Preliminary Investigation | 4 |
| Preliminary Investigation commenced | 11 |
| Inquiry commenced | 3 ** |
| Registration cancelled/disqualified (2), suspended (0) and/or | 5 |
| conditions imposed (3) | |
| Conditions revoked | 3 |
| Matters ongoing disciplinary process ongoing (18), | 23 |
| conditions ongoing (5) | |
** Matters may be received from more than one source – statistics will show these under each relevant heading.
Notification from the Northern Territory Police **
** Matters may be received from more than one source – statistics will show these under each relevant heading.
| Received this financial year | 3 |
|---|---|
| Carried over | 7 |
| Dismissed without Preliminary Investigation | 2 |
| Preliminary Investigation commenced | 1 |
| Inquiry commenced | 1 ** |
| Registration cancelled/disqualified (0) , suspended (1) and/or | 2 |
| conditions imposed (1) | |
| Conditions revoked | 0 |
| Matters ongoing disciplinary process ongoing (3), conditions | 5 |
| ongoing (2) | |
Notification from a Teacher Registration Authority
| process (0) Overseas (1) Northern Territory (2) | | |
|---|---|---|
| Carried over | 2 | |
| Dismissed without Preliminary Investigation | | 4 |
| Preliminary Investigation commenced | | 0 |
| Inquiry commenced | | 0 |
| Registration cancelled (0), refused (0), suspended (0) and/or | 0 | 0 |
| conditions imposed (0) | | |
| Conditions revoked | | 2 |
| Matters ongoing disciplinary process ongoing (0), conditions | 0 | |
| ongoing (0) | | |
Declaration from another source
| Received | 4 |
|---|---|
| Carried over | 5 |
| Dismissed without Preliminary Investigation | 2 |
| Dismissed after Preliminary Investigation | 0 |
| Preliminary Investigation commenced | 0 |
| Inquiry commenced | 1 |
| Registration cancelled (1), suspended (0) and/or conditions | 1 |
| imposed (0) | |
| Conditions revoked | 3 |
| Matters ongoing disciplinary process ongoing (1), conditions | |
Decisions appealed to Local Court
| Received | 0 |
|---|---|
| Carried over | 0 |
| Appealed by teacher | 0 |
| Appealed by complainant | 0 |
| Withdrawn | 0 |
| Board’s decision confirmed on appeal | 0 |
| Matters ongoing | 0 |
Sexual Offences
If a teacher is convicted or found guilty of a sexual offence as defined in section 68 of the Act, the teacher's registration must be cancelled from the date of the conviction or finding of guilt under the provisions of section 69 of the Act. An Inquiry Committee may place the Inquiry on hold until the outcome of the criminal proceedings in relation to a sexual offence is known.
Statutory Rights and Responsibilities
The Board will continue to promote compliance and engagement to ensure teachers and employers are aware of their statutory rights and responsibilities.
Inquiries
In circumstances where the Board decides to hold an Inquiry, it must appoint an Inquiry Committee to conduct the Inquiry. The Inquiry Committee must comprise a chairperson (legal practitioner who has practised as a legal practitioner in Australia for at least five years) and two members of the Board. During the financial year the Board commenced 3 Inquiries and four Inquiry hearings were held. This financial year, the Board was ably assisted by Ms Georgia McMaster, Magayamirr Chambers, Lyma Nguyen, William Forster Chambers and Stephanie Monck from SFNT.
The following Board members have represented the Board on at least one Inquiry Committee this financial year:
* Karen Blanchfield
* Steve Carter
* Yvonne Patterson
* Claire Bartlett
* Elsabe Bott
* Lorraine Hodgson
APPENDIX
Acronyms and abbreviations
AEU
Australian Education Union
AISNT
Association of Independent Schools of the Northern Territory
AITSL
Australian Institute of Teaching and School Leadership
ANTSEL Association of Northern Territory School Educational Leaders
ATRA
Australasian Teacher Regulatory Authorities
NESA
NSW Education Standards Authority
CDU
Charles Darwin University
CEO
Catholic Education Office
COGSO Council of Government School Organisations
DoE
Department of Education
HALT
Highly Accomplished and Lead Teacher
LANTITE
Literacy and Numeracy Test for Initial Teacher Education
NT
Northern Territory
NTCSA
Northern Territory Christian Schools Association
NTG
Northern Territory Government
NTOEC
Northern Territory Open Education Centre
NTPA
Northern Territory Principals Association
NTPS
Northern Territory Public Sector
TEMAG
Teacher Education Ministerial Advisory Group
The Act
Teacher Registration (Northern Territory) Act
The Board Teacher Registration Board
TRB
Teacher Registration Board
QLD
Queensland
Teacher Registration Board of the Northern Territory
|
On appeal from: [2011] EWCA Civ 806
JUDGMENT
Jessy Saint Prix (Appellant) v Secretary of State for Work and Pensions (Respondent)
before
Lord Neuberger, President
Lady Hale
Lord Mance
Lord Kerr
Lord Reed
JUDGMENT GIVEN ON
31 October 2012
Heard on 15 October 2012
Intervener (The Aire
Centre) Jemima Stratford QC Charles Banner (Instructed by Freshfields Bruckhaus Deringer LLP)
LADY HALE (with whom Lord Neuberger, Lord Mance, Lord Kerr and Lord Reed agree)
1. The issue in this case is whether a woman who has temporarily left work because of the late stages of pregnancy and early aftermath of childbirth is to be treated as a 'worker' for the purpose of the right of free movement enshrined in article 45 of the Treaty on the Functioning of the European Union (TFEU) and more specifically the right of residence conferred by Article 7 of Directive 2004/38/EC of the European Parliament and of the Council on the right of citizens of the Union and their family members to move and reside freely within the territory of the Member States (the Citizenship Directive). Upon this depends her entitlement to income support, a non-contributory, means-tested benefit. Under UK domestic law, a pregnant woman within 11 weeks of her expected date of confinement is not required to be available for, or actively to seek, work. However, a national of another EU state will be excluded as a 'person from abroad' unless, in this case, she falls within Article 7.
The facts
2. The claimant is a Frenchwoman (and qualified teacher) who came to the United Kingdom on 10 July 2006. She worked in various jobs, mostly as a teaching assistant, from 1 September 2006 until 1 August 2007. She then enrolled on a Post-Graduate Certificate in Education course in the University of London, the envisaged period of study being from 17 September 2007 until 27 June 2008. She became pregnant with an expected date of confinement of 2 June 2008. She therefore withdrew from her course as of 1 February 2008. She undertook agency work from 22 January 2008, hoping to find work in secondary schools. As none was available, she took agency positions working in nursery schools. By 12 March 2008, when she was nearly six months' pregnant, the demands of caring for nursery school children became too strenuous and she stopped this work. She looked for lighter work for a few days but none was available. On 18 March 2008, she made a claim for income support. Her evidence is that, as it was now 11 weeks before her expected date of confinement, she was advised by her general practitioner to do so. On 4 May 2008, the Secretary of State refused her claim. Her baby was born prematurely on 21 May 2008 and she returned to work three months later.
3. On 4 September 2008, the First Tier Tribunal allowed the claimant's appeal against the refusal of income support. But on 7 May 2010, the Upper Tribunal allowed the appeal of the Secretary of State. On 13 July 2011, the Court of Appeal dismissed the claimant's appeal: see [2011] EWCA Civ 806. She now appeals to the Supreme Court of the United Kingdom.
Relevant domestic law
4. The relevant domestic legislation is complex. By virtue of regulation 4ZA of and paragraph 14 of Schedule 1B to the Income Support (General) Regulations 1987 (SI 1987/1967), a 'woman who . . . is or has been pregnant but only for the period commencing 11 weeks before her expected week of confinement and ending fifteen weeks after the date on which her pregnancy ends' falls within a 'prescribed category of person' for the purpose of section 124(1)(e) of the Social Security Contributions and Benefits Act 1992 and is thus eligible for income support. Unlike the closely related Jobseeker's Allowance, there is no requirement for such a person to be available for work or actively seeking employment. A pregnant woman who is available for or actively seeking work may claim Jobseeker's Allowance until six weeks before her expected date of confinement, but from then until two weeks after she ceases to be pregnant, she is deemed incapable of work and so cannot do so: see regulation 14 of the Social Security (Incapacity for Work) (General) Regulations 1995. Thus without other sources of income (including stutory maternity pay and other social security benefits for which some but not all pregnant women are eligible) she will be left destitute unless income support is available.
5. However, a 'person from abroad' is effectively excluded from entitlement to income support because the 'applicable amount' prescribed for such a person is 'nil': see the 1992 Act, section 124(1)(b) and paragraph 17 of Schedule 7 to the 1987 Regulations. Regulation 21AA of those Regulations tells us what a 'person from abroad' means. By regulation 21AA(1), it means 'a claimant who is not habitually resident in the United Kingdom . . .' By regulation 21AA(2), 'No claimant shall be treated as habitually resident in the United Kingdom . . . unless he has a right to reside in . . . the United Kingdom . . .' This is subject to various exclusions in regulation 21AA(3) which do not concern us. However, by regulation 21AA(4):
'A claimant is not a person from abroad if he is –
(a) a worker for the purposes of Council Directive No 2004/38/EC;
(b) a self-employed person for the purposes of that Directive;
(c) a person who retains a status referred to in sub-paragraph (a) or (b) pursuant to article 7(3) of that Directive;
(d) a person who is a family member of a person referred to in subparagraph (a), (b) or (c) within the meaning of article 2 of that Directive;
(e) a person who has a right to reside permanently in the United Kingdom by virtue of Article 17 of that Directive.'
Thus EU citizens who are 'workers' in the United Kingdom within the meaning of EU law are put in the same position as habitually resident citizens of the UK for the purpose of entitlement to income support (and indeed other benefits, such as housing benefit and child benefit, to which it is the passport or which have a similar rule of entitlement).
European Union law
6. The relevant provisions of European Union law are article 45 of the TFEU and Article 7 of the Citizenship Directive. Article 45 enshrines the principle of freedom of movement for workers and requires 'the abolition of any discrimination based on nationality between workers of the Member States as regards employment, remuneration and other conditions of work and employment'. Neither Article 45 TFEU nor Article 7 of the Directive defines 'worker'. The central issue in this case is whether a pregnant woman who temporarily gives up work because of her pregnancy remains a 'worker' for this purpose.
7. Article 7 of the Citizenship Directive, so far as relevant, provides as follows:
'1. All Union citizens shall have the right of residence on the territory of another Member State for a period of longer than three months if they:
(a) are workers or self-employed persons in the host Member state; . . .
3. For the purposes of paragraph 1(a), a Union citizen who is no longer a worker or self-employed person shall retain the status of worker or self-employed person in the following circumstances:
(a) he/she is temporarily unable to work as the result of an illness or accident;
(b) he/she is in duly recorded involuntary unemployment after having been employed for more than one year and has registered as a job-seeker with the relevant employment office;
(c) he/she is in duly recorded involuntary unemployment after completing a fixed-term employment contract of less than a year or after having become involuntarily unemployed during the first twelve months and has registered as a job-seeker with the relevant employment office. In this case the status of worker shall be retained for no less than six months;
(d) he/she embarks on vocational training. Unless he/she is involuntarily unemployed, the retention of the status of worker shall require the training to be related to the previous employment.'
It is noted that not all of the persons covered by Article 7(3) will be involuntarily unemployed or unable to work.
8. Reference was also made in the course of argument to Articles 16(3) and 24. Article 16(3) provides that the continuity of residence required to obtain the right of permanent residence in the host Member State is not affected by a temporary absence of up to twelve months for important reasons 'such as pregnancy and childbirth, serious illness, study or vocational training'.
9. Article 24(1) requires that 'Subject to such specific provisions as are expressly provided for in the Treaty and secondary law, all Union citizens residing on the basis of this Directive in the territory of the host Member State shall enjoy equal treatment with the nationals of that Member State within the scope of the Treaty'.
10. It is common ground between the parties that the term 'worker' includes (i) a person who currently has a contract of employment with an employer, but who is on paid or unpaid maternity leave; and (ii) in certain circumstances, a person who does not currently have a contract of employment but is actively seeking work in the host country: see R v Immigration Appeal Tribunal, Ex p Antonissen (Case C292/89) [1991] ECR I-745. It is also common ground between the parties that the claimant does not fall within any of the categories of person specified in Article 7(3) who are to 'retain the status' of worker for the purpose of Article 7(1)(a). In particular, although she had understandable reasons for not continuing to work or look for work, there is no finding that she was in fact unable to do work of any kind, nor would such inability have been the result of 'illness or accident'. Pregnancy on its own is not an illness: Webb v EMO Air Cargo (UK) Ltd (Case C32/93) [1994] ECR I- 3567.
11. The claimant, with the support of the AIRE (Advice on Individual Rights in Europe) Centre, submits that an EU citizen who travels to another Member State in order to work there, does work there, but temporarily ceases work owing to the demands of pregnancy, remains a 'worker'. They rely upon the long-standing and well-settled approach of the CJEU giving a broad and purposive interpretation to the term 'worker' having regard to social as well as economic considerations. Examples given are Levin v Secretary of State for Justice (Case 53/81) [1982] ECR 1035, at para 13; Kempf v Staatssecretaris van Justitie (Case 139/85) [1986] ECR 1741, at para 13; Lair v Universität Hannover (Case 39/86) [1988] ECR 3161; Antonissen, above; and Orfanopoulos v Land Baden-Württemberg (Joined Cases C-482/01 and C-493/01) [2004] ECR I-5257. In Lair, in particular, at para 31, the Court observed that 'the rights guaranteed to migrant workers do not necessarily depend on the actual or continuing existence of an employment relationship'. In Ninni-Orasche v Bundesminister für Wissenschaft, Verkehr under Kunst (Case C-413/01) [2003] ECR I-13187, it was held that a person might retain her 'worker' status after the ending of a fixed-term contract.
12. Furthermore, they argue that the Court has on a number of occasions given significant weight to the prospect of EU citizens being deterred from exercising their free movement rights if these are too narrowly interpreted: examples are R v Immigration Appeal Tribunal and Surinder Singh, Ex p Secretary of State for the Home Department (Case C-370/90) [1992] ECR I-4265 and Metock v Minister for Justice, Equality and Law Reform (Case C-127/08) [2009] QB 318. If a pregnant woman loses the status of 'worker' she may also lose her right to reside in the host state (there is even a risk that she might be threatened with removal). It would be a substantial deterrent to the free movement of female workers if they were faced with the prospect of being left destitute, and threatened with removal to their home country, should they become pregnant and temporarily give up work in the later stages of pregnancy. After all, there comes a point in any pregnancy where a woman has to give up actual work for a short while just in order to give birth, but she will not fall within the literal wording of article 7(3)(a).
13. It is argued that it would be wrong to place decisive weight on the continuation of a contract of employment in such circumstances. In CIS/1042/2008, the Secretary of State conceded to the Social Security Commissioner that a self-employed woman who takes a break for reasons of maternity remains a 'self-employed person' for the purpose of Article 7. It would be particularly unjust if a woman who is wrongfully dismissed from her employment because of her pregnancy, which is contrary to both EU and domestic law, loses her character as a worker unless she registers as a job-seeker. There is, it is said, no logical basis for treating an agency worker without the protection of maternity leave differently from an employee who takes maternity leave or a selfemployed woman who gives herself a break. None of them has left the labour market in any permanent sense.
14. Further, it would be anomalous if a pregnant woman who gave up work and returned to her home country for up to a year did not lose her continuity of residence for the purpose of Article 16, while a pregnant woman who gave up work for up to six months but remained in the host country would do so. The latter retains a significantly closer connection with the host country but would have to start her qualifying period of residence all over again.
15. The Secretary of State, on the other hand, points to the mention of codification of existing Community instruments in recital (3) to the Directive. He argues that Article 7 was intended to be a codification of the existing law. Thus 'worker' in Article 7(1) should be taken to have the meaning that it had acquired in 2004 and Article 7(3) is an exhaustive list of the people who then fell outside that meaning but were nevertheless to be treated as if they were workers. The fact that a person might have good reasons for giving up work or looking for work for a while does not mean that he or she retains the status of worker.
16. In support of that proposition he relies, in particular, on Secretary of State for Work and Pensions v Dias [2009] EWCA Civ 807, [2010] 1 CMLR 112; (Case C-325/09) [2011] 3 CMLR 1103. According both to the English Court of Appeal and to the Advocate-General's opinion, endorsed by the Court, the status of worker was lost when, at the end of her period of maternity leave, a mother decided not to return to work but to continue to care for her son, albeit that she might return to work in the future. This was consistent with the decision in Johnson v Chief Adjudication Officer (Case C-31/90) [1991] ECR I-3723 that a mother was not a member of the 'working population' when devoting herself to looking after her children. Leaving because of the late stages of pregnancy, it is argued, is no different from leaving to take care of a child.
17. The Secretary of State further submits that the claimant's case leaves it uncertain whether and for how long a pregnant women who has no continuing employment contract and is not self-employed remains a 'worker' and points out that some women, once pregnant, may never return or intend to return to work. The claimant in response submits that, on the analogy with maternity leave, she should be regarded as a worker for the period during which national law regards it as reasonable that she be absent from work because of the late stages of pregnancy and the immediate aftermath of childbirth, that is for up to 11 weeks before her expected date of confinement and up to 15 weeks after the pregnancy ends (see paragraph 4 above).
18. Both parties rely upon the Court's statement in Martinez Sala v Freistaat Bayern (Case C-85/96) [1998] ECR I-2691, at para 32: 'Once the employment relationship has ended, the person concerned as a rule loses his status of worker, although that status may produce certain effects after the relationship has ended, and a person who is genuinely seeking work must also be classified as a worker'. The Secretary of State argues that that encapsulates the meaning of 'worker', characterised by the continuation of an employment relationship or by genuinely seeking work. The claimant argues that 'as a rule' indicates that other analogous situations are not excluded and this is such an one.
19. The claimant makes a separate but related argument, that if Article 7 were not to encompass the situation under discussion, this would constitute direct discrimination against women and be therefore contrary to the fundamental principle of equal treatment. It is well-established that, where pregnancy is the ground for less favourable treatment, there is no need to identify a male comparator: see Webb v EMO Air Cargo (UK) Ltd [1994ECR I-3567. This goes further than saying that inability to work because of pregnancy should be equated with inability to work for other reasons. As the Advocate-General said in that case, at para AG 14,
'Nor does it seem to me to be possible a fortiori to draw comparisons . . . between a woman on maternity leave and a man unable to work because, for example, he has to take part in a sporting event, even if it were the Olympic Games. Other considerations apart, a sportsman, even a champion (whether a man or a woman) is confronted with a normal choice reflecting his needs and priorities in life; the same cannot reasonably be said of a pregnant woman, unless the view is taken – but it would be absurd – that a woman who wishes to keep her job always has the option of not having children.'
Pregnancy is not just a lifestyle choice. Equal treatment encompasses the reasonable response of a working woman to the physical demands and limitations of late pregnancy and childbirth. UK law gives sensible recognition to these, not only for the sake of the mother but also for the sake of her child, by not requiring that she seek or be available for work from 11 weeks before the expected date of confinement until 15 weeks after her pregnancy has ended (whether with a live or a still birth). Excluding a woman who makes that choice from the right of residence which she would have retained had she not become pregnant is, it is argued, direct discrimination on grounds of sex.
20. The Secretary of State argues that there is no sex discrimination. The claimant was refused income support because she does not have a right to reside in the UK as required by regulation 21AA(2) or Article 7 of the Citizenship Directive. Any discrimination is on grounds of her nationality and, as the Supreme Court held in Patmalniece v Secretary of State for Work and Pensions [2011] UKSC 11, [2011] 1 WLR 783, is indirect and justified. In any event, even if it were sex discrimination, this would not constitute a ground for the Court of Justice to strike down Article 7, which is plainly lawful as far as it goes. If there is a lacuna, it is for the EU legislature to rectify.
The Court's view
21. The Supreme Court is not persuaded that the case of either side is acte clair. We believe it likely that the Council and Parliament did think, when enacting the Citizenship Directive, that the Directive was codifying the law as it then stood. But we are not persuaded that in doing so it was precluding further elaboration of the concept of 'worker' to fit situations as yet not envisaged. The Court has developed the concept of EU citizenship in a number of ways: see, for example, Collins v Secretary of State for Work and Pensions [2004] ECR I-2703. We are further conscious that pregnancy and the immediate aftermath of childbirth are a special case. Equal treatment of men and women is one of the foundational principles of EU law. Only women can become pregnant and bear children. Thus in this respect they cannot be compared to men. Pregnancy is not to be equated with illness or disability. But unless special account is taken of pregnancy and childbirth, women will suffer comparative disadvantage in the workplace. There are also good reasons in health and social policy for allowing women to take a reasonable period of maternity leave without losing the advantages attached to their status as workers. This is different from leaving the workforce in order to look after children. Both men and women may do this and there is no sex discrimination involved in denying them both the status of worker for the time being. We do not see the sex discrimination argument as invalidating Article 7, but as indicating that it would be consistent with the fundamental general principles of EU law for the Court to develop the concept of 'worker' to meet this particular situation.
The questions referred
22. Hence we refer the following questions to the CJEU:
1. Is the right of residence conferred upon a 'worker' in Article 7 of the Citizenship Directive to be interpreted as applying only to those (i) in an existing employment relationship, (ii) (at least in some circumstances) seeking work, or (iii) covered by the extensions in article 7(3), or is the Article to be interpreted as not precluding the recognition of further persons who remain 'workers' for this purpose?
2. (i) If the latter, does it extend to a woman who reasonably gives up work, or seeking work, because of the physical constraints of the late stages of pregnancy (and the aftermath of childbirth)?
(ii) If so, is she entitled to the benefit of the national law's definition of when it is reasonable for her to do so?
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CESTRUM NOCTURNUM (L) A PROSPECTIVE PISCICIDE FOR CONTROL OF PREDATORY FISH CHANNA PUNCTATUS (BLOCH.).
Jawale C. S.*, Vinchurkar A. S., Dama L. B.***, Pawar Kishor****, Dama S.B. # and Shaikh Yasmeen ##
*Department of Zoology, HPT Arts and RYK Science College, Nashik-422005, Maharashtra, India. **Joint Director, Higher Education (Maharashtra State), Solapur Region, Solapur ***Department of Zoology, D. B. F. Dayanand College of Arts and Science, Solapur-413002, Maharashtra, India. ****Department of Zoology, KSKW Arts and Science College, Nashik-422001, Maharashtra, India. # Department of Zoology, Dr. B. Ambedkar, Marathwada University, Aurangabad, Maharashtra, India. ## Department of Zoology, Dr. Rafiq Zakaria College for Women, Navkhanda, Jubilee Park, Aurangabad (M.S.), India (*E-Mail- email@example.com)
ABSTRACT
Piscicidal activity of methanolic extract of Cestrum nocturnum leaves against predatory fish Channa punctatus and their behavioural changes were investigated. C. nocturnum leaves extract shows the remarkable piscicidal activity. It shows there was significant negative correlation between LC50 values and exposure periods when observed till 72 hr. During the toxicity experiment the fish shows the behavioral changes such as suffocation, rapid movement, and spiraling and convulsion period to death. Piscicidal activities show their dependence with concentration and time. This piscicidal activity may be due to their adverse effect on respiratory as well as energy production of fish. During bioassay experiments, a phenomenon of recovery was observed in stupefied fishes when fishes were shifted to untreated water after showing a partial symptom of death at LC100 dose. This indicates the tolerance and detoxifying capacity of fish to toxic principal. This nature of the fish stupefying property of C. nocturnum extracts could be advantageous in aquaculture for fish catching and releasing into new isolated site.
KEY WORDS: Cestrum nocturnum, Channa punctatus, Fish behavior, Piscicide
INTRODUCTION
The presence of predatory and weed fishes in cultured pond is a serious problem for culturing edible freshwater fishes. These fishes adversely affect the cultured fish population by sharing food and habitat of major cultivated carps. C. punctatus is the common predatory fish which have low food value and due to predatory nature, they engulf the fingerlings of cultured carp at several stages of their rearing (Jhingran, 1975), thus adversely affect the cultured carp production and put a great loss to the fish farmer. For eliminating unwanted population of C. punctatus from cultured ponds, fish farmers made several efforts, by using of synthetic pesticides (Marking, 1992). Due to their long term persistence in the water and fish body, they adversely affect both the quality of fish and their status (Cullen and Connell, 1992). A better alternative for these harmful synthetic piscicides is environmentally safe plant origin piscicides which are less expensive, biodegradable, readily available, easy to handle and safe to mankind and environment (Marston and Hostettmann, 1985; Singh et al., 2010). The C. nocturnum also showed Larvicidal Activity on Aedes aegypti (Jawale et al., 2010); it is also showed insecticidal activity against Tribolium castaneum and Tribolium confusum (Jawale and Dama, 2010).
A large number of plants belonging to different families (Kulakkattolickal, 1989) and their products (Bhatia, 1970) have been used for controlling unwanted fish population not only in India but also all over world (Chiayvareesajja et al., 1987; Jawale and Dama, 2010). The toxicity of plant extract to the freshwater fish has been studied by number of investigators (Bhatta and Sing, 1985; Bhatta et al., 1987; Bhatta and Farswam, 1992). But the piscicidal activity and degradation property of Cestrum nocturnum on the freshwater fish are studied rarely (Patil and Jawale, 2002). Hence, the present paper deals with the piscicidal activities of methanolic extract of C. nocturnum leaves on the common air breathing predatory fish C. punctatus.
MATERIALS AND METHODS
Green tendered and well developed plant leaves were collected from the gardens in Nashik (Maharashtra) and were air dried in a shady place to retain their active ingredients intact. Dried leaves were powdered in a table model grinder for extraction. Powdered leaves (500 gm) were socked in methanol in airtight wide mouth bottle and kept for 7 days. After that, the cold extract from the bottles along with methanol was filtered. Around 4.2 gm dried hydroscopic extract was obtained. It was kept in the desiccators until assayed. Dried extract was used for toxicological testing. Stock solution was prepared by dissolving plant extract (1gm) in (1lit) distilled water to make its strength 1000 ppm. Different concentrations were prepared by adding a required dose of stock solution in water.
Fish Channa punctatus 12.5 (2.5) g body weight, length, 10.1 (0.15) cm were collected from the river. They were brought to laboratory and maintained separately in glass aquariums under controlled laboratory conditions (2720C and 755% RH; 16 h day light) for 7 days with optimum aeration. Piscicidal activity was carried out by acute static bioassay
of various ppm concentration of alcoholic extract as per the protocol given in APHA (1989). The fishes were exposed for 24, 48, 72 hours at different concentration of extract. Mortality was recorded at every 24 hr. up to 72 hr. exposure period. Fishes were considered dead if they failed to respond to a stimulus provided with glass rod. The recorded mortality data was used to calculate the LC50 values, upper and lower confidence limits, slope function and regression results according to probit log method (Finney, 1971). During toxicity experiments the LC100 dose for 24 hr. was used to study, recovery phenomenon in fishes. After releasing 10 fishes in the treated water, they show convulsion and immobilize phase before complete death at around 5-6 hr. of toxicity. After obtaining 30% mortality all remaining fishes were transferred to untreated water. Survival was observed for next 72 hrs. Experiment was performed in triplicate to verify the observations.
RESULTS
The acute toxicity studies of leaves extract of C. nocturnum were determined at different time intervals and presented in table 1. There was a significant negative correlation between LC50 values and exposure periods i.e. LC50 values decreased from i.e., 24 to 72 hr. If exposure periods increase the LC50 values decreases 46.44 ppm (24 hr) > 40.32 ppm (48 hr) > 30.13 (72 hr). The toxicity study shows the overall picture of test progress and indicates that the rate of mortality increased with increasing concentration of plant extract in a linear fashion.
Table 1. LC50 values and regression equation results for C. punctatus treated with C. nocturnum extract.
| Exposure period in hours | LC in ppm 50 | Regression equation |
|---|---|---|
| 24 | 46.44 | Y= 0.0972 X + 0.0093 |
| 48 | 40.32 | Y= 0.1002 X - 0.001 |
Y mortality rate, x concentrations
During acute toxicity studies of exposures to methanol extract of C. nocturnum leaves caused significant behavioural changes in the predatory fish C. punctatus. When fishes were kept in toxic medium, they dart in all directions, breathing rapidly, held mouth wide open and kept the fines stretched laterally. After 2-3 min, restlessness subside, this brief initial period of restlessness may not be mistaken as symptoms of poisoning, later the fish settled quietly at the bottom, the first symptoms of loss of sensitivity (response) was characterizes by raising of the fins, subsequently a rigorous, spasmic and mostly superficial movements of the fins and rapid respiration was observed. Often the mouth was partially closed and slight twitching of the jaws was discernable. After the laps of 10-15 hrs there is a discharge of mucus through the gills and a mucus layer was formed on eyes and all over the body. Fish remain in the state of exhaust, and stupefaction. They did not respond to external stimulus and remained diagonally suspended in the water. In the last hours of exposure there was loss of body equilibrium and fish shows turning over the back, lastly attempts were made to avoid the toxic medium by jerky swimming, jumping out of the water, accelerated and arrhythmic respiration, but slowly the movements were staggered, mouth is slightly opened, fins and tail become rigid, total dullness in the eyes and body colour become totally lifeless. Finally fish died with rigor mortis in curved formed. In recovery experiments all fishes after showing initial symptoms of poisoning were transferred to fresh untreated water. They shows profuse mucus secretion and darkening of body colour, reduced hyper movements, finally all poisoning symptoms subside and fishes looks normal. All 70% fishes survived without any mortality.
DISCUSSION
The toxicity data of the present study indicate that the significant positive correlation between dose and mortality. It may be due to increased concentration of extract in aquarium water and resulted in more intake or entry of active moieties in the fish body. There is no significant different between observed and expected mortality. Since calculated chi-square values are less than the table chi-square value. Thus, it is expected that extracts of C. nocturnum plant will be a useful indigenous natural product for killing predatory fish in fish and shrimp farms.
Toxicity experiments showed that methanol extract of C. nocturnum leaves, caused significant behavioural changes in fish C. punctatus. In the present study the abnormal behaviour of the fish may be due to suffocation, leading into forceful respiration efforts. Various Phytochemists reported the presence of saponin in Cestrum species (Karowya, 1971; Riaz and Chaudhari, 1993; Viqar et al 1993; Haraguchi et al., 1999.) and saponin is well documented for its destructive action on the respiratory surfaces of aquatic organism (Marston and Hostettmann, 1991; Hostettmann and Marston 1995; Chaieb et al., 2007).
The initial increase in opercular movement and rigorous swimming can be taken as index of the suffocation stress felt by the fish exposed to plant extract. Subsequent increase secretion of mucus may be to prevent excess entry of extract
molecule present in the medium to minimize damage to gill epithelium (Gill et al 1991) similar behavioural responses were also observed in plant extract exposed fishes (Goodmann et al., 1985). Recently, Shaikh et al., (2012) observed Behavioural changes of fresh water bivalve molluscs Lamellidens marginalis due to acute toxicity of cadmium. During recovery experiment, fish survival may be due to rapid detoxification of toxic principle entered in the blood stream; simultaneously excess mucus secretion may help in healing of respiratory surface and facilitate the gas exchange through the body surface (Tiwari and Singh 2005). This experiment also indicates the local action of the phytotoxicant, and it may not be of kind of neurotoxic or accumulating type of poison. This property of phytotoxicant is at most importance in the recapturing aspect in aquaculture. Although long term toxic effect has to be studied further to establish its commercial use. Thus, there is a potential for using leaves extract of C. nocturnum for killing predatory fish in freshwater aquaculture. However, the effective concentration must be determined against the predatory airbreathing fishes such as Clarias sp., Channa sp, and Anabas testudineus that are generally more tolerant to toxicants than other fishes. The demand for good piscicides (cheap, efficient and safe for consumers) has increased with the further expansion of aquaculture.
The control and eradication of unwanted fishes in the pond requires the use of effective piscicides (Konar, 1973). Dama et al., (2000). Investigated to control of the helminthiasis vector snail Lymnaea auricularia by fresh water fish, Clarius batrachus. Most of the fish farmers report to the use of chemical piscicides that prove to be very effective although these chemicals are rather dangerous to the environment and can do more harm than good. Alternative piscicides that are not hazardous to the environment and have shorter residual effects must be used. The results of the study showed that locally available plants to be used as piscicide which can be an alternative to harmful chemical piscicides that can be widely used today to eradicate unwanted fishes in the ponds. Further studies are undertaken to evaluate the toxicity of this extract on the commercially important fishes. Isolation, purification and characterization of piscicidal principal from the C. nocturnum are in progress.
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Neural Network Models for Paraphrase Identification, Semantic Textual Similarity, Natural Language Inference, and Question Answering
Wuwei Lan and Wei Xu
Department of Computer Science and Engineering Ohio State University
{lan.105, email@example.com
Abstract
In this paper, we analyze several neural network designs (and their variations) for sentence pair modeling and compare their performance extensively across eight datasets, including paraphrase identification, semantic textual similarity, natural language inference, and question answering tasks. Although most of these models have claimed state-of-the-art performance, the original papers often reported on only one or two selected datasets. We provide a systematic study and show that (i) encoding contextual information by LSTM and inter-sentence interactions are critical, (ii) Tree-LSTM does not help as much as previously claimed but surprisingly improves performance on Twitter datasets, (iii) the Enhanced Sequential Inference Model (Chen et al., 2017) is the best so far for larger datasets, while the Pairwise Word Interaction Model (He and Lin, 2016) achieves the best performance when less data is available. We release our implementations as an open-source toolkit.
1 Introduction
Sentence pair modeling is a fundamental technique underlying many NLP tasks, including the following:
* Semantic Textual Similarity (STS), which measures the degree of equivalence in the underlying semantics of paired snippets of text (Agirre et al., 2016).
* Paraphrase Identification (PI), which identifies whether two sentences express the same meaning (Dolan and Brockett, 2005; Xu et al., 2014; Xu et al., 2015).
* Natural Language Inference (NLI), also known as recognizing textual entailment (RTE), which concerns whether a hypothesis can be inferred from a premise, requiring understanding of the semantic similarity between the hypothesis and the premise (Dagan et al., 2006; Bowman et al., 2015).
* Question Answering (QA), which can be approximated as ranking candidate answer sentences or phrases based on their similarity to the original question (Yang et al., 2015).
* Machine Comprehension (MC), which requires sentence matching between a passage and a question, pointing out the text region that contains the answer. (Rajpurkar et al., 2016).
Traditionally, researchers had to develop different methods specific for each task. Now neural networks can perform all the above tasks with the same architecture by training end to end. Various neural models (He and Lin, 2016; Chen et al., 2017; Parikh et al., 2016; Wieting et al., 2016; Tomar et al., 2017; Wang et al., 2017; Shen et al., 2017a; Yin et al., 2016) have declared state-of-the-art results for sentence pair modeling tasks; however, they were carefully designed and evaluated on selected (often one or two) datasets that can demonstrate the superiority of the model. The research questions are as follows: Do they perform well on other tasks and datasets? How much performance gain is due to certain system design choices and hyperparameter optimizations?
To answer these questions and better understand different network designs, we systematically analyze and compare the state-of-the-art neural models across multiple tasks and multiple domains. Namely, we implement five models and their variations on the same PyTorch platform: InferSent model (Conneau et al., 2017), Shortcut-stacked Sentence Encoder Model (Nie and Bansal, 2017), Pairwise Word Interaction Model (He and Lin, 2016), Decomposable Attention Model (Parikh et al., 2016), and Enhanced Sequential Inference Model (Chen et al., 2017). They are representative of the two most common approaches: sentence encoding models that learn vector representations of individual sentences and then calculate the semantic relationship between sentences based on vector distance and sentence pair interaction models that use some sorts of word alignment mechanisms (e.g., attention) then aggregate inter-sentence interactions. We focus on identifying important network designs and present a series of findings with quantitative measurements and in-depth analyses, including (i) incorporating inter-sentence interactions is critical; (ii) Tree-LSTM does not help as much as previously claimed but surprisingly improves performance on Twitter data; (iii) Enhanced Sequential Inference Model has the most consistent high performance for larger datasets, while Pairwise Word Interaction Model performs better on smaller datasets and Shortcut-Stacked Sentence Encoder Model is the best performaning model on the Quora corpus. We release our implementations as a toolkit to the research community. 1
2 General Framework for Sentence Pair Modeling
Various neural networks have been proposed for sentence pair modeling, all of which fall into two types of approaches. The sentence encoding approach encodes each sentence into a fixed-length vector and then computes sentence similarity directly. The model of this type has advantages in the simplicity of the network design and generalization to other NLP tasks. The sentence pair interaction approach takes word alignment and interactions between the sentence pair into account and often show better performance when trained on in-domain data. Here we outline the two types of neural networks under the same general framework:
* The Input Embedding Layer takes vector representations of words as input, where pretrained word embeddings are most commonly used, e.g. GloVe (Pennington et al., 2014) or Word2vec (Mikolov et al., 2013). Some work used embeddings specially trained on phrase or sentence pairs that are paraphrases (Wieting and Gimpel, 2017; Tomar et al., 2017); some used subword embeddings, which showed improvement on social media data (Lan and Xu, 2018).
* The Context Encoding Layer incorporates word context and sequence order into modeling for better vector representation. This layer often uses CNN (He et al., 2015), LSTM (Chen et al., 2017), recursive neural network (Socher et al., 2011), or highway network (Gong et al., 2017). The sentence encoding type of model will stop at this step, and directly use the encoded vectors to compute the semantic similarity through vector distances and/or the output classification layer.
* The Interaction and Attention Layer calculates word pair (or n-gram pair) interactions using the outputs of the encoding layer. This is the key component for the interaction-aggregation type of model. In the PWIM model (He and Lin, 2016), the interactions are calculated by cosine similarity, Euclidean distance, and the dot product of the vectors. Various models put different weights on different interactions, primarily simulating the word alignment between two sentences. The alignment information is useful for sentence pair modeling because the semantic relation between two sentences depends largely on the relations of aligned chunks as shown in the SemEval-2016 task of interpretable semantic textual similarity (Agirre et al., 2016).
* The Output Classification Layer adapts CNN or MLP to extract semantic-level features on the attentive alignment and applies softmax function to predict probability for each class.
3 Representative Models for Sentence Pair Modeling
Table 1 gives a summary of typical models for sentence pair modeling in recent years. In particular, we investigate five models in depth: two are representative of the sentence encoding type of model, and three are representative of the interaction-aggregation type of model. These models have reported state-or-the-art results with varied architecture design (this section) and implementation details (Section 4.2).
Table 1: Summary of representative neural models for sentence pair modeling. The upper half contains sentence encoding models, and the lower half contains sentence pair interaction models.
Figure 1: Sentence encoding models focus on learning vector representations of individual sentences and then calculate the semantic relationship between sentences based on vector distance.
(a) InferSent
(b) SSE
(c) Classification Layer
3.1 The Bi-LSTM Max-pooling Network (InferSent)
We choose the simple Bi-LSTM max-pooling network from InferSent (Conneau et al., 2017):
where ←→ h i represents the concatenation of hidden states in both directons. It has shown better transfer learning capabilities than several other sentence embedding models, including SkipThought (Kiros et al., 2015) and FastSent (Hill et al., 2016), when trained on the natural language inference datasets.
3.2 The Shortcut-Stacked Sentence Encoder Model (SSE)
The Shortcut-Stacked Sentence Encoder model (Nie and Bansal, 2017) is a sentence-based embedding model, which enhances multi-layer Bi-LSTM with skip connection to avoid training error accumulation, and calculates each layer as follows:
where x k i is the input of the k th Bi-LSTM layer at time step i , which is the combination of outputs from all previous layers, ←→ h k i represents the hidden state of the k th Bi-LSTM layer in both directions. The final sentence embedding v is the row-based max pooling over the output of the last Bi-LSTM layer, where n denotes the number of words within a sentence and m is the number of Bi-LSTM layers (m = 3 in SSE).
3.3 The Pairwise Word Interaction Model (PWIM)
In the Pairwise Word Interaction model (He and Lin, 2016), each word vector wi is encoded with context through forward and backward LSTMs: −→ h i = LSTM f (wi, −→ h i−1) and ←− h i = LSTM b (wi, ←− h i+1). For every word pair (w a i , w b j ) across sentences, the model directly calculates word pair interactions using cosine similarity, Euclidean distance, and dot product over the outputs of the encoding layer:
The above equation not only applies to forward hidden state −→ h i and backward hidden state ←− h i, but also to the concatenation ←→ h i = [ −→ h i, ←− h i] and summation h + i = −→ h i + ←− h i, resulting in a tensor D 13 ×| sent 1 |×| sent 2 | after padding one extra bias term. A "hard" attention is applied to the interaction tensor to build word alignment: selecting the most related word pairs and increasing the corresponding weights by 10 times. Then a 19-layer deep CNN is applied to aggregate the word interaction features for final classification.
3.4 The Decomposable Attention Model (DecAtt)
The Decomposable Attention model (Parikh et al., 2016) is one of the earliest models to introduce attentionbased alignment for sentence pair modeling, and it achieved state-of-the-art results on the SNLI dataset with about an order of magnitude fewer parameters than other models (see more in Table 5) without relying on word order information. It computes the word pair interaction between w a i and w b j (from input sentences s a and sb, each with m and n words, respectively) as eij = F (w a i ) T F ( w b j ) , where F is a feedforward network; then alignment is determined as follows:
where βi is the soft alignment between w a i and subphrases w b j in sentence s b , and vice versa for α j . The aligned phrases are fed into another feedforward network G: v a i = G ([ w a i ; β i ]) and v b j = G ([ w b j ; α j ]) to generate sets {v a i } and { v b j } , which are aggregated by summation and then concatenated together for classification.
3.5 The Enhanced Sequential Inference Model (ESIM)
The Enhanced Sequential Inference Model (Chen et al., 2017) is closely related to the DecAtt model, but it differs in a few aspects. First, Chen et al. (2017) demonstrated that using Bi-LSTM to encode sequential contexts is important for performance improvement. They used the concatenation wi = ←→ h i = [ −→ h i, ←− h i] of both directions as in the PWIM model. The word alignment βi and αj between w a and w b are calculated the same way as in DecAtt. Second, they showed the competitive performance of recursive architecture with constituency parsing, which complements with sequential LSTM. The feedforward function G in DecAtt is replaced with Tree-LSTM:
Third, instead of using summation in aggregation, ESIM adapts the average and max pooling and concatenation v = [v a ave ; v a max ; v b ave ; v b max ] before passing through multi-layer perceptron (MLP) for classification:
4 Experiments and Analysis
4.1 Datasets
We conducted sentence pair modeling experiments on eight popular datasets: two NLI datasets, three PI datasets, one STS dataset and two QA datasets. Table 2 gives a comparison of these datasets:
* SNLI (Bowman et al., 2015) contains 570k hypotheses written by crowdsourcing workers given the premises. It focuses on three semantic relations: the premise entails the hypothesis (entailment), they contradict each other (contradiction), or they are unrelated (neutral).
* Multi-NLI (Williams et al., 2017) extends the SNLI corpus to multiple genres of written and spoken texts with 433k sentence pairs.
* Quora (Iyer et al., 2017) contains 400k question pairs collected from the Quora website. This dataset has balanced positive and negative labels indicating whether the questions are duplicated or not.
* Twitter-URL (Lan et al., 2017) includes 50k sentence pairs collected from tweets that share the same URL of news articles. This dataset contains both formal and informal language.
* PIT-2015 (Xu et al., 2015) comes from SemEval-2015 and was collected from tweets under the same trending topic. It contains naturally occurred (i.e. written by independent Twitter users spontaneously) paraphrases and non-paraphrases with varied topics and language styles.
* STS-2014 (Agirre et al., 2014) is from SemEval-2014, constructed from image descriptions, news headlines, tweet news, discussion forums, and OntoNotes (Hovy et al., 2006).
* WikiQA (Yang et al., 2015) is an open-domain question-answering dataset. Following He and Lin (2016), questions without correct candidate answer sentences are excluded, and answer sentences are truncated to 40 tokens, resulting in 12k question-answer pairs for our experiments.
* TrecQA (Wang et al., 2007) is an answer selection task of 56k question-answer pairs and created in Text Retrieval Conferences (TREC). For both WikiQA and TrecQA datasets, the best answer is selected according to the semantic relatedness with the question.
Table 2: Basic statistics and examples of different datasets for sentence pair modeling tasks.
4.2 Implementation Details
We implement all the models with the same PyTorch framework. 23 Below, we summarize the implementation details that are key for reproducing results for each model:
* SSE: This model can converge very fast, for example, 2 or 3 epochs for the SNLI dataset. We control the convergence speed by updating the learning rate for each epoch: specifically, lr = 1 2 epoch i 2 ∗init lr,
where in
it lr is the initial learning rate and
epoch i is the index of current epoch.
2 InferSent and SSE have open-source PyTorch implementations by the original authors, for which we reused part of the code.
3 Our code is available at: https://github.com/lanwuwei/SPM_toolkit
* DecAtt: It is important to use gradient clipping for this model: for each gradient update, we check the L2 norm of all the gradient values, if it is greater than a threshold b, we scale the gradient by a factor α = b/L2 norm. Another useful procedure is to assemble batches of sentences with similar length.
* ESIM: Similar but different from DecAtt, ESIM batches sentences with varied length and uses masks to filter out padding information. In order to batch the parse trees within Tree-LSTM recursion, we follow Bowman et al.'s (2016) procedure that converts tree structures into the linear sequential structure of a shift reduce parser. Two additional masks are used for producing left and right children of a tree node.
* PWIM: The cosine and Euclidean distances used in the word interaction layer have smaller values for similar vectors while dot products have larger values. The performance increases if we add a negative sign to make all the vector similarity measurements behave consistently.
4.3 Analysis
4.3.1 Re-implementation Results vs. Previously Reported Results
Table 3 and 4 show the results reported in the original papers and the replicated results with our implementation. We use accuracy, F1 score, Pearson's r, Mean Average Precision (MAP), and Mean Reciprocal Rank (MRR) for evaluation on different datasets following the literature. Our reproduced results are slightly lower than the original results by 0.5 ∼ 1.5 points on accuracy. We suspect the following potential reasons: (i) less extensive hyperparameter tuning for each individual dataset; (ii) only one run with random seeding to report results; and (iii) use of different neural network toolkits: for example, the original ESIM model was implemented with Theano, and PWIM model was in Torch.
4.3.2 Effects of Model Components
Herein, we examine the main components that account for performance in sentence pair modeling.
How important is LSTM encoded context information for sentence pair modeling?
Regarding DecAtt, Parikh et al. (2016) mentioned that "intra-sentence attention is optional"; they can achieve competitive results without considering context information. However, not surprisingly, our experiments consistently show that encoding sequential context information with LSTM is critical. Compared to DecAtt, ESIM shows better performance on every dataset (see Table 4 and Figure 3). The main difference between ESIM and DecAtt that contributes to performance improvement, we found, is the use of Bi-LSTM and Tree-LSTM for sentence encoding, rather than the different choices of aggregation functions.
Why does Tree-LSTM help with Twitter data?
Chen et al. (2017) offered a simple combination (ESIMseq+tree) by averaging the prediction probabilities of two ESIM variants that use sequential Bi-LSTM and Tree-LSTM respectively, and suggested "parsing information complements very well with ESIM and further improves the performance". However, we found that adding Tree-LSTM only helps slightly or not at all for most datasets, but it helps noticably with the two Twitter paraphrase datasets. We hypothesize the reason is that these two datasets come from real-world tweets which often contain extraneous text fragments, in contrast to SNLI and other datasets that have sentences written by crowdsourcing workers. For example, the segment "ever wondered ," in the sentence pair ever wondered , why your recorded #voice sounds weird to you? and why do our recorded voices sound so weird to us? introduces a disruptive context into the Bi-LSTM encoder, while Tree-LSTM can put it in a less important position after constituency parsing.
How important is attentive interaction for sentence pair modeling? Why does SSE excel on Quora?
Both ESIM and DecAtt (Eq. 7) calculate an attention-based soft alignment between a sentence pair, which was also proposed in (Rockt¨aschel et al., 2016) and (Wang and Jiang, 2017) for sentence pair modeling, whereas PWIM utilizes a hard attention mechanism. Both attention strategies are critical for model performance. In PWIM model (He and Lin, 2016), we observed a 1∼2 point performance drop after
Table 3: Reported results from original papers, which are mostly limited to a few datasets. For the Multi-NLI dataset, Acc m represents testing accuracy for the matched genre and Acc um for the unmatched genre.
Table 4: Replicated results with our reimplementation in PyTorch across multiple tasks and datasets. The best result in each dataset is denoted by a bold typeface, and the second best is denoted by an underline.
removing the hard attention, 0∼3 point performance drop and ∼25% training time reduction after removing the 19-layer CNN aggregation. Likely without even the authors of SSE knowing, the SSE model performs extraordinarily well on the Quora corpus, perhaps because Quora contains many sentence pairs with less complicated inter-sentence interactions (e.g., many identical words in the two sentences) and incorrect ground truth labels (e.g., What is your biggest regret in life? and What's the biggest regret you've had in life? are labeled as non-duplicate questions by mistake).
4.3.3 Learning Curves and Training Time
Figure 3 shows the learning curves. The DecAtt model converges quickly and performs well on large NLI datasets due to its design simplicity. PWIM is the slowest model (see time comparison in Table 5) but shows very strong performance on semantic similarity and paraphrase identification datasets. ESIM and SSE keep a good balance between training time and performance.
3 This number was reported in (Tomar et al., 2017) by co-authors of DecAtt (Parikh et al., 2016).
4 This number was reproduced by Williams et al. (2017).
5 This number was generated by InferSent traind on SNLI and Multi-NLI datasets.
Table 5: Average training time per sentence pair in the Twitter-URL dataset (similar time for other datasets).
4.3.4 Effects of Training Data Size
As shown in Figure 4, we experimented with different training sizes of the largest SNLI dataset. All the models show improved performance as we increase the training size. ESIM and SSE have very similar trends and clearly outperform PWIM on the SNLI dataset. DecAtt shows a performance jump when the training size exceeds a threshold.
4.3.5 Categorical Performance Comparison
We conducted an in-depth analysis of model performance on the Multi-domain NLI dataset based on different categories: text genre, sentence pair overlap, and sentence length. As shown in Table 7, all models have comparable performance between matched genre and unmatched genre. Sentence length and overlap turn out to be two important factors – the longer the sentences and the fewer tokens in common, the more challenging it is to determine their semantic relationship. These phenomena shared by the state-of-the-art systems reflect their similar design framework which is symmetric at processing both sentences in the pair, while question answering and natural language inference tasks are directional (Ghaeini et al., 2018). How to incorporate asymmetry into model design will be worth more exploration in future research.
4.3.6 Transfer Learning Experiments
In addition to the cross-domain study (Table 7), we conducted transfer learning experiments on three paraphrase identification datasets (Table 6). The most noteworthy phenomenon is that the SSE model performs better on Twitter-URL and PIT-2015 when trained on the large out-of-domain Quora data than the small in-domain training data. Two likely reasons are: (i) the SSE model with over 29 million parameters is data hungry and (ii) SSE model is a sentence encoding model, which generalizes better across domains/tasks than sentence pair interaction models. Sentence pair interaction models may encounter difficulties on Quora, which contains sentence pairs with the highest word overlap (51.5%) among all datasets and often causes
Figure 4: Performance vs. training size (log scale in x-axis) on SNLI dataset.
| Quora URL PIT Models trained on Quora | train/test on PIT |
|---|---|
| InferSent 0.866 0.528 0.394 SSE 0.878 0.681 0.594 DecAtt 0.845 0.649 0.497 ESIM 0.850 0.643 0.501 seq PWIM 0.835 0.601 0.518 | 0.451 0.422 0.430 0.520 0.656 0.451 0.422 0.430 0.520 0.656 |
| trained on URL | |
| InferSent 0.703 0.746 0.535 SSE 0.630 0.650 0.477 DecAtt 0.632 0.652 0.450 ESIM 0.641 0.748 0.511 seq PWIM 0.678 0.761 0.634 | |
Table 6: Transfer learning experiments for paraphrase identification task.
Table 7: Categorical performance (accuracy) on Multi-NLI dataset. Overlap is the percentage of shared tokens between two sentences. Length is calculated based on the number of tokens of the longer sentence.
the interaction patterns to focus on a few key words that differ. In contrast, the Twitter-URL dataset has the lowest overlap (23.0%) with a semantic relationship that is mainly based on the intention of the tweets.
5 Conclusion
We analyzed five different neural models (and their variations) for sentence pair modeling and conducted a series of experiments with eight representative datasets for different NLP tasks. We quantified the importance of the LSTM encoder and attentive alignment for inter-sentence interaction, as well as the transfer learning ability of sentence encoding based models. We showed that the SNLI corpus of over 550k sentence pairs cannot saturate the learning curve. We systematically compared the strengths and weaknesses of different network designs and provided insights for future work.
Acknowledgements
We thank Ohio Supercomputer Center (Center, 2012) for computing resources. This work was supported in part by NSF CRII award (RI-1755898) and DARPA through the ARO (W911NF-17-C-0095). The content of the information in this document does not necessarily reflect the position or the policy of the U.S. Government, and no official endorsement should be inferred.
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Appendices
A Pretrained Word Embeddings
We used the 200-dimensional GloVe word vectors (Pennington et al., 2014), trained on 27 billion words from Twitter (vocabulary size of 1.2 milion words) for Twitter URL (Lan et al., 2017) and PIT-2015 (Xu et al., 2015) datasets, and the 300-dimensional GloVe vectors, trained on 840 billion words (vocabulary size of 2.2 milion words) from Common Crawl for all other datasets. For out-of-vocabulary words, we initialized the word vectors using normal distribution with mean 0 and deviation 1.
B Hyper-parameter Settings
We followed original papers or code implementations to set hyper-parameters for these models. In Infersent model (Conneau et al., 2017), the hidden dimension size for Bi-LSTM is 2048, and the fully connected layers have 512 hidden units. In SSE model (Nie and Bansal, 2017), the hidden size for three Bi-LSTMs is 512, 2014 and 2048, respectively. The fully connected layers have 1600 units. PWIM (He and Lin, 2016) and ESIM (Chen et al., 2017) both use Bi-LSTM for context encoding, having 200 hidden units and 300 hidden units respectively. The DecAtt model (Parikh et al., 2016) uses three kinds of feed forward networks, all of which have 300 hidden units. Other parameters like learning rate, batch size, dropout rate, and all of them use the same settings as in original papers.
C Fine-tuning the Models
It is not practical to fine tune every hyper-parameter in every model and every dataset, since we want to show how these models can generalize well on other datasets, we need try to avoid fine-tuning these parameters on some specific datasets, otherwise we can easily get over-fitted models. Therefore, we keep the hyperparameters unchanged across different datasets, to demonstrate the generalization capability of each model. The default number of epochs for training these models is set to 20, if some models could converge earlier (no more performance gain on development set), we would stop running them before they approached epoch 20. The 20 epochs can guarantee every model get converged on every dataset.
|
INITIAL EDUCATION PERFORMANCE AUDIT REPORT
FOR
MOUNTAINEER MIDDLE SCHOOL
HARRISON COUNTY SCHOOL SYSTEM
FEBRUARY 2011
WEST VIRGINIA BOARD OF EDUCATION
Table of Contents
INTRODUCTION
An announced Education Performance Audit of Mountaineer Middle School in Harrison County was conducted December 9, 2010. The review was conducted at the specific direction of the West Virginia Board of Education. The purpose of the review was to investigate the reasons for performance and progress that are persistently below standard and to make recommendations to the school and school system, as appropriate, and to the West Virginia Board of Education on such measures as it considers necessary to improve performance and progress to meet the standard.
The Education Performance Audit Team reviewed the Five-Year Strategic Improvement Plan, interviewed school personnel and school system administrators, observed classrooms, and examined school records. The review concentrated on the decline in achievement and the subgroup that failed to achieve adequate yearly progress (AYP).
EDUCATION PERFORMANCE AUDIT TEAM
Office of Education Performance Audits Team Chair – Allen D. Brock, Coordinator West Virginia Department of Education Team Leader – Edwina Howard-Jack,
Coordinator, Office of Instruction
West Virginia Department of Education Team Leader and Technology – Karen Karr, Coordinator, Office of Instructional Technology
West Virginia Department of Education Team Leader – Shelly Stalnaker, Coordinator, Office of Healthy Schools
TEAM MEMBERS
| Dr. William E. Chapman | Elementary School Principal |
|---|---|
| Ernest J. Jarvis | Middle School Principal |
| Joe A. Starcher | Director |
| Ronald E. Stephens | High School Principal |
SCHOOL PERFORMANCE
This section presents the Annual Performance Measures for Accountability and the Education Performance Audit Team's findings.
33 HARRISON COUNTY
Susan Lee Collins, Superintendent
309 MOUNTAINEER MIDDLE SCHOOL – Needs Improvement
John Rogers, Principal
Enrollment 492 (2
Grades 06 - 08
nd month 2008-2009 enrollment report)
WESTEST 2008-2009
FAY -- Full Academic Year
* -- 0 students in subgroup
** -- Less than 10 students in subgroup
| Group | Number Enrolled for FAY | Number Enrolled on Test Week | Number Tested | Participation Rate | Percent Proficient | Met Part. Rate Standard | Met Assessment Standard | Met Subgroup Standard |
|---|---|---|---|---|---|---|---|---|
| Mathematics | | | | | | | | |
| All | 456 | 493 | 483 | 97.97 | 48.65 | Yes | Confidence Interval | |
| White | 436 | 467 | 458 | 98.07 | 48.00 | Yes | Confidence Interval | |
| Black | 15 | 21 | 20 | 95.23 | 50.00 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | ** | ** | ** | ** | ** | ** | ** | ** |
| Indian | ** | ** | ** | ** | ** | ** | ** | ** |
| 0 | * | * | * | * | * | * | * | * |
| 0 | * | * | * | * | * | * | * | * |
| Spec. Ed. | 77 | 89 | 83 | 93.25 | 16.90 | By Average | No | |
| Low SES | 290 | 317 | 308 | 97.16 | 41.63 | Yes | Confidence Interval | |
| LEP | * | * | * | * | * | * | * | * |
| Reading/Language Arts | | | | | | | | |
| All | 456 | 493 | 487 | 98.78 | 66.44 | Yes | Yes | |
| White | 436 | 467 | 461 | 98.71 | 66.51 | Yes | Yes | |
| Black | 15 | 21 | 21 | 100.00 | 53.33 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | ** | ** | ** | ** | ** | ** | ** | ** |
| Indian | ** | ** | ** | ** | ** | ** | ** | ** |
| 0 | * | * | * | * | * | * | * | * |
| 0 | * | * | * | * | * | * | * | * |
| Spec. Ed. | 77 | 89 | 84 | 94.38 | 13.88 | By Average | No | |
| Low SES | 290 | 317 | 311 | 98.10 | 58.45 | Yes | Yes | |
| LEP | * | * | * | * | * | * | * | * |
Passed
Attendance Rate = 96.9%
FAY -- Full Academic Year
33 HARRISON COUNTY
Susan Lee Collins, Superintendent
309 MOUNTAINEER MIDDLE SCHOOL – Needs Improvement
Enrollment 470 (2 month 2009-2010 enrollment report)
John Rogers, Principal Grades 06 - 08 nd
WESTEST 2009-2010
| Group | Number Enrolled for FAY | Number Enrolled on Test Week | Number Tested | Participation Rate | Percent Proficient | Met Part. Rate Standard | Met Assessment Standard | Met Subgroup Standard |
|---|---|---|---|---|---|---|---|---|
| Mathematics | | | | | | | | |
| All | 448 | 471 | 464 | 98.51 | 36.79 | Yes | Yes | |
| White | 425 | 448 | 441 | 98.43 | 36.90 | Yes | Yes | |
| Black | 16 | 16 | 16 | 100.00 | 18.75 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | ** | ** | ** | ** | ** | ** | ** | ** |
| Indian | ** | ** | ** | ** | ** | ** | ** | ** |
| Multi- Racial | * | * | * | * | * | * | * | * |
| Pacific Islander | * | * | * | * | * | * | * | * |
| Spec. Ed. | 78 | 84 | 81 | 96.42 | 15.78 | Yes | Safe Harbors | |
| Low SES | 275 | 293 | 286 | 97.61 | 27.77 | Yes | Confidence Interval | |
| LEP | ** | ** | ** | ** | ** | ** | ** | ** |
| Reading/Language Arts | | | | | | | | |
| All | 448 | 471 | 463 | 98.30 | 44.46 | Yes | Yes | |
| White | 425 | 448 | 440 | 98.21 | 45.00 | Yes | Yes | |
| Black | 16 | 16 | 16 | 100.00 | 18.75 | NA | NA | NA |
| Hispanic | ** | ** | ** | ** | ** | ** | ** | ** |
| Asian | ** | ** | ** | ** | ** | ** | ** | ** |
| Indian | ** | ** | ** | ** | ** | ** | ** | ** |
| Multi- Racial | * | * | * | * | * | * | * | * |
| Pacific Islander | * | * | * | * | * | * | * | * |
| Spec. Ed. | 78 | 84 | 79 | 94.04 | 10.66 | By Average | No | |
| Low SES | 275 | 293 | 285 | 97.26 | 37.03 | Yes | Yes | |
| LEP | ** | ** | ** | ** | ** | ** | ** | ** |
* **
-- 0 students in subgroup
-- Less than 10 students in subgroup
Passed Attendance Rate = 97.1%
MOUNTAINEER MIDDLE SCHOOL
Adequate Yearly Progress (AYP) Information by Class
38.00
44.53
28.85
| Tested Enr. | FAY Enr. | Tested | FAY Tested | Part. Rate | Novice | Below Mastery | Mastery | Above Mastery | Distinguished |
|---|---|---|---|---|---|---|---|---|---|
| 157 | 150 | 157 | 150 | 100 | 29.33 | 32.67 | 19.33 | 17.33 | 1.33 |
| 147 | 137 | 146 | 137 | 99.32 | 37.23 | 18.25 | 32.12 | 9.49 | 2.92 |
| 167 | 161 | 161 | 156 | 96.41 | 39.1 | 32.05 | 16.03 | 10.9 | 1.92 |
46.67
37.96
48.08
| Tested Enr. | FAY Enr. | Tested | FAY Tested | Part. Rate | Novice | Below Mastery | Mastery | Above Mastery | Distinguished |
|---|---|---|---|---|---|---|---|---|---|
| 157 | 150 | 157 | 150 | 100 | 22 | 31.33 | 22.67 | 21.33 | 2.67 |
| 147 | 137 | 145 | 137 | 98.64 | 27.74 | 34.31 | 24.09 | 12.41 | 1.46 |
| 167 | 161 | 161 | 156 | 96.41 | 25 | 26.92 | 30.13 | 14.74 | 3.21 |
Enr. - Enrollment
FAY - Full Academic Year
Part. - Participation
ANNUAL PERFORMANCE MEASURES FOR ACCOUNTABILITY
Achieved Standard.
5.1.1. Achievement.
Mountaineer Middle School failed to achieve adequate yearly progress (AYP) in the special education (SE) subgroup in reading/language arts for two consecutive years. Mountaineer Middle School achieved AYP in the SE subgroup in mathematics by safe harbors and in the economically disadvantaged (SES) subgroup in mathematics only by application of the confidence interval. The county curriculum staff and school staff are urged to address these subgroups in the county and school Five-Year Strategic Plans and apply interventions to improve achievement of all students.
Adequate Yearly Progress (AYP) Information by Class indicated scores below mastery and novice in both mathematics and reading: Grade 6 – 62.00 percent in mathematics and 53.33 percent in reading; Grade 7 – 55.47 percent in mathematics and 62.04 percent in reading; Grade 8 – 71.15 percent in mathematics and 51.92 percent in reading. These scores have implication for the Five-Year Strategic Plan and school improvement.
West Virginia Board of Education Policy 2320, A Process for Improving Education-Performance Based Accreditation System in Section §126-13-6 provides:
6.1. A system of points on an index will be used to assess and weigh annual performance measures for state accreditation of schools and approval of school systems that gives credit or points on an index to prevent any one measure alone from causing a school to achieve less than full accreditation status or a school system from achieving less than full approval status: Provided, That a school or school system that achieves AYP is eligible for no less than full accreditation or full approval status, as applicable, and the system established pursuant to this subsection shall only apply to schools and school systems that do not achieve AYP.
The index showed that Mountaineer Middle School performed within the point range (504 – 422) for full accreditation status.
The following professional development and/or training opportunities were provided as reported by the principal.
1. Project Based Learning.
3. West Virginia Writes.
2. Study Island.
4. Acuity.
6. Personal Finance Education.
5. Wellness Program "Let's Get Fit".
7. West Virginia State Reading Association Conference.
9. Managing Attention Deficit Hyperactivity Disorders.
8. Publisher 2007.
10. West Virginia Council for Exceptional Children.
EDUCATION PERFORMANCE AUDIT
INITIATIVES FOR ACHIEVING ADEQUATE YEARLY PROGRESS
The Education Performance Audit Team reported that Mountaineer Middle School had undertaken initiatives for achieving Adequate Yearly Progress (AYP). The prominent initiative and activity included the following.
7.1.3. Learning environment. The students' behavior throughout the Team visit was exceptional. Respect between teachers and students was evident and student discipline procedures and the Positive Behavior Support (PBS) program were spoken of highly by staff. The facility was well kept and tidy. The overall feel of the building was positive and a great deal of school pride was evident.
HIGH QUALITY STANDARDS
Necessary to Improve Performance and Progress.
7.1. Curriculum
7.1.2. High expectations. Through curricular offerings, instructional practices, and administrative practices, staff demonstrates high expectations for the learning and achieving of all students and all students have equal educational opportunities including enrichment and acceleration. (Policy 2510)
Four of the six reading/language arts classes observed were providing instruction at a Depth of Knowledge level of 1 or 2. Basic recall questioning techniques was the predominate instructional method that the Team observed. Instruction in these classes was not challenging and interesting.
The WESTEST2 2010 percent proficient in reading/language arts in addition to the Team's classroom observations showed that more effective teaching strategies needed to be extended to application of knowledge.
The following charts show the actual number of students proficient and not proficient in mathematics and reading/language arts out of the number enrolled for the full academic year (FAY).
| Mathematics | | | |
|---|---|---|---|
| | Number Enrolled for FAY | Number Proficient | Number Not Proficient |
| All | 448 | 163 | 285 |
| White | 425 | 155 | 270 |
| Black | 16 | 3 | 13 |
| Special Education | 78 | 12 | 66 |
| SES | 275 | 75 | 200 |
| Reading/Language Arts | | | |
|---|---|---|---|
| | Number Enrolled for FAY | Number Proficient | Number Not Proficient |
| All | 448 | 197 | 251 |
| White | 425 | 189 | 236 |
| Black | 16 | 3 | 13 |
| Special Education | 78 | 8 | 70 |
| SES | 275 | 100 | 75 |
7.1.5. Instructional strategies. Staff demonstrates the use of the various instructional strategies and techniques contained in Policies 2510 and 2520. (Policy 2510; Policy 2520)
During Team observation of three collaborative classrooms, two of the special educators were not leading instruction. In these classes the special educator acted more in the role of an aide. The Team observed excellent collaboration in one setting. In four self-contained special education classrooms, instruction was teacher led and whole group. There was no differentiation in these classes for the individual students' needs. The low student percent proficient in the special education subgroup in both mathematics and reading/language arts for the past two years indicated that instruction must be altered to give attention to individual students rather than whole group instruction.
7.1.7. Library/educational technology access and technology application. The application of technology is included throughout all programs of study and students have regular access to library/educational technology centers or classroom libraries. (Policy 2470; Policy 2510)
While the Team observed numerous teachers using technology, very few students were seen using any form of technology. Teacher and student interviews also indicated that student technology use was severely lacking.
7.6. Personnel
7.6.3. Evaluation. The county board adopts and implements an evaluation policy for professional and service personnel that is in accordance with W.Va. Code, West Virginia Board of Education policy, and county policy. (W.Va. Code §18A-2-12; Policy 5310; Policy 5314)
One observation was conducted October 28, 2010, the evaluator signed the observation form November 4, 2010 and the teacher signed the form November 8, 2010. West Virginia Board of Education Policy 5310, Performance Evaluation of School Personnel, Section 9.5 Post observation conference states, "After each thirty (30) minute observation of the teacher the supervisor shall conduct a post observation conference with the teacher within five (5) working days. At that time a signed copy of the observation form shall be given to the teacher." All observations must be signed within five working days of the observation.
Indicators of Efficiency
Indicators of efficiency for student and school system performance and processes were reviewed in the following areas: Curriculum delivery, including but not limited to, the use of distance learning; facilities; administrative practices; personnel; utilization of regional education service agency, or other regional services that may be established by their assigned regional education service agency. This section contains indicators of efficiency that the Education Performance Audit Team assessed as requiring more efficient and effective application.
The indicators of efficiency listed are intended to guide Mountaineer Middle School in providing a thorough and efficient system of education. Harrison County is obligated to follow the Indicators of Efficiency noted by the Team. Indicators of Efficiency shall not be used to affect the approval status of Harrison County or the accreditation status of the schools.
8.1.1. Curriculum. The school district and school conduct an annual curriculum audit regarding student curricular requests and overall school curriculum needs, including distance learning in combination with accessible and available resources.
This was the first year for the principal at Mountaineer Middle School. While the Team had serious concerns about the rigor of the instruction in the reading/language arts classes and the instruction that the special education students were receiving, the principal demonstrated knowledge of the school's needs and issues and had a clear vision for the direction of the school. It is imperative that the Harrison County central office staff provide the school continued support in strengthening the curriculum.
Building Capacity to Correct Deficiencies
West Virginia Code §18-2E-5 establishes that the needed resources are available to assist the school or school system in achieving the standards and alleviating the deficiencies identified in the assessment and accountability process. To assist Mountaineer Middle School in achieving capacity, the following resources are recommended.
18.1. Capacity building is a process for targeting resources strategically to improve the teaching and learning process. School and county electronic strategic improvement plan development is intended, in part, to provide mechanisms to target resources strategically to the teaching and learning process to improve student, school, and school system performance.
While the principal exhibited a high level of knowledge and ability and the Team believed that he possessed the capacity to lead school improvement, it is imperative that Harrison County Central Office, RESA 7, The West Virginia Center for Professional Development, and the West Virginia Department of Education provide assistance to the school.
The Team recommended that the Harrison County School System Superintendent and the school administrator contact Mr. Charles Heinlein, Executive Director, Office of School Improvement at 304-558-3199 to arrange a School Support System for correcting the deficiencies and improving student and school performance.
Identification of Resource Needs
A thorough and efficient system of schools requires the provision of an adequate level of appropriately managed resources. The West Virginia Board of Education adopted resource evaluation as a part of the accreditation and evaluation process. This process is intended to meaningfully evaluate the needs for facilities, personnel, curriculum, equipment and materials in each of the county's schools and how those impact program and student performance.
19.1. Facilities, equipment, and materials. Facilities and equipment specified in Policy 6200, Chapters 1 through 14, are available in all schools, classrooms, and other required areas. A determination will be made by using the Process for Improving Education (W.Va. Code §18-2E-5) whether any identified deficiencies adversely impact and impair the delivery of a high quality educational program if it is below the West Virginia Board of Education standards due to inadequacies or inappropriate management in the areas of facilities, equipment, and materials. The Education Performance Audit Teams shall utilize an assessment instrument for the evaluation of school facilities which generally follows the requirements of Policy 6200. Note: Corrective measures to be taken in response to any identified resource deficiency will of necessity be subject to the feasibility of modifying existing facilities, consideration of alternative methods of instructional delivery, availability of funding, and prioritization of educational needs through Comprehensive Educational Facilities Plans and the West Virginia School Building Authority. This policy does not change the authority, judgment, or priorities of the School Building Authority of West Virginia who is statutorily responsible for prioritizing "Need" for the purpose of funding school improvements or school construction in the State of West Virginia or the prerogative of the Legislature in providing resources. (Policy 6200 and Tomblin v. Gainer)
According to the items checked in the School Facilities Evaluation Checklist, the school was below standard in the following areas. The principal checked and the Team confirmed the following school facility resource needs.
19.1.5. Library/media and technology center. Copying equipment was not provided.
19.1.10. Specialized instructional areas. The art facility did not have a ceramic kiln. The physical education facility did not have a display case or data projector or 50 inch screen monitor.
19.1.11. Grades 6-12 science facilities. All science facilities did not have a first aid kit.
19.1.12. Grades 7-12 auditorium/stage. A middle school auditorium of adequate size was not provided and was not located to have convenient access to language arts and music instructional area and close to seating.
19.1.15. Health service units. A toilet, lavatory, medicine chest, work counter, and refrigerator with locked storage were not available.
Early Detection and Intervention
One of the most important elements in the Education Performance Audit process is monitoring student progress through early detection and intervention programs.
The principal must ensure that all students are challenged in all classes and that teachers identify gaps in student learning to develop a strategy to correct the gaps and strengthen student understanding.
The School Support System presented under the Capacity Building Section will be an invaluable resource in guiding school improvement.
Education Performance Audit Summary
The Team identified four high quality standards necessary to improve performance and progress.
They include the following:
7.1.2. High expectations.
7.1.7. Library/educational technology access and technology application.
7.1.5. Instructional strategies.
7.6.3. Evaluation.
The Team presented one commendation (7.1.3. Learning environment), noted an indicator of efficiency, offered capacity building resources, and noted an early detection and intervention concern.
Mountaineer Middle School's Education Performance Audit was limited in scope to the performance and progress standards related to student and school performance. The Team also conducted a resource evaluation to assess the resource needs of the school. The Team submits this initial report to guide Mountaineer Middle School in improvement efforts.
Section 17.10. of West Virginia Board of Education Policy 2320 states:
If during an on-site review, a school or county board is found to be in noncompliance with one or more standards, the school and county electronic strategic improvement plans must be revised and shall be submitted to the West Virginia Board of Education within 30 days of receipt of the draft written report. The plans shall include objectives, a time line, a plan for evaluation of the success of the improvements, a cost estimate and a date certain for achieving full accreditation and/or full approval status as applicable.
Based upon the results of the Education Performance Audit, the Office of Education Performance Audits recommends that the West Virginia Board of Education direct Mountaineer Middle School and Harrison County to revise the school's Five-Year Strategic Plan within 30 days and correct the findings noted in the report by the next accreditation cycle.
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Rinaldo Brutoco, President, World Business Academy, Santa Barbara, CA
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BMB Reports - Manuscript Submission Manuscript Draft Manuscript Number: BMB-18-122 Title: Telomere association of Oryza sativa Telomere Repeat-binding Factor Like 1 and its roles in telomere maintenance and development in rice, Oryza sativa L. Article Type: Article Keywords: Developmental growth; Double-stranded telomere binding proteins; Protein-protein interaction; Rice (Oryza sativa L.); Telomere lengthening Corresponding Author: Woo Taek Kim Authors: Mi Young Byun 1 , Li Hua Cui 2 , Hyoungseok Lee 1 , Woo Taek Kim 2,* Institution: 1 Unit of Polar Genomics, Korea Polar Research Institute, Incheon 21990, Korea, 2Department of Systems Biology, College of Life Science and Biotechnology, Yonsei University, Seoul 03722, Korea,
Manuscript Type: Article Running Title: Roles of OsTRFL1 in plant telomeres Telomere association of Oryza sativa Telomere Repeat-binding Factor Like 1 and its roles in telomere maintenance and development in rice, Oryza sativa L. Mi Young Byun 1 , Li Hua Cui 2 , Hyoungseok Lee 1 & Woo Taek Kim 2,* 1 Unit of Polar Genomics, Korea Polar Research Institute, Incheon 21990, Korea 2Department of Systems Biology, College of Life Science and Biotechnology, Yonsei University, Seoul 03722, Korea *Corresponding author. Tel: +82-2-2123-2661; Fax: 82-2-312-5657; E-mail: firstname.lastname@example.org Keywords: Developmental growth, Double-stranded telomere binding proteins, Proteinprotein interaction, Rice (Oryza sativa L.), Telomere lengthening
ABSTRACT Telomeres are specialized nucleoprotein complexes that function to protect eukaryotic chromosomes from recombination and erosion. Several telomere binding proteins (TBPs) have been characterized in higher plants, but their detailed in vivo functions at the plant level are largely unknown. In this study, we identified and characterized OsTRFL1 (Oryza sativa Telomere Repeat-binding Factor Like 1) in rice, a monocot model crop. Although OsTRFL1 did not directly bind to telomere repeats (TTTAGGG)4 in vitro, it was associated with telomeric sequences in planta. OsTRFL1 interacted with rice TBPs, such as OsTRBF1 and RTBP1, in yeast and plant cells as well as in vitro. Thus, it seems likely that the association of OsTRFL1 with other TBPs enables OsTRFL1 to bind to telomeres indirectly. T-DNA inserted OsTRFL1 knock-out mutant rice plants displayed significantly longer telomeres (6–25 kb) than those (5–12 kb) in wild-type plants, indicating that OsTRFL1 is a negative factor for telomere lengthening. The reduced levels of OsTRFL1 caused serious developmental defects in both vegetative and reproductive organs of rice plants. These results suggest that OsTRFL1 is an essential factor for the proper maintenance of telomeres and normal development of rice.
INTRODUCTION Telomeres, which are present at the ends of linear eukaryotic chromosomes, are essential for the preservation of genome integrity (1). Telomeres are tandem arrays of G/C-rich repeats and are associated with several telomere binding proteins (TBPs), which play critical roles in the protection and stabilization of chromosomal ends (2, 3). There are two distinct types of TBPs. One type is a group of single-stranded DNA-binding proteins that bind to the 3ʹ overhang sequences at telomere termini and are required for chromosome capping and telomerase regulation (4). The other group of TBPs, which includes human TRF1/PIN2 and TRF2 and yeast Rap1 and Taz1, bind to duplex telomeric DNA and regulate telomere length and structure (5). In human, shelterin is a telomere-protein complex composed of six proteins, POT1, TRF1, TRF2, TIN2, TPP1, and Rap1 (6). This complex forms a defined structure that prevents telomeres from being recognized as damaged DNA (7, 8). In plants, double-stranded telomere binding proteins (DS-TBPs) are classified according to their structural characteristics (3, 9). Three distinct classes of DS-TBPs have been identified and characterized in higher plants, all of which contain a single telobox Myb domain (10). The first class harbors a Myb domain at the N-terminal end and a linker histone H1/H5 motif in the central region (11). Arabidopsis AtTRB1, AtTRB2, and AtTRB3, rice OsTRBFs, and maize ZmSMH belong to this group of proteins, which specifically binds to plant double-stranded telomeric repeats (TTTAGGG)n (12-16). The second group is typified by a single Myb-like DNA-binding domain and an additional Myb-extension in the Cterminal region. Structural analysis of the telomere-binding properties of tobacco NgTRF1 and rice RTBP1 suggested that this plant-specific C-terminal Myb extension is required for the interaction of NgTRF1 and RTBP1 with telomeric sequences (17, 18). The expression level of NgTRF1 is closely linked to cell viability and the maintenance of telomere length and
stability of tobacco BY-2 suspension cultured cells (19). Loss-of-function rtbp1 knockout mutant allele exhibited developmental defects, accompanied by genome instability in rice (20). These results suggested that NgTRF1 and RTBP1 DS-TBPs are functional components that have crucial roles in the maintenance of genome stability in tobacco and rice plants. The third group of DS-TBPs contains a Myb DNA-binding domain in the C-terminus, without the C-terminal extension, resulting in different binding capacities to telomeric repeats in vitro (21). Arabidopsis contains six telomere repeat binding factor-like (TRFL) proteins, which belong to this third group. A gel retardation assay showed that the Arabidopsis TRFLs were unable to bind to telomeric repeats in vitro; thus, their biochemical and physiological roles remain to be elucidated (21). In this study, we identified and characterized OsTRFL1, a rice TRFL protein. OsTRFL1 failed to directly interact with plant telomeric repeats (TTTAGGG)4 in vitro. However, a chromatin immuno-precipitation (ChIP) assay showed that OsTRFL1 is associated with telomeric repeats in planta. Yeast-two hybrid, in vitro pull-down, and bimolecular fluorescence complementation (BiFC) assays showed that OsTRFL1 interacted with the rice DS-TBPs OsTRBF1 and RTBP1. T-DNA inserted ostrfl1 knockout mutant rice plants displayed severe developmental abnormalities and failed to produce functional seeds. These results suggest that OsTRFL1 functions in telomere maintenance by interacting with other DS-TBPs in rice. RESULTS and DISCUSSION Identification and characterization of OsTRFL1 Although Arabidopsis TRFL proteins were previously identified, their in vivo roles are
unknown (21). A database search revealed a putative TRFL gene in rice, which we named Oryza sativa Telomere Repeat-binding Factor Like 1 (OsTRFL1; XP_015625825.1). Total RNA was prepared from rice leaves, and full-length OsTRFL1 cDNA was obtained by RTPCR. The coding region of OsTRFL1 is 1869 bp, encoding 623 amino acids (molecular mass, 69 kDa; Fig. 1A). OsTRFL1 possesses a single DNA-binding Myb domain at its C-terminal end. The Myb-extension was absent in OsTRFL1. Amino acid sequence alignment showed that the Myb domain of OsTRFL1 is highly conserved with those of Arabidopsis and rice DS-TBPs (Supplementary Fig. S1). As OsTRFL1 contains the conserved DNA-binding Myb motif, the binding affinity of OsTRFL1 to telomeric repeats was examined. A bacteriallyexpressed Myc-(His)6-OsTRFL1 486-623 recombinant protein, which contains the Myb DNAbinding motif (Supplementary Fig. S2), was incubated with plant telomere repeats (TTTAGGG)4, and its binding affinity was examined by a gel-retardation assay. As shown in Fig. 1B, Myc-(His)6-OsTRFL1 486-623 failed to interact with the telomere repeat sequence in vitro. In contrast, (His)6-OsTRBF1 1-128 and Myc-(His)6-RTBP1 506-620 showed high binding affinities for the telomeric repeats, as reported previously (14, 18). Next, a ChIP assay was conducted to investigate the possible in vivo association of OsTRFL1 with telomeric DNA. OsTRFL1-sGFP, OsTRBF1-sGFP, OsRAD51D-sGFP, and RTBP1-sGFP fusion proteins were expressed in tobacco leaf epidermal cells using an Agrobacterium-mediated infiltration method. The nuclear genomic DNA-protein complex was extracted and subjected to immunoprecipitation with an anti-GFP antibody. The immunoprecipitated DNA was then hybridized with a 32 P-labeled (TTTAGGG)70 telomere repeat probe. The results showed that OsTRFL1 is associated with telomeric sequences in planta (Fig. 1C). However, the signal for OsTRFL1 was not as strong as the signals for OsTRBF1 and RTBP1, indicating that OsTRFL1 binds to telomeres indirectly. OsRAD51D was used as a negative control in the ChIP assay. As previously reported (22), OsRAD51D
showed no binding to telomere repeats. Thus, it seems likely that OsTRFL1 is not able to directly bind to telomeric repeats, but it interacts with telomeres indirectly in plant cells. OsTRFL1 interacts with rice the DS-TBPs OsTRBF1 and RTBP1 in yeast cells and in vitro Numerous TBPs associate with telomeres to maintain the proper function and structure of chromosomal ends (23-25). Although OsTRFL1 failed to bind directly to the telomeric sequences in vitro, it was associated with telomere repeats in vivo (Fig. 1). These results raised the possibility that OsTRFL1 interacts with telomeres indirectly in the presence of other TBPs. Therefore, we tested the interaction of OsTRFL1 with two rice DS-TBPs, OsTRBF1 and RTBP1 (Fig. 2A). A yeast-two hybrid assay showed that OsTRFL1 interacts with both OsTRBF1 and RTBP1 (Fig. 2B). OsTRFL1 also formed a homo-dimeric complex in yeast cells. In contrast, OsTRFL1 did not interact with OsKu70, which does not bind to telomeres (26). To investigate the direct interactions of these DS-TBPs, we conducted an in vitro pull-down assay. As shown in Figure 2C, OsTRFL1 formed hetero-dimeric complexes with OsTRBF1 and RTBP1 as well as homo-dimer in vitro. In vivo interactions of OsTRFL1 with OsTRBF1 and RTBP1 Because RTBP1 and OsTRBF1 have high affinities for telomeric sequences (Fig. 1B), these DS-TBPs are expected to be localized to the nucleus. A subcellular localization assay using tobacco infiltration system revealed that both RTBP1-sGFP and OsTRBF1-sGFP do not display uniform distributions, but instead show speckle-like localization patterns in the nucleus (Fig. 3A). OsTRFL1-sGFP also showed a similar localization pattern that is specklelike structures inside the nuclei. In addition, mRFP-OsTRFL1 was co-localized with RTBP1sGFP and OsTRBF1-sGFP to the nuclear speckle-like bodies (Fig. 3B).
The in planta interactions of OsTRFL1 with RTBP1 and OsTRBF1 were tested by BiFC assay. For this assay, OsTRFL1 was fused to the 155 N-terminal amino acids of yellow fluorescent protein (YFP N ), and OsTRBF1 and RTBP1 were fused to the 86 C-terminal amino acids of YFP (YFP C ). The fusion constructs were co-expressed in tobacco leaf cells by Agrobacterium-mediated infiltration. Mesophyll cells of the infiltrated leaves were visualized by fluorescence microscopy. Strong YFP fluorescent signals were detected in nuclear specklelike structures when OsTRFL1-YFP N + RTBP1-YFP C and OsTRFL1-YFP N + OsTRBF1YFP C fusion constructs were co-expressed, suggesting in planta interaction of OsTRFL1 with RTBP1 and OsTRBF1 (Fig. 3C). In addition, homo-dimeric formation of OsTRFL1 was detected as a speckle-like pattern within the nuclei. Again, there was no detectable signal when OsKu70-YFP N and OsTRFL1-YFP C were co-expressed, suggesting that OsKu70 and OsTRFL1 do not interact with each other in vivo. Taken together, the results presented in Figures 1–3 suggest that OsTRFL1 interacts with RTBP1 and OsTRBF1 and that these interactions result in the indirect association of OsTRFL1 with telomere repeats in planta. Abnormal telomere lengthening and developmental defects of ostrfl1 RT-PCR analysis demonstrated the presence of OsTRFL1 transcripts in most developing tissues examined, including callus, shoots, leaves, panicles, and seeds, except for roots (Fig. 4A). However, the expression of OsTRFL1 was very low in mature stems and seeds, suggesting that OsTRFL1 may play a major role in developing organs in rice. To determine the detailed cellular functions of OsTRFL1, a loss-of-function ostrfl1 mutant line that contained a T-DNA insertion in the fifth exon of the OsTRFL1 gene was isolated (Fig. 4B). A homozygous allele for the T-DNA insertion was identified by genomic PCR with the LP/RP and LB/RP primer sets (Fig. 4C). Genomic Southern blot analysis indicated that the ostrfl1
mutant progeny contained a single T-DNA integration into the OsTRFL1 gene (Fig. 4D). Figure 4E shows that homozygous ostrfl1 mutant leaves contained markedly reduced, but still detectable, amounts of OsTRFL1 transcript, while the heterozygous ostrfl1 line contained slightly lower transcript levels (Fig. 4E). These results indicated that ostrfl1 is not a null mutant. To assess whether the reduced level of OsTRFL1 affected telomere maintenance, telomere lengths in wild-type and ostrfl1 plants were measured by the terminal restriction fragments assay (19). The telomere length of wild-type rice was 5–12 kb (Fig. 4F), which is consistent with our previous results (20). In contrast, the telomere lengths of heterozygous and homozygous ostrfl1 mutant plants were 6–25 kb (Fig. 4F). Thus, it appears that OsTRFL1 is involved in the negative regulation of telomere lengthening in rice plants. To explore the effects of decreased levels of OsTRFL1 and telomere lengthening on the development of rice plants, the phenotypic properties of wild-type and ostrfl1 plants were compared. As presented in Figure 4G, the homozygous ostrfl1 line exhibited serious growth retardation at the vegetative stage. The mutant plants were also defective in the development of reproductive organs, resulting in sterile flowers without functional seeds. The abnormal phenotypes of the heterozygous ostrfl1 mutant were intermediate between the wild-type and homozygous mutant plant phenotypes (Fig. 4G). In conclusion, OsTRFL1, which harbors a single DNA-binding Myb motif in its Cterminus, is associated with plant telomeric repeats in vivo possibly via its interactions with the DS-TBPs RTBP1 and OsTRBF1 in rice. Suppression of OsTRFL1 resulted in abnormal telomere lengthening and developmental anomalies in both vegetative and reproductive growth. Overall, these results indicate that OsTRFL1 plays a critical role in telomere length homeostasis and the normal development of rice plants.
MATERIALS AND METHODS Recombinant protein expression and gel retardation assay The Myc-(His)6-OsTRFL1 486-623 , (His)6-OsTRBF1 1-128 , and Myc-(His)6-RTBP1 506-620 recombinant proteins, all of which possess the Myb DNA-binding domain (Supplementary Fig. S2), were expressed in E. coli BL21 (DE3) cells and purified by affinity chromatography using Ni-NTA agarose (Qiagen, Hilden, Germany) according to the manufacturer's protocol. The gel retardation assay was performed as described by Byun et al. (22). Yeast two-hybrid and in vitro pull-down assays The yeast two-hybrid assay was performed according to the method of Byun et al. (14), with slight modifications. To investigate the interactions between OsTRFL1 and rice DS-TBPs, full-length OsTRFL1 was ligated into the pGBK T7 vector (Clontech, Mountain View, CA, USA). The full-length coding regions of OsTRBF1, RTBP1, and OsTRFL1 were inserted into the pGAD T7 vector. As negative controls, OsKu70 and T-antigen were also inserted into the pGAD T7 vector. These constructs were co-transformed into AH109 yeast cells. The transformed yeast cells were plated onto three-minus (–Leu/–Trp/–His) medium supplemented with 10 mM 3-amino-1,2,4,-triazole and grown at 30°C for 4 days. Bacterially expressed MBP-OsTRFL1, MBP-OsTRBF1, (His)6-OsTRFL1, (His)6OsTRBF1, and (His)6-RTBP1 recombinant proteins were purified by affinity chromatography using Ni-NTA agarose (Qiagen) for (His)6-tagged proteins and amylose resin (New England Biolabs) for MBP-tagged proteins. In vitro pull-down and immunoblot analyses were performed as described by Byun et al. (26) with anti-His and anti-MBP antibodies (Applied Biological Materials, Richmond, BC, Canada).
In vivo ChIP assay The ChIP assay was carried out as described by Byun and Kim (22), with slight modifications. Agrobacterium containing the 35S:OsTRFL1-sGFP, 35S:OsTRBF1-sGFP, 35S:OsRAD51DsGFP, and 35S:RTBP1-sGFP constructs were infiltrated into tobacco (Nicotiana benthamiana L.) leaves. After 48 h of infection, the infiltrated leaves were crosslinked with 1% formaldehyde and then quenched with 125 mM glycine. Chromatin was extracted from the leaves and incubated without (negative control) or with an anti-GFP antibody (1:1000 dilution; Applied Biological Materials). The samples were precipitated with protein G sepharose resin (GE Healthcare, Little Chalfont, United Kingdom), blotted onto a Hybond-N nylon membrane, and hybridized to 32 P-labeled (TTTAGGG)70 telomeric repeats under high stringency conditions. Subcellular localization and BiFC assays The 3ʹ end of the OsTRFL1 coding region was tagged with synthetic green fluorescent protein (sGFP) in-frame and inserted into the pEarleyGate (pEG) 100 binary vector. The vector was then transformed into Agrobacterium strain LBA4404 by electroporation. The 35S:OsTRFL1sGFP, 35S:RTBP1-sGFP, 35S:OsTRBF1-sGFP, 35S:NLS-mRFP, and 35S:mRFP-OsTRFL1 constructs were expressed in tobacco leaves using Agrobacterium-mediated infiltration. After two days of infection, protoplasts were extracted from the tobacco leaves, and fluorescent protein signals were visualized by fluorescence microscopy (BX51; Olympus, Japan). NLSmRFP was used as a nuclear marker. For the BiFC assay, the 3ʹ end of the OsTRFL1 coding region was tagged with the 155 Nterminal amino acids of YFP (YFP N ), and the 3ʹ ends of OsTRBF1 and RTBP1 were fused to the 86 C-terminal amino acids of YFP (YFP C ). The fusion constructs were co-expressed in tobacco leaves by Agrobacterium-mediated infiltration. Mesophyll cells of the infiltrated
ostrfl1T-DNA mutant line
11
leaves were visualized by fluorescence microscopy. Molecular and phenotypic analysis of the Identification and analysis of the ostrfl1 mutant were performed according to the method of Byun and Kim (22). For the terminal restriction fragments assay, leaf genomic DNA was isolated from wild-type and ostrfl1 mutant rice plants and then digested with Taq I restriction enzyme. The obtained DNA fragments were separated on a 0.7% agarose gel by pulse-field gel electrophoresis using a CHEFDR III system (Bio-Rad, Hercules, CA, USA) at 6 V m -1 for 12 h at an angle of 120° with switching times ramped from 1 to 10 s at 14°C. The DNA gel blot was hybridized to a 32 P-labeled (TTTAGGG) 70 telomere repeat probe. Hybridization signals were visualized by autoradiography at -80°C. ACKNOWLEDGMENTS This work was supported by a grant from the Woo Jang Chun Special Project (grant number PJ009106 to W.T.K.) funded by the Rural Development Administration, Republic of Korea. M.Y.B. was supported by a post-doctoral research grant from the Basic Science Research Program through the National Research Foundation of Korea (NRF) funded by the Ministry of Education (grant number NRF-2014R1A6A3A01056186). CONFLICTS OF INTEREST The authors declare no conflict of interest. REFERENCES 1. O'Sullivan RJ and Karlseder J (2010) Telomeres: protecting chromosomes against genome instability. Nat Rev Mol Cell Biol 11, 171-181 UNCORRECTED PROOF
2. Doksani Y and de Lange T (2014) The role of double-strand break repair pathways at functional and dysfunctional telomeres. Cold Spring Harb Perspect Biol 6, a016576 3. Procházková Schrumpfová P, Schořová Š and Fajkus J (2016) Telomere- and telomeraseassociated proteins and their functions in the plant cell. Front Plant Sci 7, 851 4. Nandakumar J and Cech TR (2013) Finding the end: recruitment of telomerase to telomeres. Nat Rev Mol Cell Biol 14, 69-82 5. Fouquerel E, Parikh D and Opresko P (2016) DNA damage processing at telomeres: The ends justify the means. DNA Repair 44, 159-168 6. Martínez P and Blasco MA (2015) Replicating through telomeres: a means to an end. Trends Biochem Sci 40, 504-515 7. Sfeir A and de Lange T (2012) Removal of shelterin reveals the telomere end-protection problem. Science 336, 593-597 8. Bandaria JN, Qin P, Berk V, Chu S and Yildiz A (2016) Shelterin protects chromosome ends by compacting telomeric chromatin. Cell 164, 735-746 9. Zellinger B and Riha K (2007) Composition of plant telomeres. Biochim Biophys Acta 1769, 399-409 10. Du H, Wang YB, Xie Y et al. (2013) Genome-wide identification and evolutionary and expression analyses of MYB-related genes in land plants. DNA Res 20, 437-448 11. Mozgová I, Schrumpfová PP, Hofr C and Fajkus J (2008) Functional characterization of domains in AtTRB1, a putative telomere-binding protein in Arabidopsis thaliana. Phytochemistry 69, 1814-1819.
12. Dvorácková M, Rossignol P, Shaw PJ, Koroleva OA, Doonan JH and Fajkus J (2010) AtTRB1, a telomeric DNA-binding protein from Arabidopsis, is concentrated in the nucleolus and shows highly dynamic association with chromatin. Plant J 61, 637-649 13. Marian CO, Bordoli SJ, Goltz M et al. (2003) The maize Single myb histone 1 gene, Smh1, belongs to a novel gene family and encodes a protein that binds telomere DNA repeats in vitro. Plant Physiol 133, 1336-1350 14. Byun MY, Hong JP and Kim WT (2008) Identification and characterization of three telomere repeat-binding factors in rice. Biochem Biophys Res Commun 372, 85-90 15. Schrumpfová PP, Vychodilová I, Dvořáčková M et al. (2014) Telomere repeat binding proteins are functional components of Arabidopsis telomeres and interact with telomerase. Plant J 77, 770-781 16. Lee WK and Cho MH (2016) Telomere-binding protein regulates the chromosome ends through the interaction with histone deacetylases in Arabidopsis thaliana. Nucleic Acids Res 44, 4610-4624 17. Ko S, Jun SH, Bae H et al. (2008) Structure of the DNA-binding domain of NgTRF1 reveals unique features of plant telomere-binding proteins. Nucleic Acids Res 36, 27392755 18. Ko S, Yu EY, Shin J et al. (2009) Solution structure of the DNA binding domain of rice telomere binding protein RTBP1. Biochemistry 48, 827-838 19. Yang SW, Kim SK and Kim WT (2004) Perturbation of NgTRF1 expression induces apoptosis-like cell death in tobacco BY-2 cells and implicates NgTRF1 in the control of telomere length and stability. Plant Cell 16, 3370-3385
20. Hong JP, Byun MY, Koo DH et al. (2007) Suppression of RICE TELOMERE BINDING PROTEIN 1 results in severe and gradual developmental defects accompanied by genome instability in rice. Plant Cell 19, 1770-1781 21. Karamysheva ZN, Surovtseva YV, Vespa L, Shakirov EV and Shippen DE (2004) A Cterminal Myb extension domain defines a novel family of double-strand telomeric DNAbinding proteins in Arabidopsis. (2004) J Biol Chem 279, 47799-47807 22. Byun MY and Kim WT (2014) Suppression of OsRAD51D results in defects in reproductive development in rice (Oryza sativa L.). Plant J 79, 256-269 23. Renfrew KB, Song X, Lee JR, Arora A and Shippen DE (2014) POT1a and components of CST engage telomerase and regulate its activity in Arabidopsis. PLoS Genet 10, e1004738 24. Miyagawa K, Low RS, Santosa V et al. (2014) SUMOylation regulates telomere length by targeting the shelterin subunit Tpz1 (Tpp1) to modulate shelterin-Stn1 interaction in fission yeast. Proc Natl Acad Sci USA 111, 5950-5955 25. Kim MK and Kim WT (2018) Telomere structure, function, and maintenance in plants. J Plant Biol 61:131-136 26. Byun MY, Cui LH and Kim WT (2015) Suppression of OsKu80 results in defects in developmental growth and increased telomere length in rice (Oryza sativa L.). Biochem Biophys Res Commun 468, 857-862
FIGURE LEGENDS Fig. 1. OsTRFL1 is associated with double-stranded telomeric repeats in planta. (A) Schematic representation of rice OsTRFL1. The C-terminal Myb DNA-binding motif is indicated. (B) Gel retardation assay. Different amounts (0, 0.5, and 1.0 µg) of bacteriallyexpressed Myc-(His)6-OsTRFL1 486-623 , (His)6-OsTRBF1 1-128 , and Myc-(His)6-RTBP1 506-620 fusion proteins, all of which possess the Myb DNA-binding domain, were incubated with 32 Plabeled (TTTAGGG)4 telomere repeats. After incubating for 10 min on ice, the reaction mixtures were loaded on an 8% non-denaturing polyacrylamide gel. (C) ChIP assay of OsTRFL1. The 35S:OsTRFL1-sGFP, 35S:OsTRBF1-sGFP, 35S:RTBP1-sGFP, and 35S:OsRAD51D-sGFP constructs were introduced into tobacco leaves by Agrobacteriummediated infiltration. After 2 days of infiltration, nuclear genomic DNA-protein complexes were isolated and subjected to immunoprecipitation with an anti-GFP antibody. The pulldowned DNA was hybridized with a 32 P-labeled (TTTAGGG)70 telomere repeat probe. IP, immunoprecipitation. Fig. 2. OsTRFL1 interacts with rice DS-TBPs in yeast cells and in vitro. (A) Structural comparison of OsTRFL1, RTBP1, and OsTRBF1. The UBL domain, Myb DNA-binding motif, and SMH domain are indicated. (B) Yeast-two hybrid assay. OsTRFL1 was cloned into the pGBK T7 vector, and OsTRBF1, RTBP1, OsTRFL1, OsKu70, and T-antigen were cloned separately into the pGAD T7 vector. Each combination of the indicated plasmids was cotransformed into yeast AH109 cells. To test for protein-protein interactions, yeast cells were plated onto two-minus (-Leu/-Trp; left panel) or three-minus (-Leu/-Trp/-His) medium containing 10 mM 3-AT (right panel) and grown at 30°C for 4 days. T-antigen was used as a
negative control. (C) In vitro pull-down assay. OsTRFL1, OsTRBF1, and RTBP1 DS-TBPs were expressed as MBP- or (His)6-fusion proteins in E. coli. The purified fusion proteins were co-incubated as indicated in the presence of His-affinity matrix. The bound protein was then eluted from the resin and immunoblotted with either anti-MBP or anti-His antibody. Fig. 3. OsTRFL1 interacts with rice DB-TBPs in nuclear speckle-like structures. (A) The 35S:OsTRFL1-sGFP, 35S:RTBP1-sGFP, and 35S:OsTRBF1-sGFP constructs were coexpressed with 35:NLS-mRFP in tobacco leaves by Agrobacterium-mediated infiltration. After two days of infection, protoplasts were prepared from the infected leaves, and fluorescent protein signals were visualized by fluorescence microscopy. NLS-mRFP was used as a nuclear marker protein. Scale bars = 5 µm. (B) 35S:OsTRBF1-sGFP or 35S:RTBP1sGFP was co-infiltrated with 35S:mRFP-OsTRFL1 into tobacco leaves. Fluorescent signals in the protoplasts were visualized by fluorescence microscopy. Scale bars = 5 µm. (C) BiFC assay. OsTRFL1-YFP N + RTBP1-YFP C , OsTRFL1-YFP N + OsTRBF1-YFP C , and OsTRFL1YFP N + OsTRFL1-YFP C proteins were transiently expressed in three-week-old tobacco leaf cells. After 3 days of infiltration, the fluorescent signals were detected by fluorescence microscopy. OsKu70-YFP N + OsTRFL1-YFP C was included as a negative control. NLSmRFP was used as a nuclei-localized marker protein. Scale bars = 5 µm. Fig. 4. Phenotypic analysis of a T-DNA-inserted ostrfl1 mutant line. (A) RT-PCR analysis of OsTRFL1. Total RNA was isolated from various rice tissues as indicated and analyzed by RTPCR. OsUbiquitin was included as a loading control. (B) Schematic structure of the rice ostrfl1 mutant (line PFG_3D-50217.L) with the inserted T-DNA. The inverted triangle indicates the location of the integrated T-DNA in the fifth exon of OsTRFL1 located on chromosome 2. The white bars indicate the 5ʹ- and 3ʹ-untranslated regions. The grey bars
represent the coding regions, and the black lines indicate the introns. The T-DNA-specific LB primer and gene-specific primers (LP and RP) used for genotyping PCR are indicated with arrows. (C) Genotyping PCR for ostrfl1. The primer sets used for genomic PCR are shown on the right side of the agarose gel. WT, wild-type; ostrfl1 -/- , homozygous allele; ostrfl1 +/- , heterozygous allele. (D) Genomic Southern blot analysis. Total leaf genomic DNA was isolated from wild-type (WT) and homozygous ostrfl1 mutant rice plants. The isolated DNA was digested with EcoRV and hybridized to 32 P-labeled hygromycin B phosphotransferase (Hph) probes under high stringency conditions. (E) Expression levels of OsTRFL1 in wildtype (WT) and homozygous (ostrfl -/- ) and heterozygous (ostrfl +/- ) mutant plants. (F) Telomere lengths in wild-type (WT) and ostrfl1 mutant plants. Rice leaf genomic DNA was digested with TaqI restriction enzyme, subjected to pulse-field gel electrophoresis, and analyzed by Southern blotting using 32 P-labeled (TTTAGGG)70 telomere repeat probes. WT, wild-type; ostrfl1 -/- , homozygote; ostrfl1 +/- , heterozygote. (G) The overall morphology of 2-month-old wild-type, heterozygous (ostrfl +/- ), and homozygous (ostrfl -/- ) mutant rice plants grown under greenhouse conditions.
Byun et al., Figure 1 UNCORRECTED PROOF
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anti-His
Byun et al., Figure 2 UNCORRECTED PROOF
A
Bright field
GFP
RFP
Merge
Byun et al., Figure 3 UNCORRECTED PROOF
A
4931 bp
Byun et al., Figure 4 UNCORRECTED PROOF
Byun et al., Supplementary Fig. S1 Myb domain Myb extension motif Supplementary Figure S1. Sequence alignment of OsTRFL1 and DS-TBPs of rice and Arabidopsis. The red lines denote the Myb DNA binding domain and the blue box indicates the Myb extension motif. Amino acid residues conserved in at least four of the six sequences are shaded. Amino acids identical in all six proteins are highlighted in black.
Supplementary Figure S2. Schematic structure of the recombinant protein used in gel retardation assays. (A) The Myb domain-containing regions of OsTRFL1, RTBP1, and OsTRBF1 were expressed in E.coli (DE3) cells and purified by affinity chromatography. (B) Immuno-blot analysis was performed with anti-His antibody. Byun et al., Supplementary Fig. S2 UNCORRECTED PROOF
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SUMNER - FREDERICKSBURG MIDDLE SCHOOL
STUDENT HANDBOOK 2021-22
This handbook is a means to provide information about the organization and practices of Sumner-Fredericksburg Middle School as set forth by the Board of Education and Administration necessary for efficient operation of the school. It is designed to help parents, students, and patrons of the district understand school rules and expectations.
If there are any questions concerning the information contained in this guidebook, please contact the school. We encourage parents to visit the school and become acquainted with the faculty, administration, the school and its operation.
SCHOOL DISTRICT MISSION STATEMENT
Committed to continued excellence in lifelong learning, leadership and character.
SUMNER-FREDERICKSBURG MIDDLE SCHOOL ADMINISTRATION, TEACHERS & STAFF
ADMINISTRATION
Mr. Fred Matlage
District Superintendent / Middle School Principal
Mr. Kurt Volker
District Student Support Services Director
FACULTY
Mrs. Gail Allison
Vocal Music
Mrs. Bonnie Brandenburg Aide
Mrs. Renee Bullerman Counselor
Mr. Justin Carpenter Social Studies, FCS & Coach
Mr. Steve Crawford Social Studies, & Coach
Mrs. Sara Haught
Language Arts, Literature & Special Education
Mrs. Sandy Koch
At Risk Coordinator
Mrs. Toni Kroenecke TAG & Teacher Instructional Coach, MS AD
Mrs. Gayle Hartman Aide
Ms. Melissa Laue
Aide
Mrs. Renee Maher
Language Arts, Literature
Miss Kayla Mobley Math
Mr. Martin Nuss
Science
Mrs. Katherine Owen Art
Mrs. Abby Priebe
Special Education
Mrs. Kendra Rochford Aide
Mrs. Betsy Rucker
Science & PLTW
Mrs. Jennifer Rueber Instrumental & Exploratory Music
Mrs. Kelly Schaufenbuel Media Specialist
Mr. Darren Schmitt
Math & Coach
Mrs. Colleen Shurtleff Aide
Mrs. Caitlyn Sittig
Special Education
Mr. Mike Sorenson
Language Arts, Literature, Computer & Coach
Mrs. Tori Sorenson
Physical Education, Health
Mr. Jalen Tranbarger Literature, Language Arts & PAWS
Mr. Taylor Volker
Special Education
MIDDLE SCHOOL SECRETARIES
Mrs. Keri Fountain
Mrs. Karla Suckow
CUSTODIAN
Bobbie VanSickle
OFFICE PHONES
Superintendent's Office 563-578-4431
Principal's Office
563-237-5334
Athletic Director Office 563-237-5334
Counselor's Office
563-237-5334
TABLE OF CONTENT
STUDENT ATTENDANCE
8
EMERGENCY DRILLS
EMERGENCY FORMS
HEALTH SCREENING
18
18
18
SEMESTER TESTS
28
STANDARDIZED TESTS
28
34
34
34
35
STUDENT ATTENDANCE
It is the educational philosophy of the Sumner-Fredericksburg Community School District that regular attendance by all students at school is essential and cannot be duplicated by other methods. Students are unable to obtain the maximum opportunities from the educational program offered without attendance at scheduled classes and activities. Consequently, the Board of Directors, the Administrators and the Staff of the Sumner-Fredericksburg Community School District expect that students shall be in attendance at scheduled classes and activities for one hundred and eighty (180) days per academic year.
All students who have reached the age of six and are under sixteen years of age on September 15 (unless otherwise exempted) are of compulsory school age and required by Iowa law to attend school. Students may continue to attend public school until they earn a diploma and are under the age of 21. Students of compulsory school age who are not in school without a valid excuse from the school shall be considered truant.
Students who know they will be absent must notify the office prior to the absence. If advance notification is not possible, parents must notify the office at 563-237-5334 on the day of the absence prior to 9:00 a.m. If notification is not received, the office attempts to contact the parents at their emergency number. Before a student is readmitted after an absence, the student must bring a note signed by the student's parents to the office explaining the reason for the absence.
By Iowa State Code the school must determine whether an absence for any portion of the day or for the entire day is excused or unexcused. Excused absences include, but are not limited to, illness, medical or dental appointments, family emergency, recognized religious observances and school activities. Students are expected to be in class on time. Unexcused absences include but are not limited to absence or tardiness, which is not excused by the parent and the school.
Students who need to leave school during the school day must receive permission from the office and have a note signed by the student's parents, have their parents telephone the office or have their parents pick them up. Students who return to class or arrive after the school day has begun must present a signed note from their parents to the office for re-admission. Students are not released to anyone other than their parents during the school day unless the office has a note signed by the student's parents.
Students who are dropped off by the bus or parent prior to 7:50 a.m. must report to the supervised study hall in the multipurpose gym. Students who arrive at school after the start of the normal day or who leave school before the end of normal day are required to sign in or out at the office.
Students participating in school activities must be in school all day on the day of the event in order to participate in a school activity. Only in extraordinary circumstances, may this rule be waived by the principal.
Students are responsible for arranging to make up schoolwork and are allowed to make up schoolwork only upon the approval of their teacher. Students who know they are going to be absent prior to an absence must make arrangements with their teacher in advance to make up schoolwork. Students have one day for each day of absence to make up schoolwork upon return from an excused absence.
Students are not allowed to make up schoolwork or to submit late school work due to truancy. Make-up work for an unexcused absence is due upon return to school.
When a student is absent more than 10% of the time, excuses for sickness must be accompanied by a doctor's excuse. If there is no doctor's excuse, it will be considered unexcused. After a total of five unexcused absences in a semester, the student will lose credit in those classes missed. This could result in repeating that grade level.
INCLEMENT WEATHER
When school is cancelled because of inclement weather prior to the start of the school day, students and parents are notified over KCRG, 95.1 FM and KWWL. You can also receive notifications via email or text message by downloading the app available on the school website: www.sfcougars.org The missed day may have to be made up at a later date.
If school is dismissed because of inclement weather after the school day has begun, parents are notified by the same means. Parents of students who ride the bus are notified how students will be returned home with the notification that the school has been dismissed. The superintendent determines whether buses will follow the regular routes. If the buses do not follow the regular routes, they follow emergency routes or the parents are responsible for picking up the students at the student's school.
START AND END OF DAY
Fredericksburg bus students should report to the multipurpose gym for a supervised study hall in the morning. Non-bus students should not enter the building before 7:45 a.m. All students are to leave the building at 3:25 p.m. unless he or she is under the direct supervision of a teacher or coach.
TARDINESS
All students will be allowed one (1) unexcused tardy, per class, during the nine weeks. If students are late because of another instructor, it is the student's responsibility to have that teacher write an excuse. This should be shown to the instructor whose class the student was late for at the end of the period. The middle school principal may excuse a tardy of an extraordinary nature. On the second unexcused tardy, the student will be grounded to study hall for two weeks. All unexcused tardies after two will result in a detention. Arrival to the classroom during the first five minutes of the period will be tardy to that class. Anything later than five minutes or leaving the class at any time will be an absence to that class.
TRUANCY
If it is established that the parents are not aware of the student's absence, the student will be considered truant. Truancy will be handled as follows:
* First Violation – Student will make up time in detention on an hour for hour basis
* Second Violation – Student will be given a Saturday school In-School Suspension.
* Third Violation – Student will face expulsion in front of the Board of Education
STUDENT RIGHTS AND RESPONSIBILITIES
Rights of students include to:
* Be respected as unique individuals
* Be given assignments that will fulfill their needs
* Study in well-planned and organized classrooms with professional teachers
* Expect fair treatment as individuals and groups
* Be informed of the expectations of the school
* Expect that their rights, feelings, person and property will be respected
* Conference with teachers, principal and school personnel on issues which affect school work
Section 9524 of the No Child Left Behind Act (2002) on "School Prayer" requires schools to certify that we have NO policy that "otherwise denies participation in constitutionally protected prayer in public...schools as detailed in the act.
Responsibilities of students include:
* Act in a manner that will reflect credit to themselves, their parents and school
* Accept ownership for their actions
* Be attentive in class and have all materials necessary to participate and complete assignments
* Be regular and punctual in attendance
* Respect the rights, feelings, person, and property of others
* Respect the skills, judgment and authority of teachers and staff members
* Obey school rules, regulations and school personnel in the performance of their assigned duties
* Dress, groom and conduct themselves in a manner that is healthy, safe, and conducive to the mission of the school
CARE OF SCHOOL PROPERTY
The buildings have been cleaned during the summer vacation. It's the responsibility of each of us to take pride in our surroundings and help keep the buildings clean and presentable at all times. Any student found guilty of purposely defacing or damaging school property will face an automatic suspension and be required to restore the item to its original value. This includes writing on any school property (desks, walls, books, etc.) regardless of the instrument used.
Students may be in the building before and after school, also weekends, when they are under an adult's supervision. Students in the building without supervision at the above named times will be trespassing and will be subject to disciplinary action.
CHEATING
Whether you give or receive information during an examination or on certain assignments, the offense is the same. You will receive a zero for the work. A one-hour detention will be assigned for the first offense. Students caught cheating will not be eligible for a presidential letter.
CITIZENSHIP
Being a citizen of the United States, of Iowa, and of the school district community, entitles students to special privileges and protections as well as requiring the students to assume civic, economic and social responsibilities and to participate in their country, state and school district community in a manner that entitles them to keep these rights and privileges.
As part of the education program, students have an opportunity to learn about their rights, privileges and responsibilities as citizens of this country, state and school district community. As part of this learning opportunity, students are instructed in the elements of good citizenship and the role quality citizens play in their country, state, and school district community.
DRESS CODE
There is a strong connection between academic performance, students' appearance and students' conduct. Inappropriate student appearance may cause material and substantial disruption to the school environment, present a threat to the health and safety of students, employees and visitors on school grounds. Students are expected to adhere to reasonable levels of cleanliness and modesty. Students are expected to wear clothing that is appropriate to their age level and not disrupt the school or educational environment.
Students are prohibited from wearing clothing advertising or promoting items illegal for use by minors including, but not limited to the following:
* alcohol or tobacco
* wearing any type of head covering in the building, i.e. hat and hoods unless documented culture or religion requires
* wearing shoes with cleats except for outdoor athletic practices
* wearing any type of gang related item
* wearing clothing displaying obscenity, profanity, vulgarity, racial or sexual remarks, making reference to prohibited conduct or similar displays
Under certain circumstances or during certain classes or activities, a stricter dress code may be appropriate, and students must comply with the strict requirement. Students' shirts, pants, slacks or dress must come high enough to cover their midriff; no bare midriffs and no visible undergarments are permitted. Shirts or blouses must have straps at least one inch in width over the shoulder and there is to be no spaghetti straps and no cleavage showing. No seethrough/race back shirts without a one inch strap shirt underneath will be permitted. Shorts and dresses must be of a length that when hands are held as fists at his/her side, that the hem is at least as long as where the fist hand is on the thigh. Loose fitting athletic shorts are okay. NO spandex shorts are permitted, except for volleyball practice and/or games. The appropriateness of the student's appearance is at the discretion of the school staff. The principal makes the final determination.
DUAL ENROLLMENT STUDENTS
Home school or home school assistance program students enrolled in classes or participating in school activities in the school district are subject to the same policies, rules and regulations as other students and are disciplined in the same manner as other students. Dual enrollment students interested in participating in school activities or enrolling in classes should contact the superintendent or principal.
ILLEGAL ITEMS FOUND IN SCHOOL OR IN STUDENT'S POSSESSION
Students are prohibited from distributing, dispensing, manufacturing, possessing, using, and being under the influence of alcohol, drugs or look-a-like substances; and possessing or using tobacco, tobacco products or look-a-like substances. Objects such as razor blades, lighters, matches, pins and weapons such as knives are prohibited. Hunting rifles even if unloaded and locked in cars with the exception of weapons in the control of law enforcement officials or those being used for educational purposes and approved by the principal are not allowed on school grounds or at school activities. Students bringing firearms to school or possessing firearms at school will be expelled for not less than one year. Parents of students found in violation of this policy may be contacted and the students may be reported to law enforcement officials.
GRIEVANCE PROCEDURE (STUDENT COMPLAINTS)
Students may file a grievance complaint regarding school district policies, rules and regulations or other matters by complying with the following procedure. This procedure is strictly followed except in extreme cases:
* If a schoolteacher or employee is involved, within three school days of the incident, discuss the complaint with the individual.
* If unsatisfied with the employee's response or if there is no employee involved, within five school days of the employee's response or the incident, place the complaint in writing to the principal or designee.
* If unsatisfied with the principal's or designee's response, within five school days of the principal's or designee's response, submit a written request for appeal to the superintendent.
* If unsatisfied with the superintendent's response, within five school days of receiving the superintendent's response, the student may file a written request to speak to the board. The board determines whether it will address the complaint.
INTERNET
Students will be able to access the Internet through their teachers. Individual student accounts and electronic mail addresses may be issued to students who are enrolled in classes that require this service to meet the course goals and objectives. If a student already has an electronic mail address, the student will not be permitted to use the address to send and receive mail at school. It is a goal to allow teachers and students access to the rich opportunities of the Internet while we protect the rights of students and parents who choose not to risk exposure to questionable material. The amount of time available for each student may be limited by the number of available terminals and the demands for each terminal.
The Internet can provide a vast collection of educational resources for students and employees. It is a global network, which makes it impossible to control all available information. Because information appears, disappears and changes constantly, it is not possible to predict or control what students may locate. The school district makes no guarantees as to the accuracy of information received on the Internet. Although students will be under teacher supervision while on the network, it is not possible to constantly monitor individual students and what they are accessing on the network. Some students might encounter information that may not be of educational value. Student Internet records and access records are confidential records treated like other student records. Student's Internet activities will be monitored by the school district to ensure students are not accessing inappropriate sites that have visual depictions that include obscenity, child pornography or are harmful to minors.
The school district will monitor the online activities of students and will educate students about appropriate online behavior, including interacting on social networking sites and chat rooms. Students will also be educated on cyber bullying, including awareness and response. Employees will provide age appropriate training for students who use the Internet. The training provided will be designed to promote the school district's commitment to:
* The standards and acceptable use of Internet services as set for the in the Internet Safety Policy
- safety on the Internet
- appropriate behavior while online, on social networking Web sites, and in chat rooms
- cyber bullying awareness and response
* Compliance with the E-rate requirements of the Children's Internet Protection Act
Employees and students will be instructed on the appropriate use of the Internet. Parents will be required to give permission, during registration, to allow their students to access the Internet. Students will sign a form acknowledging they have read and understand the Internet Acceptable use policy and regulations, that they will comply with the policy and regulations and understand the consequences for violation of the policy or regulations.
The use of the network is a privilege and may be taken away for violation of board policy or regulations. As a user of the Internet, students may be allowed access to other networks. Each network may have its own set of policies and procedures. It is the user's responsibility to abide by the policies and procedures of these other networks. Students will adhere to the online protocol:
* Respect all copyright and license agreements
* Cite all quotes, references and sources
* Remain on the system long enough to get needed information, then exit the system
* Apply the same privacy, ethical and educational considerations utilized in other forms of communication
Student access for electronic mail will be through the supervising teacher's account. Students should adhere to the following guidelines:
* Others may be able to read or access the mail so private messages should not be sent
* Delete unwanted messages immediately
* Use of objectionable language is prohibited
* Always sign messages
* Always acknowledge receipt of a document or file
Restricted Material
Students will not intentionally access or download any text file or picture or engage in any conference that includes material which is obscene, libelous, indecent, vulgar, profane or lewd; advertises any product or service not permitted to minors by law; constitutes insulting or fighting words, the very expression of which injures or harasses others; or presents a clear and present likelihood that, either because of its content or the manner of distribution, it will cause a material and substantial disruption of the proper and orderly operation and discipline of the school or school activities, will cause the commission of unlawful acts or the violation of lawful school regulations.
Students who access restricted items on the Internet shall be subject to the appropriate action described in board policy or regulations or the following consequences:
* First Violation – A verbal and written "Warning" notice will be issued to the student. The student will lose Internet access for a period of three (3) weeks. A copy of the notice will be mailed to the student's parent/guardian and a copy will be filed by the building principal.
* Second Violation – A verbal and written "Second Violation" notice will be issued to the student. A copy of the notice will be sent to the student's parent/guardian, board President, superintendent of schools, and a copy filed by the building principal. The student shall forfeit all Internet privileges for a minimum period of one (1) semester.
* Third Violation – A verbal and written "Third Violation" notice will be issued to the student. A copy of the notice will be sent to the student's parent/guardian, board President, superintendent of schools, and a copy filed by the building principal. The student shall forfeit all Internet privileges for at least one (1) calendar year. At the end of the one-year penalty, the student will meet with the District Administrative Team and Guidance Counselor prior to having Internet privileges restored.
Unauthorized Costs
If a student gains access to any service via the Internet, which has a cost involved, or if a student incurs other types of costs, the student accessing such a service will be responsible for those costs.
Parents/guardians shall be asked annually to grant permission for their student to use the Internet using the prescribed form.
CELL PHONES IN SCHOOL
Cell phones may be brought to school but must be turned off and kept in lockers from 8:05 a.m. until 3:15 p.m. Cell phones may never be used in the locker rooms or restrooms. Students, who need to make a call, may bring their cell phone to the office to make the call. Any use of a cell phone in the restrooms and/or locker rooms could result in disciplinary action and possible referral to law enforcement.
Violations for cell phone use will be the following:
* First Violation – Warning to student, Student to put cell phone in their locker.
* Second Violation – Phone will be left in the main office for three (5) days during school hours-parent contact
* Third or Subsequent Violation – Phone is to be left at home for the remainder of the academic school year. Parent and student must meet with principal and school counselor.
ELECTRONIC DEVICES
Electronic music devices, games, computers, etc. are not allowed at school. Headphones, earbuds or Bluetooth earbuds are not to be used during school hours unless required by classroom teacher for an academic purpose.
UNAUTHORIZED ITEMS
Students may not possess televisions, water guns, toys and other similar items in the school building or at school activities. The items are taken away from the students and returned at a later date.
INITIATIONS, HAZING OR HARASSMENT
Harassment and abuse are violations of school district policies, rules and regulations and, in some cases, may also be a violation of criminal or other laws. The school district has authority to report students violating this rule to law enforcement officials.
Students who feel that they have been harassed should:
* Communicate to the harasser that the student expects the behavior to stop, if the student is comfortable doing so. If the student needs assistance communicating with the harasser, the student should ask a teacher, counselor, or principal to help.
* If the harassment does not stop, or the student does not feel comfortable confronting the harasser, the student should:
o tell a teacher, counselor or principal
o write down exactly what happened, keep a copy and give another copy to the teacher, counselor or principal including:
- what, when, and where it happened
- who was involved
- exactly what was said or what the harasser did
- witnesses to the harassment
- what the student said or did, either at the time or later
- how the student felt
- how the harasser responded
Sexual harassment may include unwelcome sexual advances, requests for sexual favors and other verbal or physical conduct of a sexual nature. Harassment on the basis of race, color, religion, national origin, sex, disability, age or marital status includes conduct of a verbal or physical nature that is designed to embarrass, distress, agitate, disturb or trouble persons when:
* submission to such conduct is made either explicitly or implicitly a term or condition of the student's participation in school programs or activities
* submission to or rejection of such conduct by a student is used as the basis for decisions affecting the student
* such conduct has the purpose or effect of unreasonably interfering with a student's performance or creating an intimidating or hostile working or learning environment
Sexual harassment includes, but is not limited to:
* verbal, physical, or written harassment or abuse
* pressure for sexual activity
* repeated remarks to a person with sexual or demanding implications
* suggesting or demanding sexual involvement, accompanied by implied or explicit threats
Harassment based upon factors other than sex includes, but is not limited to:
* verbal, physical, or written harassment or abuse
* repeated remarks of a demeaning nature
* implied or explicit threats concerning one's grades, job, etc.
* demeaning jokes, stories or activities
ANTI-BULLYING/ANTI-HARASSMENT INVESTIGATION PROCEDURES
Code 104.R1
The Sumner-Fredericksburg Community School District is committed to providing all students with a safe and civil school environment in which all members of the school community are treated with dignity and respect. Bullying and/or harassment of/or by students, staff, and volunteers is against federal, state and local policy and is not tolerated by the board. Bullying and/or harassing behavior can seriously disrupt the ability of school employees to maintain a safe and civil environment, and the ability of students to learn and succeed. Therefore, it is the policy of the state and the school district that school employees, volunteers, and students shall not engage in bullying or harassing behavior in school, on school property, or at any school function or school-sponsored activity.
Definitions
For the purposes of this policy, the defined words shall have the following meaning:
* "Electronic" means any communication involving the transmission of information by wire, radio, optic cable, electromagnetic, or other similar means. "Electronic" includes but is not limited to communication via electronic mail, internet-based communications, pager service, cell phones, and electronic text messaging.
* "Harassment" and "bullying" shall mean any electronic, written, verbal, or physical act or conduct toward a student based on the individual's actual or perceived age, color, creed, national origin, race, religion, marital status, sex, sexual orientation, gender identity, physical attributes, physical or mental ability or disability, ancestry, political party preference, political belief, socioeconomic status, or familial status, and which creates an objectively hostile school environment that meets one or more of the following conditions:
o Places the student in reasonable fear of harm to the student's person or property
o Has a substantial detrimental effect on the student's physical or mental health
o Has the effect of substantially interfering with a student's academic performance
o Has the effect of substantially interfering with the student's ability to participate in or benefit from the services, activities, or privileges provided by a school
* "Trait or characteristic of the student" includes but is not limited to age, color, creed, national origin, race, religion, marital status, sex, sexual orientation, gender identity, physical attributes, physical or mental ability or disability, ancestry, political party preference, political belief, socioeconomic status, or familial status.
* "Volunteer" means an individual who has regular, significant contact with students
Filing a Complaint
A Complainant who wishes to avail himself/herself of this procedure may do so by filing a complaint with the superintendent or superintendent's designee. An alternate will be designated in the event it is claimed that the superintendent or superintendent's designee committed the alleged discrimination or some other conflict of interest exists. Complaints shall be filed within 60 days of the event giving rise to the complaint or from the date the Complainant could reasonably become aware of such occurrence. The Complainant will state the nature of the complaint and the remedy requested. The Complainant shall receive assistance as needed. (Complaint forms and Witness disclosure forms may be obtained from Mrs. Bullerman)
School employees, volunteers, and students shall not engage in reprisal, retaliation, or false accusation against a victim, witness, or an individual who has reliable information about an act of bullying or harassment.
Investigation
The school district will promptly and reasonably investigate allegations of bullying or harassment. The superintendent (hereinafter "Investigator") will be responsible for handling all complaints alleging bullying or harassment. The Investigator shall consider the totality of circumstances presented in determining whether conduct objectively constitutes bullying or harassment. The superintendent or the superintendent's designee shall also be responsible for developing procedures regarding this policy.
Suggestions for administrative procedures regarding this policy include:
* Developing procedures for reporting acts of bullying and harassing behavior (see IASB sample regulation 104.R1)
* Organizing training programs for students, school employees, and volunteers regarding how to recognize bullying and harassing behavior and what to do if this behavior is witnessed
* Developing a process for evaluating the effectiveness of this policy in reducing bullying and harassing behavior
Decision
If, after an investigation, a student is found to be in violation of this policy, the student shall be disciplined by appropriate measures, which may include suspension and expulsion. If after an investigation a school employee is found to be in violation of this policy, the employee shall be disciplined by appropriate measures, which may include termination. If after an investigation a school volunteer is found to be in violation of this policy, the volunteer shall be subject to appropriate measures, which may include exclusion from school grounds.
A school employee, volunteer, or student, or a student's parent or guardian who promptly, reasonably, and in good faith reports an incident of bullying or harassment, in compliance with the procedures in the policy adopted pursuant to this section, to the appropriate school official designated by the school district, shall be immune from civil or criminal liability relating to such report and to participation in any administrative or judicial proceeding resulting from or relating to the report.
Individuals who knowingly file false bullying or harassment complaints and any person who gives false statements in an investigation may be subject to discipline by appropriate measures, as shall any person who is found to have retaliated against another in violation of this policy. Any student found to have retaliated in violation of this policy shall be subject to measures up to, and including, suspension and expulsion. Any school employee found to have retaliated in violation of this policy shall be subject to measures up to, and including, termination of employment. Any school volunteer found to have retaliated in violation of this policy shall be subject to measures up to, and including, exclusion from school grounds.
JURISDICTIONAL AND BEHAVIORAL EXPECTATIONS STATEMENT
This handbook is an extension of board policy and is a reflection of the goals and objectives of the school board. The board, administration and employees expect students to conduct themselves in a manner fitting to their age level and maturity and with respect and consideration for the rights of others. Students are expected to treat teachers, employees, students, visitors, and guests with respect and courtesy. Students may not use abusive language, assault, physical force or fighting, extortion, inappropriate physical contact including displays of affection, profanity, or obscene gestures or language.
This handbook and school district policies, rules and regulations are in effect while students are on school grounds, school district property or on property within the jurisdiction of the school district; while on school-owned and/or school-operated buses or vehicles or chartered buses; while attending or engaged in school activities, and while away from school grounds if the misconduct directly affects the good order, efficient management and welfare of the school district or involves students or staff. School district policies, rules and regulations are in effect 12 months a year. A violation of a school district policy, rule, regulation or student handbook may result in disciplinary action and may affect a student's eligibility to participate in extracurricular activities whether the violation occurred while school was in session or while school was not in session.
Students are expected to comply with and abide by the school district's policies, rules, regulations and student handbook. Students who fail to abide by the school district's policies, rules, regulations and student handbook may be disciplined for conduct which disrupts or interferes with the education program; conduct which disrupts the orderly and efficient operation of the school district or school activity; conduct which disrupts the rights of other students to obtain their education or to participate in school activities; or conduct which interrupts the maintenance of a disciplined atmosphere. Specific examples of disciplinary infractions include but are not limited to fighting, extortion, sit-ins or boycott, smoking or tobacco use and theft. Disciplinary measures include, but are not limited to individual conferences, conferences involving parents, removal from the classroom, detention, behavioral contracts, fines, suspension, probation and expulsion. Discipline can also include prohibition from participating in extracurricular activities, including athletics. Corporal punishment (deliberately inflicting pain as punishment) is prohibited as a disciplinary measure. The discipline imposed is based upon the facts and circumstances surrounding the incident and the student's record.
The school reserves and retains the right to modify, eliminate or establish school district policies, rules, regulations and student handbook provisions as circumstances warrant, including those contained in the handbook. Students are expected to know the contents of the handbook and comply with it. Students or parents with questions or concerns may contact the school office for information about the current enforcement of the policies, rules, regulations or student handbook of the school district.
In the discipline process, students are entitled to due process: at a minimum this means being told of the rule violation, given an opportunity to present their side of the story.
Local, county and state laws may require or allow police involvement. A student may be interviewed by law enforcement officials at school only when it is not possible to interview him/her at home. The law enforcement official will contact the principal and request permission to talk with the student. The principal shall notify the parent or guardian to obtain permission for the student to be interviewed and may witness the interrogation. The interview will continue with the
student's consent. A student may be removed from school taken into custody by law enforcement officials only when it is essential to the best interests of the student or school community. When removing a student, a law officer shall present a warrant or court order stating the reasons for the student's removal.
LEGAL STATUS OF STUDENT
If a student's legal status, such as the student's name or the student's custodial arrangement, should change during the school year, the parent or guardian must notify the school district. The school district needs to know when these changes occur to ensure that the school district has a current student record.
OPEN ENROLLMENT
Iowa's open enrollment law allows students residing in one school district to request transfer to another school district upon the parents' request. Students wishing to open enroll to another school district must apply for open enrollment by March 1 of the school year preceding the school year in which they wish to open enroll unless there is good cause. Open enrolled students from low-income families may qualify for transportation assistance. Open enrollment may result in loss of athletic eligibility for students open enrolling. Students interested in open enrolling out of the school district must contact the superintendent's office for information and forms.
POSTING OF INFORMATION
Students who wish to post or distribute information must receive permission from the principal at least three days before the posting or distribution. This applies whether the information deals with school-sponsored or non-school sponsored activities. The principal can explain or answer questions regarding the school's rules on posting and distributing materials.
STUDENT PUBLICATIONS
Students may produce official school district publications as part of the curriculum under the supervision of a faculty advisor and principal. Official school district publications include, but are not limited to, the school newspaper and yearbook. Expression made by students, including student expression in the school district publications, is not an expression of official school district policy. The school district, the board and the employees are not liable in any civil or criminal action for student expression made or published by students unless the employees or board have interfered with or altered the content of the student speech or expression. Copies of the school district publication code can be obtained from the superintendent. A faculty advisor supervises student writers to maintain professional standards of English and journalism and to comply with the law including, but not limited to, the restrictions against unlawful speech. No student shall express, publish or distribute in an official school district publication material, which is:
* obscene
* libelous
* slanderous
* encourages students to commit unlawful acts
* violate school district policies, rules or regulations
* cause material and substantial disruption of the orderly and efficient operation of the school or school activity
* disrupt or interfere with the education program
* interrupt the maintenance of a disciplined atmosphere
* infringe on the rights of others
Students who believe they have been unreasonably restricted in their exercise of expression in an official student publication should follow the complaint procedure outlined in this handbook.
STUDENT SEARCHES
In order to protect the health and safety of students, employees and visitors to the school district and for the protection of the school district facilities, students and their belongings and school-owned lockers and desks may be searched or inspected. A search of a student will be justified when there are reasonable grounds for suspicion that the search will turn up evidence that the student has violated or is violating the law or school district policy, rules, or regulations affecting school order.
Reasonable suspicion may be formed by considering factors such as the following:
* eyewitness observations by employees
* information received from reliable sources
* suspicious behavior by the student
* the student's past history and school record although this factor alone is not sufficient to provide the basis for reasonable suspicion
A search will be permissible in its scope or intrusiveness when the measures adopted are reasonably related to the objectives of the search. Reasonableness of scope or intrusiveness may be determined based on factors such as the following:
* age of the student
* sex of the student
* nature of the infraction
* emergency requiring the search without delay
A student's body and/or personal effects (e.g., purse, backpack, etc.) may be searched when a school official has reasonable suspicion to believe the student is in possession of illegal or contraband items or has violated school district policies, rules, regulations or the law affecting school order.
Personally intrusive searches will require more compelling circumstances to be considered reasonable. If a pat-down search or a search of a student's garments (such as jackets, socks, pockets, etc.) is conducted, it will be conducted in private by a school official of the same sex as the student and with another adult witness of the same sex present, when feasible. A more intrusive search, short of a strip search, of the student's body, handbags, book bags, etc. is permissible in emergency situations when the health and safety of students, employees, or visitors are threatened. Such a search may only be conducted in private by a school official of the same sex as the student, with an adult of the same sex present unless the health or safety of students will be endangered by the delay which may be caused by following these procedures.
Students are permitted to park on school premises as a matter of privilege, not of right. The school retains authority to conduct routine patrols of the student parking lots. The interior of a student's automobile on the school premises may be searched if the school official has reasonable suspicion to believe that illegal, unauthorized or contraband items are contained inside.
STUDENT LOCKERS
Students are expected to keep their hall lockers clean and orderly at all times. Locker assignments are made by the Principal's Office, and students are to retain the assigned locker. If you have difficulty opening your locker, contact the office. Please do not kick the locker door. Nothing is to be taped or stuck on the inside or outside of the lockers. Pictures, awards, etc. may be hung up in the locker by the use of magnets only. Any advertisement for liquor, beer, tobacco, suggestive remarks, pornography or any obscenities will not be permitted in lockers.
Random searches of lockers may be conducted without the student present. Students will be notified of the search afterward as soon as possible.
THREATS OF VIOLENCE
All threats of violence, whether oral, written, or symbolic, against students, employees, visitors, or to school facilities are prohibited. All such threats will be promptly investigated. Law enforcement may be contacted. Threats issued and delivered away from school or school activities may be grounds for disciplinary action if the threat impacts the orderly and efficient operation of the school. Students engaging in threatening behavior will face disciplinary consequences up to and including expulsion. The following factors will be considered in determining the extent to which a student will be disciplined for threatening or acts of terrorism:
* the background of the student, including any history of violence or prior threatening behavior
* the student's access to weapons of any kind
* the circumstances surrounding the threat
* the age of the student
* the mental and emotional maturity of the student
* cooperation of the student and his or her parent(s) or guardian(s) in the investigation
* the existence of the student's juvenile or criminal history
* the degree of legitimate alarm or concern in the school community created by the threat
* any other relevant information from any credible source
STUDENT HEALTH, WELL-BEING AND SAFETY
ADMINISTRATION OF MEDICATION
Students may need to take prescription or non-prescription medication during school hours. Students must provide written instructions for administration of medication as well as parental authorization to administer the medication. All medication needs to be kept in the office.
Medication is held in a secure area and distributed by the office staff. Medication must be in the original container with the following information either on the container, in the instruction sheet or in the parental authorization: name of the student; name of the medication; directions for use including dosage, times, and duration; name, phone number and address of the pharmacy (if applicable); date of the prescription (if applicable); name of the physician (if applicable); potential side effects; and emergency number for parents.
ASBESTOS NOTIFICATION
Asbestos has been an issue of concern for many years. The Asbestos Hazard Emergency Response Act of 1986 (AHERA) was designed to determine the extent of asbestos concerns in the schools and to act as a guide in formulating asbestos management policies for schools. The school district facilities have been inspected by a certified asbestos inspector as required by AHERA. The inspector located, sampled, and determined the condition and hazard potential of all material in the school facilities suspected of containing asbestos. The inspection and laboratory analysis records form the basis of the asbestos management plan.
A certified management planner has developed an asbestos management plan for the school district facilities which includes: notification letters, training for employees, a set of procedures designed to minimize the disturbance of asbestos-containing materials, and plans for regular surveillance of the materials. A copy of the management plan is available for inspection in the office.
COMMUNICABLE AND INFECTIOUS DISEASES
Students who have an infectious or communicable disease are allowed to attend school as long as they are able to do so and their presence does not pose an unreasonable risk of harm to themselves or does not create a substantial risk of illness or transmission to other students or employees. If there is a question about whether a student should continue to attend classes, the student shall not attend classes or participate in school activities without their personal physician's approval. Infectious or communicable diseases include, but are not limited to, human immuno-deficiency virus (AIDS), mumps, measles, and chicken pox.
EMERGENCY DRILLS
Periodically, the school holds emergency fire and tornado drills. At the beginning of each semester, teachers notify students of the procedures to follow in the event of a drill. Emergency procedures and proper exit areas are posted in all rooms.
Students are expected to remain quiet and orderly during a drill or an emergency. Students who pull the fire alarm or call in false alarms, in addition to being disciplined under the school district's policies, rules, regulations, and may be reported to law enforcement officials.
EMERGENCY FORMS
At the beginning of each school year, during registration, parents must provide the emergency telephone numbers of the parents as well as alternate persons to contact in the event the school is unable to locate the parents. The emergency online registration form also includes a statement that gives the school district permission to release the student to the alternate person in the event the parents cannot be reached. Parents must notify the office if the information on the emergency form changes during the school year.
HEALTH SCREENING
Throughout the year, the school district sponsors health screening for vision, hearing, scoliosis and height and weight measurements. Students are automatically screened unless the parent submits a note asking the student be excused from the screening. The grade levels included in the screening are determined annually. Parents are notified prior to the health screening. However, upon a teacher's recommendation and with parental permission, students not scheduled for screening may also be screened.
ILLNESS OR INJURY AT SCHOOL
A student who becomes ill or is injured at school must notify his or her teacher or another employee as soon as possible. In the case of a serious illness or injury, the school shall attempt to notify the parents according to the information on the emergency form. If the student is too ill to remain in school, the student will be released to the student's parents or, with parental permission, to another person directed by the parents.
While the school district is not responsible for treating medical emergencies, employees may administer emergency or minor first aid if possible. The school will contact emergency medical personnel, if necessary, and attempt to notify the parents where the student has been transported for treatment.
IMMUNIZATIONS
Prior to starting school or when transferring into the school district, students must present an approved Iowa Department of Public Health immunization certificate signed by a health care provider stating that the student has received the immunizations required by law. Students without the proper certificate signed by a health care provider stating that the student has received the immunizations must make arrangements with the principal.
Only for specific medical or religious purposes are students exempted from the immunization requirement. Students may also be required to pass a TB test prior to attending school. Parents who have questions should contact the office.
INSURANCE AND HAWK-I INSURANCE FOR CHILDREN
Student health and accident insurance is available to students at the beginning of the school year. Parents may purchase insurance for their children at their discretion. Parents who would like more information about student health and accident insurance should contact the office.
Student athletes must have health and accident insurance in order to participate in intramural or extracurricular activities. Students must provide written proof of insurance prior to the start of the athletic activity. A letter from the parents stating that the student is covered is adequate proof of insurance. Student athletes, who do not have and cannot afford insurance, should contact their coach.
Parents can apply for low or no-cost health insurance for their children through the state's Healthy and Well Kids in Iowa (HAWK-I) program. Children from birth to 19, who meet certain criteria, are eligible. The coverage includes doctor's visits, hearing services, dental care, prescriptions, immunizations, physical therapy, vision care, speech therapy and hospital services to name a few. Parents are urged to call 1-800-257-8563 (toll-free) or go to the web site at www.hawk-i.org for more information.
PHYSICAL EXAMINATIONS
Parents are encouraged to have their children receive periodic physical examinations. All students entering ninth grade are required to have a physical examination before the start of school.
Students participating in athletics are required to provide a school district physical examination form signed by the student's doctor stating the student is physically fit to perform in athletics prior to the start of the sport, before the first practice. Failure to provide proof of a physical examination makes the student ineligible. Students who cannot afford the cost of the physical examination should contact the coach of their sport.
SEXUAL ABUSE AND HARASSMENT OF STUDENTS BY EMPLOYEES
The school district does not tolerate employees physically or sexually abusing or harassing students. Students who are physically or sexually abused or harassed by an employee should notify their parents, teacher, principal, or another employee. The Iowa Department of Education has established a two-step procedure for investigating allegations of physical or sexual abuse of students by employees. That procedure requires the school district to designate an independent investigator to look into the allegations. The school district has designated Mrs. Renee Bullerman or Fred Matlage, as its Level I investigators. They can be reached at 563-237-5334.
Physical abuse is a non-accidental physical injury that leaves a mark at least twenty four (24) hours after the incident. While employees cannot use physical force or corporal punishment (punishment designed to inflict pain) to discipline a student, there are times when the use of physical force is appropriate. The times when physical force is appropriate include, but are not limited to:
* times when it is necessary to stop a disturbance
* to obtain a weapon or other dangerous object
* for purposes of self-defense or to protect the safety of others
* to remove a disruptive student
* to protect others from harm
* for the protection of property
* to protect a student from self-infliction of harm
Sexual abuse includes, but is not limited to:
* sexual acts involving a student and intentional sexual behavior as well as sexual harassment
Sexual harassment is:
* unwelcome sexual advances
* request for sexual favors or other verbal or physical conduct of a sexual nature when submission to such conduct is made either implicitly or explicitly a term or condition of the student's education or benefits
* submission to or rejection of the conduct is used as the basis for academic decisions affecting that student
* the conduct has the purpose or effect of substantially interfering with a student's academic performance by creating an intimidating, hostile or offensive educational environment
STUDENT ACTIVITIES
ACADEMIC ELIGIBILITY AND EXTRACURRICULAR ACTIVITIES
A student who wishes to participate must be passing (D- or above) in all courses, which they are currently enrolled in. The first check will be the midterm for the first quarter. A check will then be made at each grading period, including midterms. A student with an "F" or an incomplete will be ineligible to participate in competitions or events for two weeks in order to bring the course up to a passing level. If, after two weeks, the student maintains the failing grade, they will be ineligible for one quarter (25%) of the season. An incomplete can be excused by the principal due to extenuating circumstances such as a prolonged hospital stay, etc. This policy will continue for the entire school year.
ACTIVITY BUS
The school district may sponsor an activity bus to transport students to school activities. A fee may be charged to students riding the activity bus. Riding on the activity bus is a privilege that can be taken away. Students who ride an activity bus must ride to and from the event on the bus. Students ride home on the activity bus unless prior arrangements have been made with the principal or the student's parents personally appear and request to transport the student home.
ACTIVITY TICKETS
Students may purchase a student activity ticket for admission to certain school district activities. Students not wishing to purchase an activity ticket must pay regular prices to attend school district activities. Students who cannot afford a student activity ticket should contact the office.
ASSEMBLIES
Assemblies and Pep Rallies are a regularly scheduled part of the curriculum and as such are designed to be educational as well as entertaining experiences. They provide one of the few opportunities in school to learn formal audience behavior. Regardless of the type of program, courtesy demands that the student body be respectful and appreciative. In live entertainment, unlike radio, television or movies, the performers are very conscious of their audience. Talking, whispering, whistling, stamping of feet, and booing are discourteous. Do not leave the assembly until dismissed.
DANCES AND SOCIAL FUNCTIONS
School functions sponsored by various organizations are held throughout the school year. All scheduled social functions must be approved three weeks in advance by class or club sponsors and by the middle school principal. Policies governing social functions are as follows:
* Parents and staff must chaperone each event
* No high school students are allowed at middle school social functions
* Only current SFMS students may attend middle school dance events
* All events will be "dress up" occasions unless specific dress is predetermined, approved, and stated by sponsoring organizations (School dress code will be enforced)
* Anyone who leaves the building will not be readmitted (Parents will be contacted)
* Anyone who shows evidence of having consumed alcoholic beverages will be detained and their parents/guardian will be notified if they are a student
* In cases of improper behavior, a chaperon will ask the student to leave and that student will face the possibility of non-admittance to future events
* Any destruction of property will be assessed to the sponsoring organization unless it can be recovered from the person or persons committing the damage
FIELD TRIPS
In certain classes, field trips and excursions are authorized and may be taken as an extension of the classroom to contribute to the achievement of the educational goals of the school district. If a field trip is required for a course; students are expected to attend the field trip. Absences in other classes or school activities due to attendance on field trips or excursions are considered excused absences. While on field trips, students are guests and considered ambassadors and representatives of the school district. Students must treat employees, chaperons, and guides with respect and courtesy. At the beginning of each school year, during registration, parents are asked to give permission for students to attend field trips and excursions.
FUNDS AND FUND RAISING
Students may raise funds for school activities upon approval of the principal or superintendent at least two weeks prior to the fund raising event or the start of a fundraising campaign. Funds raised remain in the control of the school district and the board. School-sponsored student organizations must have the approval of the principal prior to spending the money raised. Classes or organizations that wish to donate a gift to the school district should discuss potential gifts with the principal prior
to selecting a gift. No class or organizational funds are to be expended for memorials or flowers due to deaths or hospitalization of students or members of a student's immediate family.
Students may not solicit funds from teachers, employees, or other students during the school day. Students who violate this rule will be asked to stop. Violations of this rule may result in future fund raising activities being denied.
GOOD CONDUCT POLICY
Any student whose habits and conduct in and out of school, during both the school year and the summer, are not consistent with the ideals, principles and the standards of Sumner-Fredericksburg school district shall be declared in violation of this good conduct policy.
Student participation in extracurricular activities is a privilege, not a right. Students who participate in extracurricular activities accept different rights and responsibilities than non-participating students. They represent the community, school, their peers as well as themselves as individuals in activities and for this reason accept more responsibility than nonparticipating students. Therefore conduct deemed inappropriate to the standards set forth by the district may result in disciplinary actions. Good Conduct violations may include, but are not limited to:
* Possession, use of, or knowingly in the presence of those using alcohol or controlled substances
* Possession or use of tobacco, regardless of age
* Vandalism or damage to property
* Theft
* Harassment, initiation or hazing
* Actions, habits or conduct at any time or place that would degrade or be detrimental to the ideals, principles or standards of the school
* All other conduct deemed criminal in the State of Iowa
Violations of the Good Conduct Policy carry over from year to year. The Good Conduct Policy applies each day (365 days) of the year.
* First Violation – If the student self-reports the violation he/she will miss up to ⅓ of the regular season competition and attend counseling for the violation. If the student does no self-report the violation, he/she will be ineligible for up to ½ of the season
* Second Violation – Same as above (The second violation in the same activity or sport will mean elimination from competition for the balance of the season)
* Third Violation – The student will be ineligible for up to one year (365 days)
If a student is not currently participating in any co-curricular activity at the time of infraction, the student will be ineligible in the next related activity that he/she participates in. If the offense occurs near the end of a season, part of the penalty will be served during that season and the balance will be served during the next sport or activity the student participates in. A student who violates the above and has been declared ineligible will not be allowed to sign up for an activity already in progress if the first interscholastic game or event or school performance, contest or concert has been held. Students who are ineligible for activities must continue practice to work off ineligibility.
Penalties for Non-Athletic Activities: Same as athletic offenses above
It should be understood that non-athletic activities will follow the same code but not be used to replace an athletic penalty. Any student who is found guilty or admits to breaking the law or is placed on probation status or is in violation of the student behavior code outlined in co-curricular and intra-curricular activities may be ineligible to participate in band and vocal. If the activity is used to figure a student's grade, students will not be held out of that activity. Ineligible students must continue to participate in all rehearsals.
Due Process
A student or parent contesting the declared ineligibility of a student based on the rules shall be required to state the basis of his or her objections in writing and also request an oral hearing with the superintendent within five days of notification of ineligibility. The superintendent shall set a date for the meeting with all parties involved within five days of receipt of the request for hearing. Upon the completion of the hearing, the superintendent shall give his decision in writing to all parties within five days. Within ten days, the complainant may appeal the decision of the superintendent to the board. Written requests for an appeal shall be sent to the Superintendent of Schools or School Board Secretary. The appeal will be placed on the next board agenda, and student and parents will be notified of the date, time, and place of the board meeting. The board shall consider the evidence presented and make written findings of its decision within five days of the hearing by mailing a copy forthwith to said appellant.
Appeals
If the complainant is still dissatisfied, an appeal may be made in writing to the Department of Education by sending an affidavit of appeal to the Director of the Department of Education. Such appeal shall be made within thirty days of receipt of said written decision of the School Board. The procedures for the hearing followed by the State Department of Education shall be applicable. All penalties shall be enforced within one calendar year.
Transfer students
Any student declared ineligible under the student's prior school district's Good Conduct Policy who transfers to SumnerFredericksburg Middle School without having completed the full period ineligibility at the prior school will NOT be eligible for interscholastic competition at the middle school until the full period of ineligibility has been completed. Once the period of ineligibility has been completed, the student is then immediately eligible for interscholastic competition at SumnerFredericksburg, provided he/she meets all Sumner-Fredericksburg eligibility requirements.
OPEN GYM DURING NON-SCHOOL HOURS
Sumner-Fredericksburg Community Schools opens its gym or athletic facilities for the purpose of making recreational activities available for all students or the community. When students are participating in an open gym in the hours immediately before or after school, school personnel shall be assigned to supervise. Open gyms are subject to the following restrictions:
* the supervisor shall not engage in any type of coaching nor participate during supervision
* attendance by students is voluntary
* volunteer or paid coaches may not directly or indirectly require the attendance of students or require the performance of activities by students prior to the legal practice period for that coach's sport
* open gym shall not be called or posted for specific sports
* an open gym notice shall be posted on the general student information bulletin board and shall be assigned or initialed by a school administrator other than the coach supervising the gym
Students are not permitted to use the weight room in isolation or in groups without the direct permission of the school personnel.
SUMNER-FREDERICKSBURG MIDDLE SCHOOL COUGAR STUDENT COUNCIL
* Purpose
- Provide for an exchange of ideas among the student body and a way for each student to have a voice in the decision making process of the student council.
- To develop leadership qualities of middle school students by way of service to the school and community.
- To provide adequate representatives of all student programs.
* Election
- Two boys and two girls each grade for student council
- Must be elected by September 1, but incoming 5th graders will be elected by midterm.
- You need a nomination form completed a week before the election.
* Officers
- President - conduct all meetings
- Vice-President - serve in the absence of President
- Treasurer - Maintain financial records
- Secretary - Maintain minutes of all meetings and complete correspondence on behalf of student council
- Members - be part of making final decisions
SUNDAY ACTIVITIES AND FAMILY NIGHT ACTIVITIES
There shall be no organized practices or scheduled events held on Sunday.
Wednesday evening of each week has been reserved for the family. Except for state sponsored activities, all extracurricular activities, practices, and official activities will end by 5:00 PM on Wednesdays.
USE OF SCHOOL DISTRICT FACILITIES BY STUDENT ORGANIZATIONS
School district facilities are available during non-school hours to school-sponsored and non-school sponsored student organizations for the purpose of meetings or activities. Students wishing to use the school district facilities should contact their sponsor or the principal to reserve a room. School district policies, rules and regulations are in effect during and after these meetings.
STUDENT EDUCATIONAL RECORDS
Student records containing personally identifiable information, except for directory information, are confidential. For a complete copy of the school district's policy on student records or the procedure for filing a complaint, contact the board secretary in the central administration office.
The Family Educational Rights and Privacy Act (FERPA) affords parents and students over 18 years of age ("eligible students") certain rights with respect to the student's education records. They are:
* The right to inspect and review the student's education records within 45 days of receipt of the request. Parents or eligible students should submit to the school principal (or appropriate school official) a written request that identifies the record(s) they wish to inspect. The principal will make arrangements for access and notify the parents or eligible student of the time and place where the records may be inspected.
* The right to request the amendment of the student's education records that the parent or eligible student believes are inaccurate, misleading or in violation of the student's privacy rights. Parents or eligible students may ask the school district to amend a record that they believe is inaccurate or misleading. They should write to the school principal, clearly identify the part of the record they want changed and specify why it is inaccurate or misleading. If the district decides not to amend the record as requested by the parent or eligible student, the district will notify the parent or eligible student of the decision and advise them of their right to a hearing regarding the request for amendment. Additional information regarding the hearing procedures will be provided to the parent or eligible student when notified of the right to a hearing.
* The right to consent to disclosures of personally identifiable information contained in the student's education records, except to the extent that FERPA authorizes disclosure without consent. One exception, which permits disclosure without consent, is disclosure to school officials with legitimate educational interests. A school official is a person:
- employed by the district as an administrator, supervisor, instructor, or support staff member (including health or medical staff, law enforcement unit personnel and certain volunteers)
- a person serving on the school board
- a person or company with whom the district has contracted to perform a special task
- a parent or student serving on an official committee, such as a disciplinary or grievance committee or student assistance team, or assisting another school official in performing his or her tasks.
A school official has a legitimate educational interest if the official needs to review an education record in order to fulfill his or her professional responsibility. Upon request, the district discloses educational records without consent to officials of another school district in which a student seeks or intends to enroll.
* The right to inform the school district the parent does not want directory information, as defined below, to be released. Any student over the age of eighteen or parent not wanting this information released to the public must make an objection in writing by September 1 or within five days of initial enrollment to the principal. The objection needs to be renewed annually.
NAME, ADDRESS, TELEPHONE LISTING, DATE AND PLACE OF BIRTH, E-MAIL ADDRESS, MAJOR FIELD OF STUDY, PARTICIPATION IN OFFICIALLY RECOGNIZED ACTIVITIES AND SPORTS, WEIGHT AND HEIGHT OF MEMBERS OF ATHLETIC TEAMS, DATES OF ATTENDANCE, DEGREES AND AWARDS RECEIVED, THE MOST RECENT PREVIOUS SCHOOL OR INSTITUTION ATTENDED BY THE STUDENT, PHOTOGRAPH AND LIKENESS AND OTHER SIMILAR INFORMATION
* The right to file a complaint with the U.S. Department of Education concerning alleged failures by the district to comply with the requirements of FERPA. The name and address of the office that administers FERPA is: Family Policy Compliance Office, U.S. Department of Education, 400 Maryland Avenue, SW, Washington DC 202024605.
The "Armed Forces Recruiter Access to Students and Student Recruiting Information" Act requires that student names, addresses and telephone numbers are available to military recruiters and institutions of higher education. Students and parents are permitted to request that their information not be sent to the military recruiters without their consent. This request must be submitted annually in writing by September 1, or within five (5) days of enrollment, whichever is later, to the principal.
STUDENT SCHOLASTIC ACHIEVEMENT
PRESIDENTIAL ACADEMIC AWARD
* Must be an 8th grade student who is taking at least the minimum class requirements.
* The student must maintain a 3.5 grade point average for all four years of middle school and must be in the 85% or above in reading or math in any national recognized test.
* An academic certificate will be awarded to 8th grade students who meet the above requirements.
* Students who have violated the good conduct policy anytime while in middle school or were caught cheating would not be eligible for this award.
CAREER EDUCATION
Preparing students for careers is one goal of educational program. Career education will be infused into the educational program for grades K-12. Career education includes awareness of self, in relations to others and the needs of society, exploration of employment opportunities, experiences in personal decision making, and integrating work values and skills into daily life.
GLOBAL EDUCATION
Because of the growing interdependence with other nations of the world, global education is incorporated into the educational program, K-12. Students shall have the opportunity to acquire a perspective on world issues, problems, and prospects for an awareness of the relationship between an individual's self-interest and the concerns of people elsewhere in the world. Global education includes an active understanding of the world community and the interdependence of its people and social, cultural, racial, economic, linguistic, technological and ecological systems.
GRADES AND GRADE POINTS
Scholarship marks or grades are determined by the individual subject area teacher and will be based upon achievement in daily and unit tests as well as semester examinations, completion of assigned work and homework, proper adherence to classroom procedure, recitation in class, individual interest and ability to achieve. Within the first week of each course, each teacher will inform each student in writing the grading procedures for each class.
The definition of letter grades is a follows:
A—Superior B—Above Average C—Average D—Below Average F—Failing (no credit awarded)
P—Pass I—Incomplete (no credit awarded) W—Withdrawn (no credit awarded)
Plus and minus grades will be used in all classes. Grade points will be assigned as follows to determine grade point average:
B-
2.67
C- 1.67
D-.67
GRADE REPORTS
Four times during the year grade reports will be issued to the students and parents. At the close of the first and third quarters, a parent-teacher conference will be scheduled whereby parents will be able to talk with any or all teachers concerning the student's progress.
Grade reports are handed out to the student at the end of the first, second, and third quarters, and picked up at the end of the year. Midterm reports will be given to each student for all four quarters. If nine week/midterm grade reports are not brought home, parents should call the middle school office, and a duplicate will be sent home.
HOMEWORK
Teachers assign homework, extra class activities or assignments as necessary. Homework is an opportunity for students to practice skills and activities, to share and discuss ideas, to review materials, to become acquainted with resources, to organize thoughts, to prepare for classroom activities or to make-up incomplete class work. Students are expected to complete homework on time. Failure to complete homework may result in loss of class credit and a failing grade in the class.
Parents should check assignment books daily. Students should find a quiet place for homework completion (quiet and uncluttered, no television or music). Set a homework schedule that fits with each week's activities. Parents should encourage, motivate, and prompt their child to do homework. Do not do your child's homework. Students need to practice skills learned in class.
Homework assignments will be checked for content and timeliness. If your child does not turn in an assignment on time, he or she will face the following consequences:
* First Violation – Verbal warning
* Second Violation – Call to the Parents/Guardians
* Third Violation and above – Mandatory attendance at Homework Club
These consequences are on a nine weeks basis.
HONOR ROLL
The school district honors students who excel academically. Honor rolls based on grade point averages (3.00-3.49, 3.50-3.99, and 4.00) will be published two weeks after the end of each grading period-First quarter, First semester, Third Quarter and Second Semester.
All grades will be averaged to determine honor rolls. Incomplete grades must be completed within one week following the end of the grading period for the students to be eligible for the honor roll.
HUMAN GROWTH AND DEVELOPMENT
The school district provides students with instruction in human growth and development. Parents may review the human growth and development curriculum prior to its use and have their child excused from human growth and development instruction. Parents should contact the principal if they wish to review the curriculum or to excuse their child from human growth and development instruction.
INCOMPLETE
Any student not meeting the requirements for completion of a course because of extenuating circumstances will be given an "incomplete" (I) grade. All incomplete grades must be finalized within two weeks after report cards have been distributed. If incomplete work is not made up, a failing grade (F) is recorded.
INSTRUCTIONAL MATERIALS
Instructional materials (textbooks and other materials used in class) are available to parents for inspection. If materials are used in connection with a survey, analysis, or evaluation in which a student participates, parental permission is required if the survey, analysis, or evaluation asks children to reveal information related to any ONE of the following:
* political affiliation or beliefs held by the student's family
* psychological issues of the student or the student's family
* sexual attitudes or behaviors
* anti-social, self-incriminating, or illegal behavior of the student
* critical appraisals of other individuals with whom the student has close family relationships
* information related to a legal privileged relationship such as attorney/client or doctor/patient
* religious practices, affiliations, or beliefs held by the student or the student's family
* income, where the information is NOT related to evaluating the student's eligibility for a financial assistance program.
In addition, parents have the right to inspect a survey created by an outside party before it is administered to students and instructional material used as part of the school's curriculum. Parents will be informed of any screenings (physical/health related) and parents will have the right to exempt their students from these screenings by submitting written requests to the principal.
MIDDLE SCHOOL CURRICULUM REQUIREMENTS FOR HIGH SCHOOL GRADUATION
All middle school students will be enrolled in the following curriculum:
* Math
* Language Arts
* Social Studies
* Science
* Literature
* Physical Education
Exploratory (nine week courses/or equivalent of nine weeks which include the following: Computer, Art, Project Lead the Way, and 6th General Music/7th Family Consumer Science & Life Skills/8th Health.
MULTICULTURAL GENDER FAIR PROGRAM
Curriculum content, instructional materials, and practices reflect the cultural and racial diversity present in the United States and the variety of careers, roles, and lifestyles open to women and men in our society. One of the objectives of the total
curriculum is to reduce stereotyping and eliminate bias on the basis of color, national origin, creed, age, marital status, socioeconomic status, sex, race ethnicity, religion, physical disability, or handicap. The curriculum fosters respect and appreciation for the cultural diversity found in our country and an awareness of the rights, duties, and responsibilities of each individual as a member of a multicultural, gender fair society.
REGISTRATION FEE
The registration fee for all middle school students will cover the cost of all textbooks and workbooks, lockers, locks, assembly programs and other registration costs. The registration fees for middle school students will be set prior to the start of the school year by the Board of Education. This fee should be paid during the set registration days prior to the opening day of school. Students will have the opportunity to purchase an activity pass, which will allow them to attend high school athletic events at a reduced rate.
RETENTION
Middle School places students in an environment where their maximum development will take place. If a student fails four or more semesters of core classes (language arts, literature, mathematics, science and social studies), he/she may, after a review by teachers and administration, be retained at the present grade level. Parents shall be informed as early in the school year as possible, when in the judgment of the faculty, a student is to be retained in the same grade for another year.
SEMESTER TESTS
All classes are required to give a semester test. Tests will count as 10% of the semester grade. Any student who does not attend his/her entire final test period, must receive a grade of "0."
STANDARDIZED TESTS
Students are given standardized tests annually. These tests are used to determine academic progress for individual students, for groups of students, for the school district and to comply with state law. Students are tested unless they are excused by the principal or as outlined by an Individual Educational Plan.
Students participate in the following standardized tests and formal information gathering: Iowa Statewide Assessment of Student Progress (ISASP)
STUDY HALL
Any time that a student is not scheduled for a regular class, that person will be assigned to a study hall. Study halls are designed to give students an opportunity to do their assigned work, independent study or recreational reading. Students will be expected to cooperate with the study hall supervisor in maintaining an orderly room and an atmosphere conducive to study. A supervisor may grant a pass to another room after attendance has been taken if a student has had a pass signed by a teacher permitting some work to be done in that teacher's room.
General study hall expectations:
* Always take study materials, books, pencils, etc. to study halls. Good planning would mean bringing enough work to keep you busy all period.
* Report on time, be seated; remain quiet with no sign-outs until attendance has been taken. The study hall supervisor will indicate when students may sign-out. A student will be allowed one sign-out per study hall. No more than two boys and two girls may be signed out to the restroom at one time. This rule is left up to the discretion of the study hall supervisor.
* There is to be no studying together or talking of any kind without specific permission from the study hall supervisor.
* Any student who signs out of study hall must sign back in within five minutes.
* Students who are tardy to study hall will be grounded to the study hall for that period with no sign-outs to any place for any reason.
* When a student needs to see an instructor, he/she will have a pass beforehand from the instructor or must sign out to the office.
* No sleeping at any time.
* General rule - As a study hall student, be prompt, bring enough work to keep busy all period, be quiet, and don't infringe upon the rights of others in having a quiet study area.
MISCELLANEOUS
RELATIONS
All relationships in and around the school are expected to be kept at the highest social level. Offenders will be subject to detention. Holding hands, arm in arm, etc. will not be permitted.
BUSES AND OTHER SCHOOL DISTRICT VEHICLES
* Be on time for the bus; help keep the bus on schedule.
* Use caution in approaching the bus stop; walk on the left towards the traffic.
* Take your seat as soon as you have entered the bus without disturbing other students.
* Remain seated at all times when the bus is in motion. Keep arms and head inside the bus at all times. Board or leave when the bus is completely stopped. If it is necessary to cross the road, do so in front of the bus after it stops and the highway is clear.
* Each student must see that his/her books and personal belongings are kept out of the aisle.
* Help to keep the bus clean, sanitary and orderly.
* Any damage done to seats or to bus equipment by the passenger will be that passenger's responsibility. Discipline will be handled the same as damage to other school property.
* In the event of a road emergency, remain in the bus until directed to do otherwise by the bus driver. Cross the road at least ten (10) feet in front of the bus, but only after checking to be sure no traffic is approaching and after receiving the signal from the driver.
* Bus riders are not permitted to leave the bus except at regular bus stops unless written authority has been given in advance by the parents to the school.
* Students riding the bus to any co-curricular activities must return to the school on the bus unless prior permission has been granted to return home with his or her parents. This rule may be waived only by the administration under extenuating circumstances when the student wishes to ride home with an adult other than his or her parent.
* Any student, not a regular bus passenger, wanting to ride a bus route must have prior parental permission approved by the administration.
* Swearing will not be allowed.
* Any wrestling, shoving, fighting, etc. will be prohibited.
In case of misconduct reported by the driver to the school administration, parents will be notified on the first offense, and the student will be placed on bus probation. If improper conduct continues, the student(s) on probation will be suspended from riding the bus for a period of two weeks (10 school days). A third offense would result in loss of bus riding privileges for the remainder of the school year.
COMPUTER LAB
Students in study hall are to use the computers in the library for reports, assignments, or research. If they are full they may ask for a pass to go to the computer lab.
DAILY ANNOUNCEMENTS
Each day, during the first two minutes of the 1st period, the announcements will be read over the intercom system. All student organizations must have the approval of their sponsor to place an announcement over the intercom system.
GAMBLING
Any form of gambling will not be permitted.
GUIDANCE & COUNSELING PROGRAM
The purpose of the Guidance and Counseling program is as follows:
* To assist students with personal problems
* To help students to develop a realistic self-concept
* To help students develop and implement educational plans
* To provide assistance in vocational planning
* To work with students, parents, and teachers for the well-being and benefit of each student
Your counselor will discuss any questions you may have about anything. Many students are concerned with things such as planning for the future, wanting to know about their interests and abilities, how to study, how to get along with teachers or other students, how to get along with their family, etc.
Your counselor expects you to work at the problem to shoulder your own responsibilities. She will allow you to say anything about any topic you like. She will be sympathetic to your feelings and problems. She will try to understand it and give you
help and direction when possible. Your counselor will do a lot of listening, which means that you will do a lot of talking. While you are talking, your counselor will try to understand your problem exactly as you know it and feel about it. Only through what you say, can all the personal meaning a problem has for you be understood by her. The counselor never knows more than what you tell her. Your counselor has no unusual "powers" enabling her to know things about you, which you do not tell him/her.
All the information you give your counselor is held in strictest professional confidence. Your counselor will not discuss information obtained in an interview with you among friends or in public. Your counselor does little disciplining. Instead, she tries to help you do better in the future by helping you to understand yourself and others.
Your counselor can talk to your teachers for you in order to help you and your teachers understand each other better. She can rearrange your schedule (under certain circumstances), and she can make other arrangements to assist you in making plans and in reaching your goals.
INDEBTEDNESS
All book rents, library fines, breakage, assessments, property damage, and other money owed to the school must be paid before credit will be transferred or accepted toward graduation from Sumner-Fredericksburg High School.
INTERROGATIONS OF STUDENTS BY OUTSIDE AGENCIES
A student may not be interviewed during the school day or periods of extracurricular activities unless the principal or another delegated staff member is present when possible.
If police officers or other officials request an interview for any issue other than child abuse, an attempt shall be made to contact the student's parents or legal guardian and to have one of them present during the interview. If the topic of the interview is child abuse and the investigator determines that the child should be interviewed independently of his or her parent(s) and the school is the most appropriate setting for the interview, school officials will allow the investigation without contacting the parents. It shall be the responsibility of the investigator in abuse cases to determine who will be present during an interview.
No student may be taken from school without the consent of the building principal and without a proper warrant. In all cases, the welfare of the child and the protection of his or her constitutional rights shall be the principal's first consideration.
FOOD IN THE BUILDING
There is to be no food in the building unless permission is given by instructors on special occasions. Only nutritious snacks are to be brought for the homeroom, non-nutritious snacks will be allowed on specified dates as determined by administration. Students are allowed to have water or zero sugar drink (i.e. Gatorade Zero ® /Powerade Zero ® /Propel ® ) in a clear water bottle, in the classroom and during the homeroom period. Hard candy is allowed. Gum will not be allowed in the middle school. Juice from the machine by the concession stand may be purchased before and after school.
LIBRARY/MEDIA CENTER
Library/Media Center Policy
Since the use of the library/media center is a privilege and since it is maintained for the purpose of serious study and research, it is not to be considered or used as a social area. Therefore, the following rules have been set up in order that this function will be maintained:
* The library/media center will be a very quiet area throughout. Any student violating this will be sent back to his/her assigned class or study hall immediately for the rest of the period. Repeated violations will result in loss of library/media center privileges.
* Books must be checked out at the library/media center desk. Materials that are taken out of the library/media center and not checked out will be considered stolen. A detention will be given to a student in possession of non-checked out materials.
* Media is available for students and staff to read in the library/media center. They are to be returned to their shelves after usage. They are not to be taken out of the room without permission from the media specialist.
* Students using the Internet must have signed permission from their parents.
* Students using sites that are inappropriate for school usage will have Internet privileges taken away. Refer to Internet policy for guidelines.
* Only materials for school usage are to be printed on school printers. Students must show the media specialist or teacher materials printed.
Library/Media Center Hours
The library/media center hours are from 8:05 a.m. until 3:15 p.m. Since the library/media center is unsupervised at other times, students are not to ask anyone to open the library/media center door before or after these hours. Students may be in the library/media center before and after hours only under the direct supervision of an instructor.
Library/Media Center Service
The goal of the library/media program is to put the right materials, book, pamphlet, newspapers, electronic resource materials, etc., into the hands of the right student at the right time. Also, the goal of the program is to help the classroom teacher in making him/her aware of the growing quantity of valuable educational aids available to teachers and students alike. The library/media center is a work area for both students and teachers.
The arrangement and classification of books and material should be familiar to all students and teachers. Also, accessing the Internet and electronic resources available on the Internet such as encyclopedias, magazines, etc. should be familiar to students and staff. A period of learning and orientation should be arranged with the media specialist at the beginning of the school year in order that both may make maximum use of all materials
LOCKER ROOMS
Locker rooms will be used only during gym classes and athletic games and practices. Lockers and locks are provided for gym clothes. Make use of these; pickup after yourself; be responsible for your own clothes. Help keep these rooms tidy. Students needing to enter the locker rooms at times other than their Physical Education period will need a pass from an instructor or the office. A detention will be assigned if a student is in the locker room without permission.
LOST AND FOUND
Lost and found articles are placed in a box next to the concession stand and kept for a minimum of one week. At least once each quarter, unclaimed items are donated to charity (if appropriate) or discarded.
LUNCH PERIOD
All students (including students bringing sack lunches) will eat in the multipurpose room. Students will eat lunch according to the schedule posted on the bulletin boards. The lunch period will be subdivided in such a way as to allow plenty of eating time for all students with a minimum of waiting time. Avoid misuse of the facilities provided. Practice good table manners at all times and be sure all milk containers, napkins, and refuse are placed in the receptacles provided. The lunch period will be a closed lunch hour. Students will not be allowed to go home to eat, unless under extenuating circumstances.
Students may bring their own cold lunch. Acceptable drinks are: milk, water, juice or zero sugar drink (i.e. Gatorade Zero®/Powerade Zero®/Propel®). No pop/soda is allowed. Students will not be allowed to bring treats for other students or share their cold lunch with anyone else. Students may not take food from the lunchroom.
LUNCH MEALS
Each student will be required to enter in their student ID number at lunchtime. Each family will have a lunch account and may keep any amount in this account. Families are responsible for keeping money in their account. Charging on another student's account will not be allowed.
MEAL CHARGES
Code 710.4
In accordance with state and federal law, the Sumner-Fredericksburg Community School District adopts the following policy to ensure school district employees, families, and students have a shared understanding of expectations regarding meal charges. The policy seeks to allow students to receive the nutrition they need to stay focused during the school day, prevent the overt identification of students with insufficient funds to pay for school meals, and maintain the financial integrity of the nonprofit school nutrition program.
Payment of Meals
All meal purchases should be prepaid before meal service begins. Payments may be brought to any of the four offices. Students who do not have sufficient funds shall not be allowed to charge ala carte items until additional money is deposited in the family account.
Students shall never be denied a reimbursable meal, even if they have accrued a negative balance from previous purchases.
Negative Account Balances
The school district will make reasonable efforts to notify families when meal account balances are low. Additionally, the school district will make reasonable efforts to collect unpaid meal charges classified as delinquent debt. The school district will coordinate communications with families to resolve the matter of unpaid charges. Families will be notified of an outstanding negative balance once the negative balance reaches $-1.00. Families will be notified by an automated emailing system and/or letters sent home. Negative balances of more than $20.00, not paid prior to the end of the month, will be turned over to the superintendent or superintendent's designee for collection. Options may include: collection agencies, small claims court, or any other legal method permitted by law.
Communication of the Policy
The policy and supporting information regarding meal charges shall be provided in writing to:
* All households at or before the start of each school year;
* Students and families who transfer into the district, at time of transfer; and
* All staff responsible for enforcing any aspect of the policy.
Records of how and when the policy and supporting information was communicated to households and staff will be retained. The superintendent may develop an administrative process to implement this policy.
Students that qualify for free meals will be allowed one breakfast and one lunch per day ONLY. However, they can buy ala carte items or pay for a second lunch.
ALL students MUST have funds available in their account to purchase a second meal, extra items or ala carte.
Deposits brought to school may not be recorded the same day. We suggest you pay in advance. If the check is given directly to the cashier in one building, other buildings may not know immediately the payment has been made. All payments will first be applied to any outstanding negative balance on the account.
Visitors are welcome to enjoy lunch with their child/children, however; we encourage you to put additional funds in the account to cover these charges.
To view your hot lunch account balance, login to the Infinite Campus Parent Portal at:
https://iacloud.infinitecampus.org/campusE/portal/sumner_fredericksburg.jsp
You will need your login and password.
If you do not remember your login and/or password, please call one of the following; Fredericksburg Elementary (563) 237-5364 Durant Elementary (563) 578-3354 Sumner-Fredericksburg Middle School (563) 237-5334 Sumner Fredericksburg High School (563) 578-3342
We are available to help with any questions, or concerns you may have.
BAND LESSONS
At times during the year it will be necessary to have student's miss classroom time due to lessons. The time spent for lessons will not be more than twenty (20) minutes. No student will be asked to miss a class more than once a week unless the student is in a study hall. Every possible effort will be made to have lessons during the student's study hall.
PHYSICAL EDUCATION UNIFORMS
All 6-8 students at Sumner-Fredericksburg Middle School will wear physical education uniforms. A proper uniform will consist of a navy Sumner-Fredericksburg Physical Education shirt that must be in original condition, not torn or altered, and navy blue shorts. Uniforms may be purchased in the office at the Sumner-Fredericksburg Middle School.
PREVENTATIVE AND CORRECTIVE PROCEDURES
The Sumner-Fredericksburg Community School District recognizes that prevention of behavioral problems is more desirable than correction. The teacher is expected to maintain a classroom climate favorable to learning and to handle most behavioral problems within this setting. However, certain procedures are identified that the teacher may follow in dealing with behavioral problems that warrant special attention. Normally, these will be utilized in the order listed, but circumstances may dictate that different order be used.
Corrective Isolation
Whenever the teacher deems the student's behavior might warrant such action, that teacher may isolate a student for a short period of time, not to exceed one class period. Said isolation may occur in the hall outside the door, or a corner of the
classroom, or any such place that will enable the teacher to supervise the student's activity. Corrective isolation shall be used as:
* a "cooling off time"
* a way to remove the student from the situation which precipitates his or her behavior
* a manner in which the student can think about the conditions under which the teacher will readmit the student to the classroom
Parent-Conferences
Conferences with parents shall be used to inform parents as early as possible when serious classroom difficulties occur, continue, and/or intensify.
Detention
A student who is assigned a detention must take the major/minor form home to have parents sign. This form must be returned (in its original condition - not ripped or crumpled) on the day the detention is to be served to the detention supervisor. The signed form simply informs the school that the parents are aware of the detention. If the student fails to make up the detention, unless excused by the middle school principal or designee, the detention time will double.
Detention will be held, when necessary, on Tuesday from 7:00-8:00 a.m. and Thursday from 3:15-4:15 p.m. The following rules shall prevail:
* No sign outs
* School related work is to take place
* No sleeping
* No talking
If a student is asked to leave detention for breaking any of the above rules, the detention time will double. A teacher may detain a student after school for academic reasons after first giving notice of this effect to the student's parents.
Temporary Removal from the Classroom
If a student persists in defiant action, which repeatedly disrupts the learning atmosphere of the classroom or presents a physical danger to the teacher, other students or the student himself/herself, that student may be sent to the principal's office. The principal, in consultation with the teacher, shall cause the teacher and student to understand the conditions and circumstances under which the student may return to the classroom.
* Suspension From Classes
- Teachers are in charge of student control in all areas as well as their specific classroom at all times. Removal from a classroom is deemed a very serious offense; when the action or conduct of a student warrants this drastic measure, the student will report directly to the office of the principal and wait until a hearing takes place. If the results of the hearing warrant punishment, either detention, temporary or permanent removal from class, or suspension from all classes will be the result in accordance with the seriousness of the misconduct.
- The student or parents have the right to appeal any decision to the Superintendent and then to the Board of Education.
- A record of each infraction shall be kept in the office of the principal and shall not be made a part of the student's permanent record unless the degree of severity warrants.
- If a decision results in a suspension, the Board of Education shall be notified in writing of this action.
Corporal Restraint
The Sumner-Fredericksburg Community Schools will follow the guidelines as passed by the 1989 Legislature.
Suspension
The Board of Education has the authority to suspend or by regulation to authorize the superintendent or principal to suspend students guilty of gross disobedience or misconduct for a period not to exceed ten school days. Suspensions will be in school unless a decision is made by the Middle School Principal or designee that an out-of-school suspension is necessary. Students will not be allowed to attend any activities scheduled before or after school on the day(s) that they are suspended. For in school suspension the student's lunch will be brought to him or her from the lunchroom.
Expulsion
The Board of Education has the authority to expel students guilty of gross disobedience or misconduct after the parents have been requested to appear at a meeting of the board to discuss the student's behavior. An expulsion may range from the remainder of the semester to one calendar year. No credit will be given for any semester during which a student was expelled.
RESOURCE ROOM
A resource room will be available for students who qualify for special assistance in their coursework. A specially qualified, fully certified teacher will provide specially designed instruction to support their educational needs. Enrollment will be based on teacher referral and a Central Rivers AEA/SFMS diagnostic and evaluation team recommendation. Parental permission will be a prerequisite for referral and placement.
"ROUGHHOUSING/HORSEPLAY"
There will be no acts such as shoving, slugging, tripping, etc. allowed on school property. The first violation will result in a detention.
SCHOOL STAFF
All bus drivers, custodians, cooks, and secretaries are to receive the same respect given to the teachers. Substitute teachers will command the same respect as regular staff members. Every member of the class will do all he or she can to help in the absence of the regular teacher.
SNOWBALLS
There will be no snowball throwing on school property. The first violation will result in a detention.
STEALING
Any student who commits or attempts to commit a theft or breaking and entering will receive a suspension. The following procedure will be followed:
* The school administration will follow the automatic suspension policy.
* All incidents will be reported to the local law enforcement agency.
STUDENT BEHAVIOR CODE
The following types of behavior will result in disciplinary action that may include: in-school suspension, out-of-school suspension, administration/parent/student meetings, and possible expulsion.
* Fighting, disruption, or interference with curricular or extracurricular activities
* Destruction or defacing of school property
* Destruction or defacing of private property
* Possession of dangerous weapons
* Possession or use of narcotics, tobacco, alcoholic beverages, and other dangerous drugs while on school premises or while in the custody and control of the school or in the course of a school-related activity
* Stealing of school or private property
* Violation of attendance policy or truancy policy
* Abuse of student driving and parking privileges including reckless driving on or near school property
* Being insubordinate or showing disrespect toward a school employee, student or guest of our school
* Disregard of directions or commands by school personnel
* A student shall not use any form of profanity, written or verbal, to included the use of obscene gestures, signs, pictures or publications
* Students will not sell or distribute any object or substance that has not been authorized for sale or distribution by the administration
* Leaving school grounds during school hours without proper permission
* Repeated violations - any series of behavioral violations that create a pattern of misconduct may result in suspension or expulsion
* Harassment of any form will not be tolerated
TELEPHONE USE DURING THE SCHOOL DAY
Only the telephone in the office may be used when necessary by students during the school day. Permission for use of the phone must be granted by office personnel. This is a privilege that shall not be abused. Phone calls will be accepted only from parents or guardians.
TRANSPORTATION
Transportation services are provided for all students living in the rural areas of the district. Such services represent a considerable expense to the entire district. It is the aim of the school board and the administration to operate these buses as economically and efficiently as possible.
For those students who ride the bus, it is an extension of the school day and rules. Your driver is fully qualified and is certified by the State Department of Education to drive a school bus. Students must respect the driver's authority at all times.
VISITORS/GUESTS
Relatives or past Sumner/Fredericksburg students will be the only visitors allowed. Students may bring one visitor to school for one day if prior permission has been granted by the administration. No visitors will be allowed during the last week of each semester or during make-up days.
Sumner-Fredericksburg Middle School
Major/Minor Matrix
| Abusive Language/Profanity: Minor | Abusive Language/Profanity: Major |
|---|---|
| ● Use of milder inappropriate words (i.e. shut-up, crap, sucks…) ● Yelling after a reminder ● Unintended hurtful words (shows remorse) | ● Using profane language ● Using non-verbal profanity ● Sexual words or innuendo |
| Destruction of Property: Minor | Destruction of Property: Major |
| ● Making marks on any school property ● Punching/kicking lockers ● Misusing or destroying others property ● Misuse of glue ● Making a mess in the restrooms with water, paper towels, etc… | ● Going to the bathroom on the floor, or in an inappropriate area ● Putting holes in the wall ● Intentionally breaking desks or chairs ● Vandalism ● Writing on bathroom walls or stalls ● Setting fires |
| Disruption of Instruction/School Activity: Minor | Disruption of Instruction/School Activity: Major |
| ● Random noises or comments ● Talking out of turn ● Interrupting, unnecessary talking/blurting ● Repeated bodily noises (burping, passing gas) ● Note passing ● Slamming lockers, desks, chairs, books ● Screaming in the building | ● Throwing chairs, tables, desks… ● Standing on furniture or counters ● Closing someone in a locker or closet ● Threatening an unsafe action (i.e. jumping from window, putting fist through glass) ● Bomb threat ● False fire alarm |
| Harassment of Staff or Student: Minor | Harassment of Staff or Student: Major |
| ● Name calling ● Threatening gestures (showing a fist) ● Intentionally blocking the path of another ● Spreading rumors ● Invading privacy (peeking in the bathroom stall, shower, watching someone at the urinal) | ● Threatening language to inflict bodily harm or injury ● Direct threat toward personal safety ● Inappropriate touching ● Sexual comments (written or spoken) ● Flashing/exposing privates ● Ostracism ● Organized teasing toward specific victims |
| Incomplete Schoolwork: Minor | Incomplete Schoolwork: Major |
| ● Less than three incompletes in a class per quarter | ● Three or more incompletes in a class per quarter |
* Making noises after being asked to stop
* Running/skipping in the hall after a reminder
* Refusing to follow directions
* Refusing to comply with adult request
Overt Disrespect: Minor
* Walking away from teacher/adult when being spoken to
* Yelling at others
* Arguing with teacher/adult
* Leaving room without permission or prior behavior plan arrangement
Physical Aggression: Minor
* Pushing in line
* Pushing back toward someone who initiated contact
* Bumping into others intentionally
* "Play fighting"
* Shoving/slapping (no marks or injury)
* Invading personal space purposefully
* Throwing small object with no intended target
Possession of a Weapon: Minor
* Possessing a gun, knife, or other weapon which is obviously a toy (miniature, water pistol, char, rubber, plastic, clay, etc..)
* Possession of a formerly combustible or dangerous item that is no longer capable of causing bodily harm or property damage (i.e. empty match book, lighter with no fluid, empty alcohol container, spent cartridge) when there is no evidence or recent use.
Possession of Alcohol/Drugs: Minor
* Possession of an empty container
* Wearing clothing with drugs or alcohol emblems on it
Tardy: Minor
* Less than one or two tardies from the same teacher in a quarter is documented
Theft: Minor
* Taking another's property of minor value (less than $5.00)
* Refusing to return a borrowed item
Truancy: Minor
* Skipping class
* Total refusal to comply/shuts down/ requires removal from situation by an adult
* Leaving building
* Cheating on work or tests
Overt Disrespect: Major
* Swearing at student or adult
* Aggressive verbal exchanges or gestures
* Heated arguing into escalation
* Storming out of a room, slamming doors, throwing objects
Physical Aggression: Major
* Hitting with a closed fist/punching
* Pushing to the ground with injury
* Kicking, biting, hair pulling, spitting
* Initiating a fight
* Premeditated assault
* Assault that leaves a mark or injury
* Threatening gesture with dangerous object (i.e. a bat, large stick, rock)
Possession of a Weapon: Major
* Possession of a gun, knife, other weapon, matches, lighters, combustible items or any item capable of causing bodily harm or property damage.
Possession of Alcohol/Drugs: Major
* Possession of drug paraphernalia
* Possession of alcohol, tobacco, drugs
Tardy: Major
* Three tardies from the same teacher in a quarter is a detention
Theft: Major
* Taking another's property of significant sentimental or monetary value
Truancy: Major
* Skipping school one or more days
P.R.I.D.E. Expectations by Settings
| Stay in the designated area. | Keep traffic moving. Be on time to class. | Get in, get out, and get to class. | Hand in completed work on time. Participate. | Stay seated until permission to leave. Stay in line. |
|---|---|---|---|---|
| Obey staff. Use quiet voices. Use manners Exit bus according to protocol. | Respect others’ space and property | Respect privacy. Use quiet voices. Leave others’ belongings alone. | Talk with permission. Active listening. Use quiet voices. Be kind & use manners. | Quiet voices. Be courteous to lunch ladies. Use manners. Ask for permission to use the restroom. |
| Pick up after yourself. Be honest. | Keep the hallway free of litter. Keep lockers clean. | Put towels in the proper place. | Follow expectations & directions. Keep computers in intended working order. | Pick up after yourself. Use a napkin. Wait your turn. |
| Remain orderly and seated. Keep hands and feet to self. | Stay to the right. Hands to self. Use walking feet. | Wash up. Take PE clothes home regularly. | Use your planner. Be in class on time. Be at your seat. Keep chair legs on the floor. | Hands to self. Walk into the building. Sit 3 to a side. Stay in a single file line. |
| Share your seat. Wait your turn. | Greet others nicely. Be helpful when necessary. | | Greet others and give appropriate responses. Compliment and encourage others. Use positive body language. | Consider younger students. Invite others to sit with you. |
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2005 Minerals Yearbook
Zirconium and Hafnium
Zirconium and Hafnium
By Joseph Gambogi
Domestic survey data and tables were prepared by Mahbood Mahdavi, statistical assistant, and the world production table was prepared by Linder Roberts, international data coordinator.
In 2005, global demand for zirconium minerals continued to exceed supply. The cause of the shortage was the result of several factors, including increased demand, the closure of some zircon-producing mines, and reduced zircon grades at a few mines. China's tremendous economic growth significantly influenced the price and availability of zirconium minerals. Although domestic list prices of standard-grade zircon decreased, domestic premium-grade zircon prices reflected the increase in global demand.
The principal economic source of zirconium is the zirconium silicate mineral zircon (ZrSiO 4 ). A relatively small quantity of zirconium is derived from the mineral baddeleyite, a natural form of zirconium oxide or zirconia (ZrO 2 ). In 2005, zircon, the principal ore material, was mined at many locations worldwide, primarily Australia, South Africa, and the United States. Baddeleyite was produced from a single source at Kovdor, Russia.
Zircon is the primary source of hafnium. Zirconium and hafnium are contained in zircon at a ratio of about 50 to 1. Zircon is a coproduct or byproduct of the mining and processing of heavy-mineral sands for the titanium minerals ilmenite and rutile or for tin minerals. The major end uses of zircon, in descending order of quantity, are refractories, foundry sands (including investment casting), and ceramic opacification. Zircon is also marketed as a natural gemstone and is processed to produce cubic zirconia, a diamond and colored gemstone simulant. Zirconium metal is used in nuclear fuel cladding, chemical piping, pumps, and valves in corrosive environments, heat exchangers, and various specialty alloys.
The principal uses of hafnium are in nuclear control rods, nickel-base superalloys, nozzles for plasma arc metal cutting, and high-temperature ceramics.
World production of zirconium mineral concentrates in 2005, excluding U.S. production, was estimated to be about the same level as it was in 2004. Domestic production of zircon increased moderately in 2005 compared with production in 2004. In 2005, production of milled zircon and zirconium oxide increased when compared with that of 2004. The United States was a net exporter of zirconium ore and concentrates. U.S. imports of zirconium ore and concentrates in 2005 increased by 8% compared with those of 2004, and domestic exports of zirconium ore and concentrate increased by 47%.
With the exception of prices and referenced data, all survey data in this report have been rounded to no more than three significant digits. Totals and percentages were calculated from unrounded numbers.
Production
Data for zirconium and hafnium manufactured materials are developed by the U.S. Geological Survey from a voluntary survey of domestic operations. Of the 43 operations surveyed, 31 did not respond. Data for nonrespondents were estimated on the basis of prior-year levels.
Data for zircon concentrates are developed by a second voluntary survey of domestic mining operations. Of the two domestic zircon producers, which had four mining and processing operations, 100% responded. Data on domestic production and consumption of zircon concentrates were withheld to avoid disclosing company proprietary data.
Domestic production of milled zircon was unchanged and of zirconium oxide decreased by 6% from their 2004 levels (table 1). Domestic production of zircon concentrate in 2005 decreased by about 6% compared with that of 2004.
Zircon is normally produced as a byproduct of the mining and processing of heavy-mineral sands containing the titanium minerals ilmenite and rutile. In 2005, U.S. producers of zircon were DuPont Titanium Technologies [a subsidiary of E.I. du Pont de Nemours & Co. (DuPont)] and Iluka Resources, Inc. (a subsidiary of Australian company Iluka Resources Ltd.). DuPont produced zircon from its heavy-mineral sands operation near Starke, FL. Iluka produced zircon from its heavy-mineral sand operations at Green Cove Springs, FL, Lulaton, GA, and Stony Creek, VA.
In December, Iluka announced plans for a staged closure of its Florida and Georgia mining operations beginning in 2006. The closure was attributed in part to financial losses from mining small, thin, and disparate low-grade deposits and rising operating costs. Although the Florida operations had been producing heavy minerals since 1972, the Georgia operations were commissioned in 2004.
U.S. producers of zirconium and hafnium metal were Wah Chang (an Allegheny Technologies, Inc. company), Albany, OR, and Western Zirconium (a subsidiary of Westinghouse Electric Co.), Ogden, UT. Primary zirconium chemicals, those produced directly from zircon, were produced by Wah Chang and Magnesium Elektron Inc., Flemington, NJ. Secondary zirconium chemicals, produced from intermediate zirconium chemicals, were produced by about 10 companies. Zirconia was produced from zircon sand at plants in several States.
Consumption
Approximately 95% of the consumption of zirconium is as zircon, zirconium oxide, or other zirconium chemicals. The remainder is consumed as zirconium metal and zirconiumcontaining alloys.
Zircon, used for facings on foundry molds, increases resistance to metal penetration and gives a uniform finish to castings. Milled or ground zircon is used in refractory paints for coating the surfaces of molds. In the form of refractory bricks
and blocks, zircon is used in furnaces and hearths for containing molten metals. Glass tank furnaces use fused-cast and bonded alumina-zirconia-silica-base refractories. Baddeleyite is used principally in the manufacture of alumina-zirconia abrasive and in ceramic colors and refractories.
Stabilized zirconium oxide exhibits high light reflectivity and good thermal stability and is primarily used as an opacifier and pigment in glazes and colors for pottery and other ceramic products. Yttria-stabilized zirconia (YSZ) is used in the manufacture of oxygen sensors that control combustion in furnaces and automobile engines. YSZ is also used in the manufacture of a diverse array of products, including hightemperature, high-strength structural ceramics, heat- and breakresistant shirt buttons, golf shoe spikes, golf putters, fiber optic connector components, refractory coatings for jet engines, and cubic zirconia, a gemstone simulant for diamonds and colored gemstones. YSZ is increasingly used in dental applications as inlays, crowns, and bridges as it has two to three times the fracture resistance and 1.4 times the strength of similar alumina products.
Ammonium- and potassium-zirconium carbonates are used as paper and board coatings or insolubilizers for high-quality print performance. Zirconium chemicals are also used in inks to promote adhesion to metals and plastics and as crosslinkers in polymers and printing inks.
Because of its low thermal neutron absorption cross section, hafnium-free zirconium metal is used as cladding for nuclear fuel rods. Commercial-grade zirconium, unlike nuclear grade, contains hafnium and is used in the chemical process industries because of its excellent corrosion resistance.
Hafnium is used in nuclear control rods because of its high thermal neutron absorption cross section. However, the leading end use for hafnium metal is as an alloy addition in superalloys.
Prices
In 2005, increased demand for zircon concentrates resulted in increased prices. The average value of imported ore and concentrates increased to $674 per metric ton in 2005 from $477 per ton in 2004. The average value of zircon ore and concentrates exports increased to $734 per ton in 2005 from $661 per ton in 2004.
Published prices for bulk grades of zircon, free on board, increased for ceramic, refractory, and foundry grades (Industrial Minerals, 2005). Australian zircon prices increased to $620 to $700 per ton at yearend 2005 from $450 to $550 per ton at yearend 2004. U.S. prices for premium-grade zircon concentrate increased to $562 per ton in 2005 from a revised $462 per ton in 2004 (table 2). In contrast to all other zirconium concentrate prices, the published price for standard grade zircon decreased to $415 per ton in 2005 from $455 per ton in 2004.
Foreign Trade
The United States was a net exporter of zirconium ore and concentrates in 2005. U.S. exports of zirconium ore and concentrates were 101,000 metric tons (t), a 47% increase from those of 2004 (table 3). The United States was a net exporter of zirconium and hafnium metal in 2005. U.S. exports of zirconium metal were 1,970 t, a 16% increase in quantity from the 2004 level. U.S. zirconium metal exports and imports are classified under the Harmonized Tariff Schedule of the United States (HTS) with tariff numbers falling under the 8109 prefix. In 2005, the majority (84%) of zirconium metal was exported in wrought products.
U.S. imports of zirconium ore and concentrates were 38,200 t, an increase of 8% from the 35,200 t imported in 2004 (table 4). Australia and South Africa supplied 93% of the imports of ores and concentrates. Imports of unwrought zirconium were 269 t in 2005, and the leading sources, in descending order of quantity, were France (86%), Germany (10%), and Japan (4%). Imports of zirconium waste and scrap were 14 t in 2005, and the leading sources, in descending order of quantity, were Japan (57%), Germany (29%), and Canada (14%). Domestic imports of ferrozirconium alloys were 306 t in 2005, a 85% increase from the 165 t imported in 2004. In 2005, ferrozirconium imports originated primarily from Brazil (99%). U.S. imports of hafnium were 4 t in 2005, unchanged compared with those of 2004.
World Industry Structure
Excluding U.S. production, world production of zirconium mineral concentrates in 2005 was estimated to be 881,000 t, essentially the same as that of the revised 2004 data (table 5). An Australian publication estimated that world zirconium mineral production increased to 1.18 million metric tons (Mt) in 2005 from 1.15 Mt in 2004 (Mineral Sands Report, 2006).
Australia and South Africa supplied about 69% of all production outside the United States. World reserves of zircon are estimated to be 38 Mt of zirconium oxide. During 2005, because of increased demand for zircon, the heavy-mineral sands industry continued to be active in the exploration and development of mineral deposits on a global basis, particularly in Australia, Kenya, Mozambique, South Africa, and the United States. Major zircon producers, in order of decreasing production capacity, were Iluka (Australia/United States), Richards Bay Minerals (RBM) (South Africa), Namakwa Sands (Pty.) Ltd. (South Africa), Tiwest Joint Venture (Australia), DuPont (United States), Ticor South Africa (Ticor SA) (South Africa), Consolidated Rutile Ltd. (CRL) (Australia), Vilnohirsk State Mining & Metallurgical (Ukraine), Bemax Resources NL (Australia), and Millenium Inorgânica Chemicals do Brasil S/A (Brazil).
Global fused zirconia production was estimated to be in range of 45,000 to 55,000 metric tons per year (t/yr). Capacity was estimated to be 65,000 t/yr. China, India, and the Republic of Korea were identified as major growth markets for stabilized zirconia (Industrial Minerals, 2006a).
World Review
Australia.—Astron Ltd. made plans to proceed with the development of its Donald Heavy Mineral Sands Project in Victoria. Production was scheduled to begin in 2007. Initial mine capacity was expected to be up to 500,000 t/yr of heavy minerals, including 86,000 t/yr of zircon concentrate (Astron Ltd., 2006§)
Australian Zircon NL completed a drilling program at its Mindarie mineral sands project in the western Murray Basin. The deposit was estimated to have 1.6 Mt of measured heavymineral resources. Australian Zircon expected to commence production near yearend 2006 (Australian Zircon NL, 2005§
).
In December, Bemax began mining at the Pooncarie mineral sands project in the Murray Basin. The company planned to begin trucking heavy-mineral concentrate from the Ginko mine to the Broken Hill mineral separation plant in 2006. The Ginkgo mine was reported to contain 5.8 Mt of heavy minerals, with a mine life of more than 25 years. During 2005, Bemax upgraded its Bunbury mineral separation plant to allow it to simultaneously process feedstock from its Western Australia (Cable Sands) and Murray Basin operations as well as toll feedstock (Bemax Resource NL, 2006§).
Iluka continued work on the development of heavy-mineral deposits in the Murray and Eucla Basins. In 2004, Iluka started stockpiling ore for its Douglas project in the Murray Basin, Victoria. By yearend 2005, Iluka had completed mine construction and was preparing to commission the wet concentration plant for the Douglas project. A mineral separation plant located near Hamilton was expected to be completed in mid-2006. In the first year of operation, production was expected to be 180,000 t of rutile and zircon. In the northern Murray Basin, Iluka was in the prefeasibility phase in the development of its Euston and Ouyen deposits. In the Eucla Basin, Iluka continued the delineation of its Ambrosia, Jacinth, and Tripitaka deposits (Iluka Resources Ltd., 2006§).
Olympia Resources Ltd. announced the completion of a bankable feasibility study for its Keysbrook mineral sands project, south of Perth. Keysbrook was expected to have a mine life of 11 years (Olympia Resources Ltd., 2005§). Olympia has identified a reserve of 1.2 Mt of heavy minerals at Keysbrook with startup scheduled for 2007 (Olympia Resources Ltd., 2006§).
Canada.—Titanium Corp., Inc. continued efforts to commercialize the recovery of heavy-minerals from the oil sands tailings of Syncrude Canada Ltd. in Alberta. In 2005, Titanium Corp. used its pilot facility to optimize the recovery of heavy minerals and improve product quality. At yearend, the company began a drill core analysis program to quantify the heavy-mineral resource in the oil sands project (Titanium Corp., Inc., 2006§).
China.—Astron Ltd. announced plans to increase production capacity of its range of monoclinic zirconia at its Bayuchuan operation to 16,000 t/yr from 13,000 t/yr though process improvements. In addition, two new 3,000-t/yr furnaces dedicated to stabilized zirconia were expected to begin production by yearend 2006. The new furnaces were expected to raise the operation's stabilized zirconia capacity to 7,000 t/yr (Industrial Minerals, 2005).
Gambia,The.—Carnegie Corp. Ltd. completed a trial dredge program at the Sanyang heavy-mineral sands deposit. In 2004, the company completed an environmental impact assessment and received approval for its environmental management plan. At yearend 2005, the company was waiting for the approval of the mining lease (Carnegie Corp. Ltd., 2005§). The project is
References that include a section mark (§) are found in the Internet References Cited section.
a joint venture with Aston Ltd. and could yield 20,000 t/yr of zircon (Industrial Minerals, 2005).
Kenya.—Tiomin Resources Inc. continued the development of its Kwale heavy-mineral sands project located 40 kilometers south of Mombasa. In 2005, Tiomin was engaged in project financing and announced it had secured sales agreements with two Chinese firms for future output from the mine. The construction phase of the project was expected to begin in 2006. When completed, the project was expected to produce about 330,000 t/yr of ilmenite, 75,000 t/yr of rutile, and 40,000 t/yr of zircon (Tiomin Resources Inc., 2005§).
Madagascar.—In August, Rio Tinto plc announced the approval to fund the development of the Fort-Dauphin mineral sands project. The project was being developed by QIT Madagascar Minerals (QMM) [a Malagasy subsidiary of Rio Tinto (80%) and the Government of Madagascar (20%)]. Part of the project requires the construction of a deep-sea port funded by public and private interests. Mine production was expected to reach 750,000 t/yr of ilmenite and 25,000 t/yr of zircon. Mining startup was scheduled for 2008. The mine life could extend for 40 years (Rio Tinto plc, 2005§).
Mozambique.—At yearend, Kenmare Resources plc. was midway through the construction phase of its Moma heavymineral sands project. Commissioning of the wet and dry separation plants was expected by yearend 2006. Production capacity from the mine was expected to reach 701,000 t/yr of ilmenite, 17,000 t/yr of rutile, and 60,000 t/yr of zircon (Kenmare Resources plc., 2006§).
In March, BHP Billiton Ltd. acquired Australian-based WMC Resources Ltd. The acquisition brought BHP's interest in the Corridor Sands project in southern Mozambique to 90%. In 2005, BHP was reviewing and updating previously conducted feasibility studies prior to making a decision whether to move into the feasibility phase during 2006. In 2004, BHP also held a 100% interest in the TiGen heavy-minerals project in Moebase. A prefeasibility study was completed for the TiGen project, and market studies were being examined to determine when the project should move into the feasibility phase (BHP Billiton plc, 2005§).
Russia.—In 2005, production of baddeleyite at Kovdorsky GOK reached 6,700 t, a record level. The company had completed a program to upgrade and modernize the operation. Baddeleyite shipments in 2004 were 6,470 t (Industrial Minerals, 2006b).
Senegal.—Mineral Deposits Ltd. (MDL) made plans to relocate its Australian-based dredge and wet concentration plant to its Grande Côte heavy-mineral sands project. The project is located within the Senegal-Mauritania Basin along the northwestern coast of Senegal, south of St. Louis. MDL hoped to commence production in 2007 with a mine capacity of about 75,000 t/yr of zircon and 14,000 t/yr of leucoxene (Mineral Deposits Ltd., 2005§).
South Africa.—Australian-based Kumba Resources Ltd. acquired the outstanding 40% interest in the heavy-mineral producer Ticor SA. In 2005, Ticor SA's heavy minerals operation near Empangeni, KwaZulu-Natal Province, produced 47,000 t of zircon, a 4% decrease compared with output in 2004 (Kumba Resources Ltd., 2006§).
In parallel with the production of titanium heavy minerals, zircon production at RBM in KwaZulu-Natal Province, increased significantly. In 2005, zircon production increased by 16% compared with that of 2004. RBM is the trading name for two companies, Tisand (Pty) Ltd. and Richards Bay Iron and Titanium (Pty) Ltd. Ownership interest in RBM is shared equally between Rio Tinto plc and BHP Billiton plc. (Rio Tinto plc, 2006§).
Namakwa Sands improved recovery and raised rutile and zircon production at the Namakwa Sands heavy-mineral sands operation near Brand se Baai. In 2005, Namakwa Sands began an expansion project to increase rutile output by 26% and zircon production by approximately 20%. Namakwa Sands is wholly owned by Anglo American plc (Anglo American plc, 2006§).
Outlook
The global shortage of zirconium materials was expected to continue in 2006. Growth in demand of 3% to 5% per year through the next decade was expected, and new deposits were expected to come online to improve the supply. Increased demand relative to the available supply will contribute to continued pressure for price increases in the short term, especially in the spot market.
Beyond the next few years, supply and demand for zircon are expected to be in closer balance as new deposits and plant expansions come online. Expansions in supply are expected in Australia, Madagascar, Mozambique, and South Africa.
A new trend in the heavy-mineral sands industry appears to be the sale of semiprocessed concentrates. In 2005, several projects were underway that did not include an integrated facility for mineral separation.
References Cited
BHP Billiton plc, 2005, Form 20-F/A—2005: Securities and Exchange Commission, 207 p.
Industrial Minerals, 2005, Astron expands fused zirconia capacity: Industrial Minerals, no. 457, October, p. 7.
Industrial Minerals, 2006a, Fused zirconia—Growth with stability: Industrial Minerals, no. 460, January, p. 20-28.
Industrial Minerals, 2006b, Kovdor ups baddeleyite output: Industrial Minerals, no. 462, March, p. 19.
Mineral Sands Report, 2006, The 18th Industrial Minerals Congress: Mineral Sands Report, no. 126, April, p. 10.
Internet References Cited
Anglo American plc, 2006 (March 8), Annual report 2005, accessed July 12, 2006, at URL http://www.angloamerican.co.za/static/uploads/ Anglo%20American_Fact_Book%2005-06.pdf.
Astron Ltd., 2006, Astron announces resource estimate increase, accessed July 18, 2006, at URL http://www.astronchem.com/english/investors/200601/ Resource%20Estimate%20Increase%20at%20Donald%20Mineral%20Sands %20Project.pdf.
Australian Zircon NL, 2005 (October 12), Annual report 2005, accessed July 12, 2006, at URL http://www.auzircon.com.au/mmedia/Annual%20Reports/ 2005%20AZC%20Ann%20Rep.pdf.
Bemax Resources NL, 2006 (April 19), Annual report 2005, accessed July 12, 2006, at URL http://www.bemax.com.au/annual/2005AnnualReport.pdf.
Carnegie Corp. Ltd., 2005 (September 22), Annual report 2005, accessed July 12, 2006, at URL http://www.carnegiecorp.com.au/news/reports/2005/ CNM_Annual_Report_2005.pdf
Iluka Resources Ltd., 2006 (March 24), Concise annual report 2005, accessed June 27, 2006, via URL http://www.iluka.com/content/investor/ publications.asp?type=repo.
Kenmare Resources plc., 2006 (June 14), Annual report 2005, accessed July 12, 2006, at URL http://www.kenmareresources.com/pdf/kenmare_annual_ report_05.pdf.
Kumba Resource Ltd., 2006 (March 17), Annual report 2005, accessed July 17, 2006, at URL http://www.kumbaresources.com/contents/results/ kumbaannualreport2005/pdf/Kumba%20A4%20AR%202005.pdf.
Mineral Deposits Ltd., 2005 (October 17), Annual report, accessed August 10, 2006, via URL http://www.mineraldeposits.com.au/2005AnnualReport.html.
Olympia Resources Ltd., 2005 (September 16), Keysbrook mineral sands project bankable feasibility study complete, accessed July 17, 2006, via URL http://www.olympiaresources.com/News/CustomerandProductNews.aspx.
Olympia Resources Ltd., 2006 (February 1), Olympia Resources signs long-term zircon contract, accessed July 18, 2006, via URL
http://www.olympiaresources.com/News/CustomerandProductNews.aspx.
Rio Tinto plc, 2005 (September), New projects in new places, at URL http://www.riotinto.com/library/reviewmagazine/75/article1-1.aspx.
Rio Tinto plc, 2006 (February 24), Annual report—2005, accessed July 17, 2006, at URL http://www.riotinto.com/library/reports/PDFs/ 2005_Annualreview.pdf.
Tiomin Resources Inc., 2005 (December 31), Annual report—2005, accessed
July 13, 2006, at URL http://www.tiomin.com/i/pdf/2005AR.pdf.
Titanium Corp., Inc., 2006 (January 12), Annual report 2005, accessed August 10, 2006, at URL http://www.titaniumcorporation.com/i/pdf/2005AR.pdf.
GENERAL SOURCES OF INFORMATION
U.S. Geological Survey Publications
Zirconium. Ch. in United States Mineral Resources,
Professional Paper 820, 1973.
Zirconium. International Strategic Minerals Inventory Summary
Report, Circular 930-L, 1992.
Zirconium and Hafnium. Ch. in Mineral Commodity Summaries, annual.
Other
American Metal Market, daily.
Chemical Engineering, biweekly.
Chemical Week, weekly.
Engineering and Mining Journal, monthly.
Industrial Minerals, monthly.
International Titanium Association.
Metal Bulletin, semiweekly.
Mineral Sands Report, bimonthly and monthly.
Mining Engineering, monthly.
Mining Magazine and Mining Journal, monthly and weekly.
Roskill Information Services Ltd.
U.S. Department of Commerce, U.S. Census Bureau, monthly trade statistics.
Zirconium and Hafnium. Ch. In Mineral Facts and Problems, U.S. Bureau of Mines Bulletin 675, 1985.
TABLE 1
1
SALIENT U.S. ZIRCONIUM STATISTICS
(Metric tons)
r Revised. W Withheld to avoid disclosing company proprietary data.
2 Includes insignificant amounts of baddeleyite.
1 Data are rounded to no more than three significant digits.
3
4 Excludes foundries.
Defined as production plus imports for consumption minus exports plus or minus government shipments plus or minus stock changes.
5 Excludes intermediate oxides associated with metal production.
6 Includes germanium oxides and zirconium dioxides.
TABLE 2 PUBLISHED YEAREND PRICES OF ZIRCONIUM AND HAFNIUM MATERIALS
1 Domestic average price.
r Revised.
2 Source: Industrial Minerals, no. 446, December 2004, p. 73; no. 459, December 2005, p. 71.
4
3 Source: Industrial Minerals, no. 446, December 2004, p. 72; no. 459, December 2005, p. 70.
Source: Stanford Materials Corp., [undated], Zirconium (Zr), accessed July 19, 2006, at URL http://www.stanfordmaterials.com/zr.html.
5 Prices are for bulk quantities; nominal, free on board California.
TABLE 3 U.S. EXPORTS OF ZIRCONIUM, BY CLASS AND COUNTRY 1
2004
2005
Quantity
Value
Quantity
Value
See footnotes at end of table.
TABLE 3—Continued
U.S. EXPORTS OF ZIRCONIUM, BY CLASS AND COUNTRY 1
1 Data are rounded to no more than three significant digits; may not add to totals shown.
r Revised. -- Zero.
2 Harmonized Tariff Schedule of the United States.
3 Less than ½ unit.
Source: U.S. Census Bureau.
TABLE 4 U.S. IMPORTS FOR CONSUMPTION OF ZIRCONIUM AND HAFNIUM, BY CLASS AND COUNTRY 1
-- Zero.
1 Data are rounded to no more than three significant digits; may not add to totals shown.
3 Less than ½ unit.
2 Harmonized Tariff Schedule of the United States.
Source: U.S. Census Bureau.
TABLE 5 1, 2
ZIRCONIUM MINERAL CONCENTRATES: WORLD PRODUCTION, BY COUNTRY
(Metric tons)
1 World totals and estimated data are rounded to no more than three significant digits; may not add to totals shown.
e Estimated. r Revised. W Withheld to avoid disclosing company proprietary data; not included in total. -- Zero.
2 Includes data available through May 9, 2006.
4 Reported figure.
3 Small amounts of zirconium concentrates were procuded in various countries; however, information is not sufficent to estimate output.
5 Includes production of baddeleyite-caldasite.
7 Includes production of byproduct zircon from titanium sands mining and, until 2002, 15,000 to 20,000 metric tons per year of baddeleyite from Palabora Mining Co. Ltd.
6 Production of baddeleyite concentrate averaging 98% ZrO2.
8 Does not include U.S. data, which are withheld to avoid disclosing company proprietary data.
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terms of what ails or worries us. We need prayer for the healing of a cancer or for coping with the death of a loved one or for the return to a more robust faith. This is the usual, and highly important, sense in which we think of praying for others. But we also need others to pray for us in the sense of praying in our stead, praying prayers to substitute for our
Rodney Clapp
The Worship of God Second Sunday after Pentecost
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 this morning, please take time to become more aware of the continuing presence of God.
Stand as you are able
PRELUDE Elegy
George Thalben-Ball
DOXOLOGY PLEASE STAND AS THE ORGAN INTRODUCTION BEGINS
OLD HUNDREDTH
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
(Based on Psalm 96)
LEADER: Worship the Lord in holy splendor.
PEOPLE: Tremble before God, all the earth.
LEADER: Highest heavens, be glad!
PEOPLE: Widest earth, rejoice!
LEADER: Mighty waters, shout your praise!
PEOPLE: Forests and fields, sing for joy!
LEADER:
The Lord is coming to judge the earth with equity and strength, with righteousness and truth.
PEOPLE: The Lord is coming to reign in glory.
HYMN 645
MIT FREUDEN ZART
PRAYER
of CONFESSION (UNISON)
Lord God, we confess to you our unfaithfulness and our divided loyalties. We look for human approval instead of seeking to serve you. We answer to human authority instead of listening for your Word. Turn our hearts back to you.
SILENT PRAYER KYRIE
Consume our sin with holy fire and set us free to sing your praise. Amen.
ASSURANCE of PARDON
LEADER: Friends, believe the good news.
PEOPLE: In Jesus Christ, we are forgiven.
(10:45)
(Children up to Kindergarten may depart for child care following the exit through the doors to the left of the pulpit to get to the Education Building. School aged children may sit at the Children today.)
DISMISSAL of CHILDREN (10:45)
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.
EPISTLE LESSON Galatians 1:1-12
(Pew Bible, NT page 187)
LEADER: The Word of the Lord.
PEOPLE: Thanks be to God.
SOLO (8:30)
K. Lee Scott
Anders Namestnik, tenor
ANTHEM Justorum Animae
Charles Villiers Stanford
(10:45)
Wisdom, iii
GOSPEL LESSON Luke 7:1-10
(Pew Bible, NT page 65)
LEADER: The Word of the Lord.
PEOPLE: Thanks be to God.
Justorum animae in manu Dei sunt, et non tanget illos tormentum malitiae. Visi sunt oculis insipientsium mori, illi autem sunt in pace.
The souls of the just are in the hand of God, and the torment of malice shall not touch them: in the sight of the unwise they seemed to die, but they are in peace.
SERMON Measures of Worth
Lynette Sparks
HYMN 450 (10:45)
Be Thou My Vision
SLANE
AFFIRMATION of FAITH
From a Brief Statement of Faith, Presbyterian Church (U.S.A.)
We trust in Jesus Christ, fully human, fully God. Jesus proclaimed the reign of God: preaching good news to the poor and release to the captives, teaching by word and deed and blessing the children, healing the sick and binding up the brokenhearted, eating with outcasts, forgiving sinners, and calling all to repent and believe the gospel. Jesus was crucified, suffering the depths of human pain and giving his life for the world. God raised this Jesus from the dead, vindicating his sinless life, breaking the power of sin and evil, delivering us from death to life eternal. Amen.
PRAYERS of the PEOPLE
PRESENTATION of OFFERINGS
(Prayer request cards are available in pew pockets and can be placed in the offering plate.)
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.
SOLO I'll Walk With God
(8:30)
Nicolas Brodszky
ANTHEM (10:45)
Selig sind die Toten Johannes Brahms ("Blessed are the Dead" from Ein Deutsches Requiem)
Beth Quimby Fischer and Caroline Robinson, piano
Selig sind die Toten, die in dem Herren sterben, von nun an. Ja, der Geist spricht, daß sie ruhen von ihrer Arbeit; den ihre Werke folgen ihnen nach.
Blessed are the dead who from now on die will rest from their labors, for their deeds
(Revelation 14:13)
(Revelation 14:13)
RESPONSE:
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.
ALL: Sovereign God, there is no one like you in heaven above or on the earth below. You are faithful to your promises; you show steadfast love to your people. Receive this offering of our lives as a sacrifice of thanksgiving and praise, that our lives may show forth your glory to all the world. We
HYMN 697 Take My Life
HENDON
CHARGE and BENEDICTION CONGREGATIONAL RESPONSE (8:30)
God be with you till we meet again; Loving counsels guide, uphold you, God be with you till we meet again.
CHORAL RESPONSE (10:45)
GREETING
POSTLUDE (8:30)
-3)
Jan Pieterszoon Sweelinck
(10:45)
Sigfrid Karg-Elert
VICE:
PREACHER: Lynette K. Sparks
LITURGISTS:
Martha Langford, Ernest Krug, Brad Sparks (10:45)
DIRECTOR OF MUSIC/ORGANIST: Peter DuBois
ASSISTANT ORGANIST: Caroline Robinson
GREETERS:
Carol Roth, Maryjane Link, Betsey Wheeler, Ty Albee, Bernie Todd Smith
USHERS:
(8:30) Suzy Hengerer, Rob White
(10:45) Elmer Dustman, Hope Herting, Sue
Danielson, Jeremy Peters, Clive Daunton,
Gloria Pleger, Jo Whang, Harrison Lucas
COFFEE HOUR: Deacon Parish I
The baptism water will be poured by Cory Elder, who is celebrating the ten year anniversary of her baptism.
The flowers this morning are given in honor of the May 28 th wedding of Elizabeth Young and Michael Coulter.
The Memorial Prayer Candle is lit to remember all those who died while serving in the military, with prayers for peace, reconciliation and the end of all warfare.
Presbytery Thank You. Thanks to the many volunteers who shared their time and energy as Third Church hosted the presbytery meeting this past Tuesday. Your hospitality was greatly appreciated.
A special word of thanks to Jo Whang for coordinating this effort!
MINISTRY, SERVICE, AND FELLOWSHIP OPPORTUNITIES
Sunday Seminar and Growing in the Word
Great Schools for All Community Update
This morning at 9:30am in Johnston Hall
(joint gathering) -10 Healing the led by Martha Langford, Associate Pastor for Congregational Care
Living Waters Wednesdays
Lynette Sparks will lead the service on Wednesday, June 1. Join us in the Chapel at
6:00pm.
Shawl Knitting Ministry
Wednesday, June 1 at 6:30pm, Johnston Hall
Thursday Voices
Thursday, June 2 The Confession of 1967: Part II Section A led by John Wilkinson
Sisters in Spirit
Friday June 3 at 9:30am, Off site Contact Amy Stratton-Smith, firstname.lastname@example.org
Thursday, June 9, 2016, 7:00pm at Third Presbyterian Church
Come hear important updates on:
- Exciting results from a community parent survey
- proposal
- Progress on development of inter-district educational initiatives
Visit GS4A.org for further information.
Elvis to Elton S.O.S (+ or -) Potluck Supper
Friday, June 17, 6:00pm, Celebration Center
AGAIN"
Elvis to Elton is back! If you are in your sixties or seventies (plus or minus that age (S.O.S + or -) please join us for our popular Potluck Supper. After supper, Robb and Nancy Adams will entertain us with an interactive activity relating to their adventures from a cross country trip taken this year. It promises to be a great evening that you won't want to miss! Please bring the following:
1. A dish to pass: A-G: Salad; H-
Q: Dessert; andR-Z: Main
Dish
2. A few items for our Food Cupboard
3. A picture of a trip you took as a child (if you still can find it!) AND of a special trip you took as an adult.
Come to "feast" on fellowship, fun and fabulous food! Contact Sue Locke with your reservation at 3988749 or email@example.com. Hope to see you there!
Food Cupboard Needs
The Food Cupboard is in need of food items and toiletries: Canned chicken noodle soup; jelly; rice; shampoo; toothbrushes and toothpaste.
The Food Cupboard is in need of Volunteers for Summer and Fall! One day per month on either a Monday or Thursday morning from 8:45am -11:45am. Summer volunteers and substitutes are especially needed. Tasks include packing food bags, registering guests and handing out extra items such as milk, bread and produce. Women, men, youth are welcome. Training provided! Please call Carol Coons 227-5953 or Kay Ramsay at 544-9022.
News from the Third Church Library
The library is looking for donations to replace a few books from our collection that are either missing or damaged. If you would like to donate one of these books to the library, check out our new wish list on Amazon.com where you may purchase a book and have it sent to the library.
From the Amazon home page, go In the coming months we will add more books to the wish list that would be welcome additions to our collection.
About Our Worship Books Available
For the past few years the Worship, Music and Arts Committee has been providing newsletter columns, authored by Jeanne Fisher, about worship here at Third Presbyterian Church. Now these columns have been compiled into a booklet that will be offered for sale at coffee hour. The book examines the sacraments, the liturgical year and our pattern of worship. Stop by the table at coffee hour to see a sample, and order your own copy.
Tuesday, May 31
9:45am Staff Meeting
9:15am Morning Prayer
3:00pm Deacons Gathering Tea
Wednesday, June 1
6:00pm Living Waters Wednesdays
5:00pm Shawl Knitting Ministry
7:00pm Children's Ministry
7:00pm More Light Committee
Parker Room
Chapel
Off-site
Parlor
Parker Rm
Chapel
Whitney Rm
7:15pm Chancel Choir Rehearsal
Choir Rm
Thursday, June 2
Calendar for May 29 June 4
Sunday at Third Church
8:30am Childcare
8:30am Worship
9:30am Sunday Seminar and Growing in the Word
10:00am Intercessory Prayer
10:45am Worship
12:00pm Coffee Hour
2:00pm RAIHN
Monday, May 30
Office Closed
Friday, June 3
9:30am
Nursery Sanctuary JH Chapel Sanctuary CC CE Building
Sisters in Spirit
11:00am
Off-site
Bereavement Support Steering
7:30pm Mount Hope World Singers
Committee
Concert
Saturday, June 4
2:00pm
11:00am Dining Room Ministry
Parlor
Sanctuary
CC
Memorial Service for Jean Hart Off-site
Sunday, June 5
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The Humanities of Diet
Some years ago, in an article entitled "Wanted, a New Meat," the Spectator complained that dietetic provision is made nowadays "not for man as humanised by schools of cookery, but for a race of fruit-eating apes." We introduce bananas, pines, Italian figs, pomegranates, and a variety of new fruits, but what is really wanted is "some new and large animal, something which shall combine the game flavour with the substantial solidity of a leg of mutton" 1 Surmising that there must exist "some neglected quadruped, which will furnish what we seek," the Spectator proceeded to take anxious stock of the world's resources, subjecting in turn the rodents, the pachyderms, and the ruminants to a careful survey, in which the claims even of the wart-hog were conscientiously debated. In the end the ruminants won the day, and the choice fell upon the Eland, which was called to the high function of supplying a new fleshfood for "humanised" man.
This is not the sense in which I am about to speak of the "humanities" of diet. I have not been fired by the Spectator's enthusiasm for the rescue of some "neglected quadruped," nor have I any wish to see eviscerated Elands hanging a-row in our butchers' shops. On the contrary, I suggest that in proportion as man is truly "humanised," not by schools of cookery but by schools of thought, he will abandon the barbarous habit of his flesh-eating ancestors, and will make gradual progress towards a purer, simpler, more humane, and therefore more civilised diet-system.
There are many signs that the public is awaking to the fact that there is such a thing as food-reform. The reception of a new idea of this sort is always a strange process, and has to pass through several successive phases. First, there is tacit contempt; secondly, open ridicule; then a more or less respectful opposition; and lastly, a partial acceptance. During the third period, the one at which the Vegetarian question has now arrived, discussion is often complicated by the way in which the opponents of the new idea fail to grasp the real object of the reformers, and pleasantly substitute some exaggerated, distorted, or wholly imaginary concept of their own; after which they proceed to argue from a wrong basis, crediting their antagonists with mistaken aims and purposes, and then triumphantly impugning their consistency or logic. It is therefore of importance that, in debating the problem of foodreform, we should know exactly what the reformers themselves are aiming at.
Let me first make plain what I mean by calling Vegetarianism a new idea. Historically, of course, it is not new at all, either as a precept or a practice. A great portion of the world's inhabitants have always been practically Vegetarians, and some whole races and sects have been so upon principle. The Buddhist canon in the east, and the Pythagorean in the west, enjoined abstinence from flesh-food on humane, as on other grounds; and in the writings of such "pagan" philosophers as Plutarch and Porphyry we find a humanitarian ethic of the most exalted kind, which, after undergoing a long repression during medieval churchdom, reappeared, albeit but weakly and fitfully at first, in the literature of the Renaissance, to be
1 Cf. Richard Jefferies's complaint of "the ceaseless round of mutton and beef to which the dead level of civilisation reduces us." Yet Vegetarians are supposed to lack "variety"!
traced more definitely in the eighteenth century school of "sensibility." But it was not until after the age of Rousseau, from which must be dated the great humanitarian movement of the past century, that Vegetarianism began to assert itself as a system, a reasoned plea for the disuse of flesh-food. In this sense it is a new ethical principle, and its import as such is only now beginning to be generally understood.
I say ethical principle, because it is beyond doubt that the chief motive of Vegetarianism is the humane one. Questions of hygiene and of economy both play their part, and an important part, in a full discussion of food reform; but the feeling which underlies and animates the whole movement is the instinctive horror of butchery, especially the butchery of the more highly organized animals, so human, so near akin to man. Let me quote a short passage from the preface to Mr. Howard Williams's "Ethics of Diet," an acknowledged textbook of Vegetarianism.
"It has been well said," remarks Mr. Williams, "that there are steps on the way to the summit of dietetic reform, and if only one step be taken, yet that single step will not be without importance and without influence in the world. The step which leaves for ever behind it the barbarism of slaughtering our fellow beings, the mammals and birds, is, it is superfluous to add, the most important and influential of all."
Let it therefore be clearly understood that this step—the "first step," as Tolstoy has called it, in a scheme of humane living—has been the main object of all Vegetarian propaganda since the establishment of the Vegetarian Society in 1847. To secure the discontinuance of the shocking and inhuman practices that are inseparable from the slaughter-house — this, and no abstract theory of abstinence from all "animal" substances, no fastidious abhorrence of contact with the "evil thing," has been the purpose of modern food-reformers. They are, moreover, well aware that a change of this sort, which involves a reconsideration of our whole attitude towards the "lower animals," can only be gradually realised; nor do they invite the world, as their opponents seem to imagine, to an immediate hard-and-fast decision, a revolution in national habits which is to be discussed, voted, and carried into effect the day after to-morrow, to the grievous jeopardy and dislocation of certain time-honoured interests. They simply point to the need of progression towards humaner diet, believing, with Thoreau, that "it is part of the destiny of the human race, in its gradual improvement, to leave off eating animals, as surely as the savage tribes have left off eating each other, when they came in contact with the more civilised."
There are, however, many critics of Vegetarianism who have not grasped this ethical principle, and whose contentions are, therefore, quite irrelevant. It has been said, for example, that "the most enthusiastic Vegetarians scarcely venture to deny that the destruction of many animals is requisite for human existence. What Vegetarian would allow his premises to be swarming with mice, rats, and similar pests? Does he permit caterpillars, snails, and slugs to devour the produce of his vegetable garden? Perhaps he satisfies his conscience with the reflection that the destruction of vermin is a necessary act."
Perhaps the Vegetarian draws a distinction between the avowedly necessary destruction of garden and household pests, and the quite unnecessary (from the Vegetarian standpoint) butchery of oxen and sheep, who are bred for no other purpose than that of the slaughterhouse, where they are killed in a most barbarous manner! Perhaps the Vegetarian "satisfies his conscience" with this distinction! I should rather think he did.
No wonder that food-reformers seem a strange and unreasonable folk to those who have thus failed to apprehend the very raison d'être of food-reform, and who persist in arguing as if the choice between the old diet and the new were a mere matter of personal caprice or professional adjustment, into which the moral question scarcely enters at all.
To this same misunderstanding is due the futile outcry that is raised every now and then against the term "Vegetarian," when some zealous opponent undertakes to "expose the delusions of those who boast that they live on vegetables, and yet take eggs, butter, and milk as regular articles of diet." Of course the simple fact is that Vegetarians are neither boastful of their diet, nor enamoured of their name; it was invented, wisely or unwisely, a full halfcentury ago, and, whether we like it or not, has evidently "come to stay" until we find something better. It is worth observing that the objection is seldom or never made in actual everyday life, where the word "Vegetarian" carries with it a quite definite meaning, viz., one who abstains from flesh-food but not necessarily from animal products; the verbal pother is always made by somebody - who is sitting down to write an article against food-reform, and has nothing better to say. It all comes from the notion that Vegetarians are bent on some barren, logical "consistency," rather than on practical progress towards a more humane method of living—the only sort of "consistency" which in this, or any other branch of reform, is either possible in itself, or worth a moment's attention from a sensible man.
To show, however, that this question of the temporary use of animal products has not been shirked by food-reformers, I quote the following from my "Plea for Vegetarianism," published nearly thirty years ago.
The immediate object which food-reformers aim at is not so much the disuse of animal substances in general, as the abolition of flesh-meat in particular; and if they can drive their opponents to make the important admission that actual flesh-food is unnecessary, they can afford to smile at the trivial retort that animal substance is still used in eggs and milk…. They are well aware that even dairy produce is quite unnecessary, and will doubtless be dispensed with altogether under a more natural system of diet. In the meantime, however, one step is sufficient. Let us first recognize the fact that the slaughter-house, with all its attendant horrors, might easily be abolished; that point gained, the question of the total disuse of all animal products is one that will be decided hereafter. What I wish to insist on is that it is not 'animal' food which we primarily abjure, but nasty food, expensive food, and unwholesome food.
If medical men, instead of quibbling about the word "Vegetarian," would recommend to their clients the use of animal products, as a substitute for "butchers' meat," there would be a great gain to the humanities of diet. Incidentally, it must be remarked, the doctors quite admit the efficiency of such substitutes; for in their eagerness to convict Vegetarians of inconsistency in using animal products, they guilelessly give away their own case by arguing that, of course, on this diet the Vegetarians do well enough! As for those ultra-consistent persons who sometimes write as if it were not worth while to discontinue the practice of cow killing, unless we also immediately discontinue the practice of using milk—that is to say, who think the greater reform is worthless without the lesser and subsequent one—I can only express my respectful astonishment at such reasoning. It is as though a traveller were too "consistent" to start on a journey because he might be required to "change carriages" on the way.
But it is said, why not introduce "humane" methods of slaughtering, and so remedy the chief evil in the present system of diet? Well, in the first place, "humane slaughtering," if it be once admitted that there is no necessity to slaughter at all, is a contradiction in terms. But letting that pass, and recognising, as Vegetarians gladly do, that there would be a great reduction of suffering, if all flesh-eaters would combine for the abolition of private slaughterhouses and the substitution of well-ordered municipal abattoirs, we are still faced by the difficulty that these changes will take a long time to carry out, opposed as they are by powerful private interests, and that, even under the best possible conditions, the butchering of the larger animals must always be a horrible and inhuman business. Vegetarianism, as a movement, has nothing whatever to fear from the introduction of improved slaughtering; indeed, Vegetarians may take the credit of having worked quite as zealously as flesh-eaters in that direction, feeling, as they do, that in our complex society no individuals can exempt themselves from a share in the general responsibility—the brand of the slaughterer is on the brow of every one of us. But there is no half-way resting-place in humane progress; and we may be quite sure that when the public conscience is once aroused on this dreadful subject of the slaughter-house, it will maintain its interest to a much more thorough solution of the difficulty than a mere improvement of methods.
One thing is quite certain. It is impossible for flesh-eaters to find any justification of their diet in the plea that animals might be slaughtered humanely; it is an obvious duty to carry out the improvements first, and to make the excuses afterwards. Those who admit that the Vegetarian, in his indictment of the slaughter-house, hits a grievous blot in our civilisation, often try to escape from the inevitable conclusion on the ground that such allegations tell not against the use of animal food, but against the ignorance, carelessness, and brutality too often displayed in the slaughter-houses. This, however, is a libel on the working men who have to earn a livelihood by the disgusting occupation of butchering. The ignorance, carelessness, and brutality are not only in the rough-handed slaughtermen, but in the polite ladies and gentlemen whose dietetic habits render the slaughtermen necessary. The real responsibility rests not on the wage slave, but on the employer. "I'm only doing your dirty work," was the reply of a Whitechapel butcher to a gentleman who expressed the same sentiments as those I have quoted. "It's such as you makes such as us."
At this point it would presumably be the right thing to give some detailed description of the horrors enacted in our shambles, of which I might quote numerous instances from perfectly trust-worthy witnesses. If I do not do so, I can assure my readers that it is not from any desire to spare their feelings, for I think it might fairly be demanded of those who eat beef and mutton that they should not shrink from an acquaintance with facts of their own making; also we have often been told that it is the Vegetarians, not the flesh-eaters, who are the "sentimentalists" in this matter. I refrain for the simple reason that I fear, if I narrated the facts, this chapter would go unread. So, before passing on, I will merely add this, that in some ways the evils attendant on slaughtering grow worse, and not better, as civilisation advances, because of the more complex conditions of town life, and the increasingly long journeys to which animals are subjected in their transit from the grazier to the slaughterman. The cattleships of the present day reproduce, in an aggravated form, some of the worst horrors of the slave-ship of fifty years back. I take it for granted, then, as not denied by our opponents, that the present system of killing animals for food is a very cruel and barbarous' one, and a direct outrage on what I have termed the "humanities of diet."
It is also an outrage on every sense of refinement and good taste, for in this question the aesthetics are not to be dissociated from the humanities. Has the artist ever considered the history of the "chop" which is brought so elegantly to his studio? Not he. He would not be able to eat it if he thought about it. He has first employed a slaughterman ("It's such as you makes such as us") to convert a beautiful living creature into a hideous carcase, to be
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displayed with other carcases in that ugliest product of civilisation, a butcher's shop, and then he has employed a cook to conceal, as far as may be, the work of the slaughterman. This is what the Spectator calls being "humanised" by schools of cookery; I should call it being dehumanised. In passing a butcher's I have seen a concert-programme pinned prominently on the corpse of a pig, and I have mused on that suggestive though unintended allegory of the Basis of Art. I deny that it is the right basis, and I maintain that there will necessarily be something porcine in the art that is so upheld and exhibited. Nine-tenths of our literary and artistic gatherings, our social functions, and most sumptuous entertainments, are tainted from the same source. You take a beautiful girl down to supper, and you offer her - a ham sandwich! It is proverbial folly to cast pearls before swine. What are we to say of the politeness which casts swine before pearls?
It is no part of my purpose to argue in detail the possibility of a Vegetarian diet; nor is there any need to do so. The proofs of it are everywhere — in the history of races, in the rules of monastic orders, in the habits of large numbers of working populations, in biographies of well-known men, in the facts and instances of every-day life. The medical view of Vegetarianism, which at first (as in the similar case of teetotalism) was expressed by a severe negative and ominous head-shake, has very largely changed during the past ten or twenty years, and, in so far as it is still hostile, dwells rather on the superiority of the "mixed" diet than on the insufficiency of the other, while the solemn warnings which used to be addressed to the venturesome individual who had the hardihood to leave off eating his fellow-beings, have now lapsed into more general statements as to the probable failure of Vegetarianism in the long run, and on a more extended trial. Well, we know what that means. It is what has been said of every vital movement that the world has seen. It means that ordinary people, and dull people, and learned people, and specialists, need time to envisage new truths; but they do envisage them, some day. Already the medical preference for a flesh diet may be summed up under two heads—that flesh is more digestible, more easily assimilated, than vegetables, and that it is unwise to limit the sources of food which (to quote Sir Henry Thompson) "Nature has abundantly provided."
The first argument, as to the superior digestibility of flesh, is flatly denied by foodreformers on the plain grounds of experience, the notion that Vegetarians are in the habit of eating a greater bulk of food, in order to obtain an equal amount of nutriment, being one of those amazing superstitions which could not survive a day's comparative study of the parties in question. My own conviction is that the average flesh-eater eats at least twice as much in bulk as the average Vegetarian; and I know that the experience of Vegetarians bears witness to a great reduction, instead of a great increase, in the amount of their diet. As for the second medical argument, the unwisdom of rejecting any of Nature's bounties, it ignores the very existence of the ethical question, which is the Vegetarian's chief contention; nor does this appeal to "Nature" strike one as being very "scientific," inasmuch as (ethics apart) it might just as well justify cannibalism as flesh-eating. We can imagine how the medicine-men of some old anthropophagous tribe might deprecate the newfangled civilised notion of abstinence from human flesh, on the ground that it is foolish to refuse the benefits which "Nature" has abundantly provided.
But what of the failures of those who have attempted the Vegetarian diet? Is not the movement hopelessly blocked by Mr. So-and So's six weeks' experiment? He became so very weak, you know, until his friends were quite alarmed about him, and he was really obliged to take something more nourishing. All of which symptoms, would remark, could be matched by thousands of similar instances from the records, of the temperance movement, and prove clearly enough, not that abstinence from flesh food or alcohol is impossible, but that (as any thoughtful person might have foreseen) a great change in the habits of a people cannot be effected suddenly, or without its inevitable percentage of failures. Every propagandist movement, religious, social, or dietetic, is sure to attract to itself a motley crowd of adherents, many of whom, after a trial of the new principles—some after a genuine trial, others after a very superficial one—revert to their former position. Let it be freely granted that a habit so ingrained as that of flesh-eating is likely, and, indeed certain, in some particular cases to be very hard to eradicate. What then? Is not that exactly what might have been expected in a change of this kind? And, on the other side, it is equally certain that a large number of the reported failures—nine-tenths of them, I should say—are caused by the half-hearted or illadvised manner in which the attempt is made. It is just as possible to commit suicide on a Vegetarian diet as on any other, if you are bent on that conclusion; and really one might almost imagine, from the extraordinary folly sometimes shown in the selection of a diet, that certain experimentalists were "riding for a fall" in their dealings with Vegetarianism—taking up the thing in order to be able to say, "I tried it, and see the result!" I knew a man, a master at a great public school, who "tried Vegetarianism," and he tried it by making cabbage and potato the substitute for flesh, and after a month's trial he felt "very flabby," and then he gave it up.
An important factor in the success of a change of diet is the spirit in which such change is undertaken. As far as the mere chemistry of food is concerned, the majority of people may doubtless, with ordinary wisdom in the conduct of the change, substitute a Vegetarian for a "mixed" diet without inconvenience. But in some cases, owing perhaps to the temperament of the individual, or the nature of his surroundings, the change is much more difficult; and here it will make all the difference whether he have really at heart a sincere wish to take the first step towards a humaner diet, or whether he be simply experimenting out of curiosity or some other trivial motive. It is one more proof that the moral basis of Vegetarianism is the one that sustains the rest.
But are there not other reasons alleged against the practice of Vegetarianism? Ah, those dear old Fallacies, so immemorial yet ever new, how can I speak disrespectfully of what has so often refreshed and entertained me! Every food-reformer is familiar with them—the "law of nature" arguments, which would approximate human ethics to the standard of the tiger-cat or rattle-snake; the "necessity-of-taking-life" argument, which conscientiously ignores the practice of unnecessary killing; the blubber argument, or, to put it more exactly, the "what-would-become-of-the-Esquimaux"? to which the only adequate answer is, a system of Stateaided emigration; the "for-my-sake" argument, which may be called the family fallacy; the "what-should-we-do-without-leather?" that lurid picture of a shoeless world instantaneously converted to Vegetarianism; and the disinterested "what-would-become-of-the-animals?" which foresees the grievous wanderings of homeless herds who can find no kind protector to eat them. Best of all, I think, is what may be termed the logic of the larder, beloved of learned men, which urges that the animals would prefer to live and be eaten than not to live at all—an imaginary ante-natal choice in an imaginary ante-natal condition!
I have now shown what I mean by those "humanities of diet," without which, as it seems to me, it is idle to dispute over the question of the "rights" of animals. A lively argument was lately raging between zoophilists and Jesuits, as to whether animals are "persons;" I would put it to both parties, is not the battle an unreal one, so long as the "persons" in question are by common agreement handed over to the tender mercies of the butcher, who will make exceeding short work of their "personality"?
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I advance no exaggerated or fanciful claim for Vegetarianism. It is not, as some have asserted, a "panacea" for human ills; it is something much more rational—an essential part of the modern humanitarian movement, which can make no true progress without it. Vegetarianism is the diet of the future, as flesh-food is the diet of the past. In that striking and common contrast, a fruit shop side by side with a butcher's, we have a most significant object lesson. There, on the one hand, are the barbarities of a savage custom—the headless carcases, stiffened into a ghastly semblance of life, the joints and steaks and gobbets with their sickening odour, the harsh grating of the bone-saw, and the dull thud of the chopper - a perpetual crying protest against the horrors of flesh-eating. And, as if this were not witness sufficient, here, close alongside, is a wealth of golden fruit, a sight to make a poet happy, the only food that is entirely congenial to the physical structure and the natural instincts of mankind, that can entirely satisfy the highest human aspirations. Can we doubt, as we gaze at this contrast, that whatever intermediate steps may need to be gradually taken, whatever difficulties to be overcome, the path of progression from the barbarities to the humanities of diet lies clear and unmistakable before us?
From Henry S. Salt, The Humanities of Diet (Manchester: The Vegetarian Society, 1914).
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NABARD Consultancy Services Private Limited (NABCONS)
Corporate Social Responsibility (CSR) Policy
1. PREAMBLE
1.1 Corporate Social Responsibility calls upon the corporate entities to serve to the interests of the society in addition to pay back to the shareholders. It is in recognition of the avenues provided by the society to the corporate entity for its growth and progress.
1.2 NABARD Consultancy Services (NABCONS) is a wholly owned subsidiary of NABARD. The NABARD, by its mandate, is committed to the growth of Agriculture and Rural Development. It is an organisation committed to the service of bringing prosperity in rural areas of the Country.NABCONS, as a subsidiary of NABARD, has inherited the spirit of serving the rural areas and taking part in the welfare activities of weaker sections of the society. The Corporate Social Responsibility is more a natural flow of organisational commitment rather than compliance with the statutory stipulations.
2. OBJECTIVES
The objectives of CSR Policy are enumerated as under:
- The policy will be in tune with the national developmental goals and priorities adopted by Government of India.
- The policy will be in tune with the organisational goals and priorities of National Bank for Agriculture and Rural Development (NABARD).
- The policy will ensure the compliance with the provisions of Companies' Act, 2013 in respect of statutory requirements under Corporate Social Responsibility.
- The policy will also ensure the compliance with the requirements of disclosure in the Annual Report of NABCONS every year in the prescribed format as set out herein as Annexure I.
- The Policy will provide for adequate mechanism for orderly implementation, monitoring and reporting systems.
3. CSR PROJECTS / ACTIVITIES PRESCRIBED UNDER THE ACT
The Policy recognizes that Corporate Social Responsibility is not merely compliance; it is a commitment to support initiatives that measurably improve the lives of underprivileged by one or more of the following focus areas as notified under Section 135 of the Companies' Act 2013 and Companies (Corporate Social Responsibility Policy) Rules 2014:
i. Eradicating hunger, poverty & malnutrition, promoting health care including preventive health care and sanitation including contribution to the Swach Bharat Kosh set-up by the Central Government for the promotion of sanitation & making available safe drinking water;
ii. Promoting education, including special education & employment enhancing vocation skills especially among children, women, elderly and the differently abled & livelihood enhancement projects;
iii. Promoting gender equality, empowering women, setting up homes & hostels for women & orphans, setting up old age homes, day care centres & such other facilities for senior citizens & measures for reducing inequalities faced by socially & economically backward groups;
iv. Ensuring environmental sustainability, ecological balance, protection of flora & fauna, animal welfare, agroforestry, conservation of natural resources & maintaining quality of soil, air and water including contribution to the Clean Ganga Fund set up by the Central Government for rejuvenation of river Ganga;
v. Protection of national heritage, art & culture including restoration of buildings & sites of historical importance & works of art; setting up public libraries; promotion & development of traditional arts & handicrafts;
vi. Measures for the benefit of armed forces veterans, war widows & their dependents;
vii. Training to promote rural sports, nationally recognised sports, Paralympic sports &Olympic sports;
viii. Contribution to the Prime Minister's National Relief Fund or any other fund set up by the Central Government for socio-economic development & relief & welfare of the Scheduled Castes, the Scheduled Tribes, other backward classes, minorities & women;
ix. Contributions or funds provided to technology incubators located within academic institutions, which are approved by the Central Government;
x. Rural development projects and;
xi. Slum area development.
Explanation – For the purpose of this item, the term 'slum area' shall mean any area declared as such by the Central Government or any State Government or any other competent authority under any law for the time being in force.
4. AREAS OF FOCUS
NABCONS will focus on the following areas:-
- Development of agriculture involving crop production, crop productivity, intensive cultivation, seed production, seed productivity, organic cultivation, vermin culture and other aspect of agricultural practices.
- Development of animal husbandry, poultry, horticulture and plantation, fisheries and other allied sector.
- Conservation of water, development of watershed, development of irrigation network, irrigation mechanism and other water conservation measures.
- Development of forest, increasing productivity of forest produce, preservation of environment and other related activities.
- Development of community infrastructure facilities, preservation of infrastructure facilities, upkeep and improvement of facilities.
- Planning and implementing village and community developmental projects.
- Undertaking activities relating to organising of self-help groups, micro credit institutions, micro credit planning and empowerment of women.
- Undertaking skill development programmes for women and rural unemployed youth for better employment opportunities and to promote self-employment.
- Undertaking activities relating to safe drinking water, health care and sanitation.
- Undertaking activities for promotion of literacy and education by construction/ repair of school building and facilities, provision of uniforms, books and other requirements of education, promotion of adult education and promotion of technical and professional education.
- Development of storage and marketing infrastructure in rural areas.
- Supporting Innovation in agricultural &rural development
- Programmes for Tribal Development
- Programme related to promotion of shelter and housing development in rural areas.
- Undertaking all activities incidental and supplementary to the activities mentioned above.
The areas of work and thrust areas as indicated above are only illustrative and not exhaustive.
Any other project / activity as notified or to be notified in future, under Section 135 of the Companies' Act 2013 and Companies (Corporate Social Responsibility Policy) Rules 2014.
5. BUDGET
- As per regulatory requirement, NABCONS will set aside, for annual CSR Projects / Activities, an amount equal to 2% of its average Net Profits made during the three immediately preceding financial years. Any unutilized CSR allocation of a particular year, will be carried forward to the following year, i.e. the CSR budget will be non-lapsable in nature.
- Provided that all reasonable efforts will be made to ensure that the annual CSR allocation is fully utilized in the respective year. However, if the Company fails to spend such amount, the Board of Directors shall, in its report under clause (o) of sub-section (3) of Section 134 of the Act, shall specify the reasons for not spending the amount.
6. ORGANIZATIONAL MECHANISM
6.1 CSR COMMITTEE OF BOARD OF DIRECTORS
In the 48th Meeting of Board of Directors held on 12th September 2014, under Agenda No 19, the Chairman was authorised to constitute the Corporate Social Responsibility Committee of Board of Directors. Accordingly, the Committee was constituted by the Chairman vide his orders dated 27th October 2014.
6.2 SCOPE OF WORK OF CSR COMMITTEE OF BOARD OF DIRECTORS
i. All the proposals of CSR Projects will be placed before the CSR Committee of Board of Directors for consideration and approval.
ii. The Committee will recommend the allocations of funds to be included in the Annual CSR Budget as per Section 135 of the Companies Act 2013 and Companies (Corporate Social Responsibility Policy) Rules 2014 and get the final approval from the Board of Directors for the Annual Budget of CSR.
iii. The Committee will review and monitor the progress of the execution of projects and will carry out any other associated Project / Activity which the Committee may consider appropriate.
iv. The Committee will meet at least 04 times in a year to discuss and review CSR Projects / Activities and Policy. A quorum of two members is required to be present for the proceedings to take place. Such other meetings of the Committee can be convened as and when deemed appropriate. The Committee shall have the authority to call such employee(s), senior official(s) and/or externals, as it deems fit.
6.3 CSR CELL
A CSR Cell, will work under the Company Affairs Vertical. All the proposals for CSR Projects / Activities will be placed by the CSR cell to CSR Implementation Committee for consideration and deliberations. On merit, the CSR Implementation Committee will recommend each CSR initiative / scheme for approval by the CSR Committee of the Board of Directors.
6.4 CSR IMPLEMENTATION COMMITTEE
For implementation of CSR, it is proposed that a CSR Implementation Committee may be constituted by CEO. The Committee may consist of 04 members with no member below the rank of Senior Consultant. The quorum for the CSR Implementation Committee meeting will be 3 members.
7. GUIDELINES FOR CONSIDERATION OF PROPOSALS
The guidelines for consideration of proposals and allotment of funds for CSR Projects and Activities are detailed in Annexure II.
8. IMPLEMENTATION STRATEGY FOR CSR PROJECTS / ACTIVITIES
The strategy for implementation of the CSR Projects / Activities is detailed in Annexure III.
9. MONITORING STRATEGY FOR CSR PROJECTS / ACTIVITIES
The projects shall be monitored as per the strategy detailed in Annexure IV.
10. AUDIT OF CSR SPENDING
i) All spending on CSR Projects / Activities shall be duly verified by the Internal Auditors of the Company.
ii) Observations of the Internal Auditors on the expenses of CSR Projects / Activities shall be placed in the meeting of CSR Committee of the Board of Directors.
iii) The Company Affairs Vertical shall prepare the Annual Reporting Statement in the prescribed format as per Annexure I and place the same in the meeting of CSR Committee of the Board of Directors.
iv) Disclosure and reporting requirements shall be taken care of by the Company Affairs Vertical.
11. GENERAL ASPECTS OF CSR
i) All expenses in respect of CSR Projects / Activities shall be properly captured and accounted in appropriate ledgers taking into account the requirements of Accounting Standards.
ii) If it is observed that any CSR Project / Activity taken up for implementation is not being properly implemented, the company at its discretion may discontinue the funding of the project at any time during the course of implementation.
iii) The CSR policy may be reviewed from time to time.
iv) Chairman of Board of Directors shall have the powers to clarify any points or clauses of the CSR policy.
v) Chairman of Board of Directors shall be empowered to amend or modify this policy and such changes made shall be placed before the Board for approval.
Format for the Board of Directors report on CSR to form part of the Annual Report of the Company
1. Brief outline of Company's CSR Policy including overview of projects or programs proposed to be undertaken and a reference to the web-link to the CSR Policy and projects or programs.
2. The composition of the CSR Committee.
3. Average Net Profit of the company for last three financial years
4. Prescribed CSR Expenditure (two percent of the amount as in item No. 3 above)
5. Details of CSR spent during the financial year:
a. Total amount to be spent for the financial year:
b. Amount unspent:
c. Manner in which the amount spent during the financial year is detailed below:
| S. No. | CSR Project/ activity identified | Sector in which the Project is covered | projects/ programmes 1.Local area/others 2.Specify the State and district where projects or programs were undertaken | Amount outlay (budget) project/ Program wise | Amount spent on the project/ programs subheads: 1.Direct Expenditure on project, 2.Overheads | Cumulative spend upto the reporting period. |
|---|---|---|---|---|---|---|
6. In case the Company fails to spend the 2% of the Average Net Profit (INR) of the last 3 financial years, the reasons for not spending the amount shall be stated in the Board report.
7. Responsibility statement, of the CSR Committee, that the implementation and monitoring of CSR Policy, is in compliance with CSR objectives and Policy of the Company.
…………………………………..
…………………………………..
(CEO)
(Chairperson CSR Committee)
Broad Guidelines for consideration of proposals and allotment of funds for CSR Projects / Activities
The following guidelines shall be followed for consideration of proposal and allotment of funds under CSR Projects / Activities:-
- The proposal has to be within the framework of the CSR Policy.
- The proposals received have to be redrawn in the project frame work mechanism giving the details of activities to be undertaken, time frame, financial requirements, organisational requirements, outcome/ results expected and sustainability of the project.
- The release of funds has to be linked with the Project frame work and proper end use of amount released from time to time.
- Project proposals may be prepared by
a. in-house team,
b. prepared and sent by Nabcons cell in Regional Offices of NABARD,
c. prepared and sent to the Company from State/ District Authorities/ Developmental Agencies,
d. Local Bodies or Reputed NGOs.
- When the proposals are from the developmental agencies and NGOs, the exercise of due diligence needs to be undertaken before submitting the same to CSR Committee.
IMPLEMENTATION STRATEGYFOR CSR PROJECTS / ACTIVITIES
The CSR Projects /Activities shall be implemented in any of the three ways as indicated here under:-
A. Directly by the NABCONS
B. Through NGOs/ Voluntary Organisations/ Trusts
C. Through concerned State/ District Authorities.
The implementation strategy shall be finalised at the time of approval of the project by the CSR Committee.
The methodology of implementation shall be as follows:-
A) DIRECTLY BY THE NABCONS
i) The Activities which can be implemented by NABCONS shall be taken up through Company Affairs Verticalor through contractor appointed for the purpose.
ii) The periodical activities such as conducting of health camps, distribution of uniforms and study articles to schools and activities like donation of equipment and vehicles for health care shall also be taken up by the NABCONS.
iii) The activities which cannot be taken up by the NABCONS because of its nature, size and other limitations, shall be considered for implementation through other alternatives.
iv) For implementing the CSR activities through contractors, the NABCONS shall adopt the same procedure as followed for outsourcing the execution of assignments.
v) For purchase of materials connected with CSR activities, NABCONS shall follow the same procedure as prescribed for procurement of materials under its normal business operations.
B) THROUGH NGOs/ VOLUNTARY ORGANISATIONS/ TRUSTEES
i) Activities requiring specialised skills, specialised expertise and of long duration requiring undivided attention shall be considered for implementation
through reputed NGOs/ Voluntary Organisations/ Trusts engaged in similar activities in the specified scheme areas.
ii) The NGOs/ VOs shall be identified based on their credentials and long standing performance in the respective fields. NGOs/ VOs with proven performance and conferred with tax exemption benefits shall be given preference.
iii) NGOs may also come forward on their own with specific proposals in the field of their expertise, within the purview of CSR Policy. Such proposals should be complete in all respects and supported by their credentials and capabilities.
iv) The claims submitted by the NGOs/VOs for the work completed/ done should be supported by proper bills, documents/ receipts in support of each item of the claim.
C) THROUGH CONCERNED STATE/ DISTRICT AUTHORITIES
i) The CSR works which cannot be taken up by NABCONS directly or through NGOs/ Voluntary Organisations/ Trusts/ Contractors due to various reasons/ constraints, shall be carried out with the help of respective State/ District Authorities.
ii) The State/ District Authorities may also submit the specific CSR proposals. In such cases, the NABCONS may release funds to the respective authorities for initiation and implementation, provided the projects/activities are covered under the CSR policy.
iii) For such CSR works implemented through the local bodies/ agencies nominated by the District Authorities/ State Authorities, the funds shall be released in suitable instalments based on the progress and utilization certificates.
MONITORING STRATEGY FOR CSR PROJECTS/ ACTIVITIES
All CSR projects/ activities shall be monitored by the designated officers as may be decided by the CSR Committee. The Monitoring mechanism shall be as under:-
A. PROJECTS DIRECTLY TAKEN UP BY THE NABCONS
i) The CSR projects taken up by NABCONS or through contractors shall be monitored directly by the Company Affairs Vertical of NABCONS.
ii) The award of contract shall be finalized by the Company Affairs Vertical with the details of work done and time frame for each activity.
iii) Release of funds shall be as per the terms of reference and time frame for each activity.
iv) The system of monthly review shall be adopted wherein the progress of CSR activities shall be reviewed on a regular basis.
v) Project completion report shall be prepared and placed for the consideration in the meeting of CSR Committee.
B. PROJECT IMPLEMENTED THROUGH NGOs/ VOLUNTARY ORGANISATIONS
i) The CSR projects taken up through NGOs/ Trusts shall be evaluated and monitored jointly by NABCONS and the respective organisation.
ii) The format of progress reports for joint evaluation, the periodicity of review and related matters shall be decided upon at the time of awarding the work to the institutions.
iii) The monitoring visits to the project sites shall be undertaken by the officials of NABCONS based on the needs and feedback requirements.
iv) Any deficiency noticed in implementation shall be brought to the attention of the CSR Committee for further course of action.
v) The release of funds shall be in stages as specified in the award letter.
vi) All vouchers/ bills and other documents shall be obtained in respect of all the
claims to take care of the accounts and audit requirements.
C. PROJECTS IMPLEMENTED THROUGH DISTRICT/ STATE AUTHORITIES
i) The CSR projects taken up through District/ State Authorities shall be evaluated and monitored jointly by NABCONS and the respective Authorities.
ii) The format of progress reports for joint evaluation, the periodicity of review and related matters shall be decided upon at the time of awarding the work to the institutions.
iii) The monitoring visits to the project sites shall be undertaken by the officials of NABCONS based on the needs and feedback requirements.
iv) The time frame for release of funds shall be decided at the time of awarding the contracts and the same shall be followed in release of funds in stages.
v) All vouchers/ bills and other documents shall be obtained in respect of all the claims to take care of the accounts and audit requirements.
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47
piñata hombre de hierro
LCTN: 37-TAURUS-E2 (Hyades cluster)
CORD: SAO-76430.0502 (57pc from SOL)
DATE: 2314ce-JANUARY-3-SATURDAY
TIME: 11:39zulu (local 26:33mst)
Artyom is the name of the AI for the Ryazan-Tottori Mecha gk scientific survey robot that was originally a seventy ton SRAM armored combat Mech. There is an astronomical selection of robotics to choose from for planetary exploration, specifically to limit human exposure to unpleasant environments, but this Sino-Russo design was perfect for the planet, Dedede, that orbits the red dwarf known as Kirby, which kicks the concept of "hostile environment" up a notch or two.
37-Tau-A is fifty times the luminosity of Sol, which essentially deep-fries everything within three AU of it. Then when you toss in its companion stars, 37-Tau-B and C, this means the too fucking toasty region fluctuates between three and four AU or so.
This is a relatively young system and, because of the unstable orbits, either B or C or both are going to get flung out sometime inside the next million years but, right now, 37 Tau also has three red dwarfs spinning around it in the outer periphery.
Two of those little guys also future Frisbee candidates.
The second of these red dwarfs, 37-Tau-E, has a pretty damned stable orbit for now but what has caught the attention of the scientific community is the discovery of a life-bearing planet way outside the goldilocks-habitable zone. That is, outside of the goldilocks zone towards the direction of Kirby, which makes it not so habitable or, id est, too fucking toasty.
Like all young red dwarfs, Kirby is volatile and regularly pukes solar flare after solar flare which makes a mess of both alkalis and phosphodiester-nucleic bonds, but what they have found on the second planet is a biology that shields these processes as well as provide a thermal ablative barrier from the steamy-scorchiness of Dedede.
What has torqued the science cranks for over fifty years is that the surface of Dedede will bounce back and forth past 100˚ Celsius, repeatedly reconstituting and boiling off the surface water in an atmosphere that's already oversaturated at 100% humidity, and in spite of the intemperate weather the flora that has cropped up here manages to keep the internal plant structures between a reasonable 82-94˚ no matter how challenging it is on the outside.
Studying the unique properties of a biology that shields from both radiation and thermal assault in the natural state, that is millions of plant types with thousands of differing mechanisms, has become a priority to the sciences and academia but, to sweep it all under the rug away from the corporate R&D leaches, they long ago turned to a friend of the astronomy community for help. The Orion Trust, with the help of the SA, developed a ruse where everyone has openly known about Kirby and Dedede for decades. The most powerful industrial R&D divisions have wanted to get their mitts on Dedede in the worse possible way, it's just that they've been cock-blocked by the United Nations strict TLYLT (Thousand Light Year Limitation Treaty) and never knew it was in their 37-Tau back yard the whole time.
They never knew red dwarf 37-Tau-E was in actuality, Kirby.
All the fantastical reports and images they saw of the Kirby system, believed far out of reach past D-Vel in the Vela constellation, showed it had four planets and nine tiny planetoids, not the two planets and one dwarf planet of 37-Tau-E, and all the images of the planet Popstar, getting bathed in the coronal hate of Kirby, has gripped the imagination of grade schoolers taking the compulsory planetary science classes. Kirby and Popstar have become their most favoritist celestial bodies ever since Pluto was reinstated back into the planetary club and joined by the likes of Charon, Eres, Ceres, and Sedna.
Popstar is actually the hyper-volcanic planet, Super Scorch. A molten ball of sulfuric-iron churning inside-out rage that whips around 37-Tau-E with a year that tops out at about 110 hours, just short of five days. Everything they've been taught about Kirby and Popstar has always been 37-Tau-E and Super Scorch.
Dedede, the planet the kids didn't care about, was the planet that everyone else was drooling over by all accounts. The images of it from orbit and on the surface showed it off as some rainbow light-brite planetary Disneyland, where social media science vloggers jokingly added photoshops of smurfs and unicorns just for giggles, yet back in 2296 it was shocking for them to learn this planet was a hot-sweaty rock originally called, Black Cauldron.
And never was there a more fitting name for such a stormy, gray-overcast greenhouse nightmare.
Artyom has enjoyed his job over the last forty-eight years. His life has been a simple and rewarding one of constant photography, scanning, data and sample collection. Now, the scientific community thinks he has been working for them all this time but in reality he has always answered to the Steel Annex. The thousands upon thousands of discoveries made here by Artyom, doing real time AI analysis on the fly, means that the good stuff he discovered on the Black Calderon, (okay-okay) that is Dedede, have, unbeknownst to academia and said scientific community, never made it to the science dweebs. The most fascinating discovery by far, shared with science, is the realization that the indigenous flora here on Dedede is not indigenous.
What's got everyone's panties all up in a bunch is the fight between the intentional camp versus the accidental camp. That is, the Pullulation Theory of intelligently sown fauna versus the Transposition Theory of randomly deposited spores. This knock-down/drag-out now holds the distinction of being the dumbest non-scientifical science ever and has upstaged the "loss of information" ecclesiastical debates in the theoretical physics world centuries before.
Oh yea, and Transposition is winning.
Anyway, the data and samples that had any industrial value or impact went directly to the SA arm called Jerryworks, who farmed it out to the worst of the abusive research and development groups of the corporations they themselves secretly controlled. The technologies developed from Dedede are being held close to the chest in a virtual death-grip, with a barely noticeable trickle of tech leaking out based upon the samples and data that have been shared with academia.
The problem looming over this enterprise is that after the last war the Annex knew they could not keep this deception through the next one so, after having gotten all the choicest morsels from Dedede, and to block access by the Co-op, in march of 2296 they intentionally let it "accidentally" leak that Kirby is 37-Tau-E.
The fight for access and control over Dedede was won by the scientific community in the courts and, with the cease fire about to lapse, the effort to recover Artyom is now in mad-scramble mode.
Truth be known, the recovery operation is a mulligan of sorts. Artyom is just the bait.
When the Orion Trust swapped out their beaten up steerage digs of an observatory, orbiting Dark Mind, the crappy little dwarf planet in the chilly region past Popstar and Dedede, for the new posh Access Ark facility, complete with amphitheatre, hotel and convention center, it became both a popular vacation attraction as well as the field trip of choice for 6 th Graders in the Hyades. To date, all this visibility
has locked in their control of the Kirby system and effectively locked out the corporations.
Everyone knows that the Co-op will muscle their way in after the shooting starts, in about twenty minutes, but only the microbiology and plant sciences factions will really care. The Orion Trust and the Annex long ago got what they wanted, and before the Co-op can make any sense, science and innovative technology out of Dedede that will make a differencethis new war will be long over.
There are usually about a thousand or so kids on Access Ark, taking the tour and fawning over Popstar and Kirby, but it's the middle of the Christmas-New Year's school break so no field trips today; also the hotel is pretty empty for the holiday and that's great news for the Co-op because this minimizes potential collateral damage. Who is here are the university member delegates to the Orion Trust conducting their bi-annual ops meeting at a cut-rate. They're just pushing funds from one budgetary pool to another, yes, but business is business and fiscal responsibility for the Trust errors on the side of austerity.
And front row seats on the cheap for this show.
Iron Man, SA-14, has been docked with Access Ark waiting for Artyom to be delivered to them. The lift was supposed to happen a day ago but, as part of this ruse, a final core sample was taken over a known high-pressure methane filled sinkhole.
What little fauna there is on Dedede is bacterial and twice the biomass of the plants on the surface. Underground, protected from Kirby, this symbiotic relationship has resulted in a rich soil interlaced with the porous volcanic rock and has converted the predominately CO2 atmosphere at its inception to a ratio of 36-40-20-4 of CO2, O2, nitrogen and other trace gasses. With an atmospheric pressure exceeding fourteen-hundred millibars when methane escapes into the atmosphere of Dedede under pressure, which surprisingly happens a lot around here, all you need is ignitionand on the thunderstorm infested and electrically charged Dedede all you throw are sevens.
There is always a spark.
Artyom was drilling over the sink hole when the ceiling of the chamber fractured and the gas escaped, blowing all seventy-tons of him back away from the breach. A vast plume of methane rolled up into the sky and didn't have to wait long for an ignition source. Artyom had a flare waiting just in case but that was not necessary.
When methane combines with oxygen (O2) via combustion it goes through a ridiculous number of reactions making it a burn and not an explosion per se. Still, with the plume hitting a low hanging storm cloud, the ignition source for today, this "burn" had the power of a
small nuclear bomb that punched Artyom through the ceiling of the sinkhole as well as having collapsed said ceiling on top of him.
It took only an hour for Artyom and his mech to dig out from under the rubble, but that was a whole day ago. The recovery crew could not get to him under thirty-meters of boiling water that filled the small cavern so the crew has been pumping off the waterfighting the aquifer that is constantly trying to fill it up however, the crew has been winning and the top of the mech is now showing. This is like the twelfth time in forty-eight years they had to fish this seventy-ton machine out of a water filled hole in the ground, and the first time they purposefully swamped one for show, but it's all so predictably old hat for the recovery crew, made of maintenance droids, that they're way ahead of schedule and have been delaying the lift now for six hours.
With just a few minutes to go before hoisting the mech, Jacob and Peña land their Thunderbolt fighters a football pitch away from the sinkhole. They hop out of their ships and step up beside Artyom, the original android component, who is looking down at the mech and his home for forty-eight years. Three cables are running up from the mech, over the lip of the sinkhole and under a supersized HWG-98 Razorback drop ship brought in and configured for this lift.
Artyom was originally David, a service android. Now, service droid was a euphemism for a robotic prostitute, a sexbot have you, but with the Neuronetservice droids became superfluous. One android is as good as another so David was picked up at a bargain-basement rate and, by uploading the RTM mech-utility and core-interface, this robot went from the virtually useless sexploitation David to astronomically valuable sciploitation Artyom with the flip of a switch.
Standing by the sinkhole naked, his cloths long ago burned away by Dedede, and with an eerie calm between storms, the rays of Kirby peeking through a break the clouds, Artyom looks like he's in deep thought as Jacob disturbs him with, "You ready?"
The android turns towards them and his charred exterior is utterly ghastly to behold, ["Just drinking it in, Field Marshal."]
Being the first human eyes to fall on Artyom in forty–eight years, Jacob and Peña were not expecting this horror show. All his hair, eyelids and outer layers of his skin have been burned away with the inner metallic skin hideously tarnished. Extremities like his fingers, toes, penis, ears and nose now sport the chroma rainbow of tempered steel. His broken jaw is wired shut to keep it from flopping about so to talk to them he has to communicate via an archaic radio interface.
Jacob suggests, "If you want to take a few minutes?" Artyom shakes his head no, ["Ready as I'll ever be."]
While they walk towards the Thunderbolts, and the Razorback starting to lift off, Jacob looks over and says, "It's an honor to be the one to come get you, Artyom. You are a hero to us in the Annex."
["That's odd, I simply cannot understand how my efforts in botany could be classified as a heroic endeavor?"]
"Well, you saved my ass!"
Artyom's lips move in deference to the wired jaw, ["Oh yes, the sixth of November, twenty-three-zero-eight. I saw the report."]
Peña asks, "What stupid did you do?"
["Field Marshal, Graves, was hit by a laser battery."]
Jacob adds, "It was just a scratch, thanks to Artyom, here."
Stepping up to the fighters, with the Razorback hovering over the sinkhole to hoist the mech, Artyom pulls a piece of a bramble from a bush, jet black like all the plant life on this planet, and shows them, ["This is the specific culprit. The ablative surface of your JACC comes from the carbon-iron scaling on the stems. It's a brilliant example of bio-molecular interlocked bonding."]
Jacob squints at the plant, "The thorns!"
["This is just one example of that adaptation."]
Peña wonders, "What, I don't get it?"
Jacob motions around them, "There're no critters."
Peña still doesn't get it so Artyom adds, ["Thorns are only for self-defense, purposefully to dissuade animals from eating them. No herbivores means this biology did not evolve here."]
Peña chuckles, "No shit, it's that simple!"
Artyom nods, ["All too often the obvious is difficult to notice."]
Jacob says, "Guys, we gotta saddle up. Fifteen minutes."
Jacob has Artyom strap up in the jump seat behind him then seals the cockpit. Both he and Peña launch and orbit the Razorback as the recovery droids secure the mech. To accommodate this machine they removed the deck of the hold so that they can operate in utility hoist mode as the ever popular Dragonfly lifter. In fact they would have preferred the Dragonfly for this effort but the 2.4g of Dedede makes the 70 tons of the mech the equivalent of 168 tonsand double that for every 'g' of acceleration going up.
The Razorback lifts off for Access Ark, accelerating at a paltry half a gravity to start. Once they stabilize the load, identifying the center of gravity, the Razorback rotates its nose straight up and kicks
in its engines. They push it along little by little and topping off at 2g to keep the tension from acceleration at half the cable load-rating so as not to risk shearing them.
It is now noon and they have reached ninety kilometers up near the edge of spaceabove the thicker atmosphere of Dedede but not high enough for an overloaded drop ship to switch over to MDDSH.
Peña ties into Jacob with, ["Well, we're on schedule!"]
Jacob nods, "SA-14 should be irresistible."
["Si...piñata hombre de hierro!"]
Jacob gruffs, "That's an interesting way of putting it!"
Peña, mimicking a severe LA-Mex accent, ["Patrón, who can resist a fuckin' piñata! Weren't you were married to a Mexican once upon a time?"] He then mumbles, ["No tiene dos dedos de frente!"]
"What happened to that clean-cut lieutenant we hired on?"
Peña snorts a laugh, and with an exaggerated redneck accent, ["Oh, 'scuse me thar, Sir! Ya'll git wha'cha pay fur!"]
Jacob and Peña are ninety-seven light seconds away from Access Ark and cannot see anything at that distance in real time, but they are being fed a video and tactical stream directly from SA-14. This tacnet feed is only delayed by a pico-second or two, so at that very moment, with said delay, thirty-five seconds after the hour, two F-51 Condors zip up at a quarter light-speed, break for just a second, just enough time to let SA-14 have it with four centipede missiles, and zip back out at a quarter light speed before they could get shot at.
SA-14 was docked to Access Ark with its long nose, so the condors attacked the engine nacelles in the back of the ship over a kilometer away from the Ark. The platform initiates an emergency decoupling and uses its gravity core in a directional pull to draw itself away. It's only a quarter-g to start but the intensity builds up quickly. They only need 3 klicks to safely zip off in MDDSH spacial displacement mode but that drive capability is now gone. They can actually jump with one nacelle, and it would be a shit of a short jump, but a jump is a jump, and they still have two functional nacelles, but regulations require the ship to be at least of thirty kilometers away.
Iron Man, SA-14, the very first and most revered of the SA battle platforms, is in really deep shit for once.
They launch a squadron of Thunderbolt fighters to take on any follow up condors but all they get now is a centipede being sniped at them from a stand-off range every few seconds. The Co-op cannot launch a spider missile this close to Access Ark so what they plan to do
is now obvious. With no other option SA-14 notifies the Ark that they are initiating an emergency jump at fifteen kilometers.
Jacob, and the others watch as SA-14 approaches the twelve kilometer mark, so Jacob quietly says, "All according to prophesy."
Peña voice is strained, ["Dude, this is hard to watch."]
Artyom says of its AI, ["I always wanted to meet, Grace."]
Just then, at twelve kilometers, three from the proposed jump point, a Zodiac missile, special delivery from Security Services, streaks in and stops dead in its tracks right behind SA-14. Normally these things would initiate detonation about a thousand kilometers away from its target so that it would actually pop right at the exact moment they're about to hit said target, usually inside a kilometer, both the Annex and the Co-op have gotten that good with them, but with Access Ark so close they had to be exacting at worse so they brought the evil thing to a screeching halt.
In a half-a-second the Zodiac closes in and barely touches the Iron Man before detonating in a massive-blinding fifty-megaton pulse.
Iron Man is gone.
The radius of the plasma fire-ball is just over four-kilometers, and with no actual blast or shock wave to be had, this is space, one would still think that Access Ark would be irreparably scorched and damaged by the radiation at this short distance but this facility was built with Kirby in mind. Over the years Access Ark has been hit by a multitude of solar flares spit out by Kirby, so much radiation and charged particles in fact that this little fire-cracker of a nuke, at better than arms distance, was really nothing by comparison.
The fire-ball hangs in space for just a few seconds and fades out but Jacob, Peña and Artyom will not get to see this for another minute and a half. The feed from SA-14 is suddenly and simply cut. They do not need any visual cues as to what happened because they know they'll see it soon enough.
Jacob radios to Peña "Okay, Dog, they'll come for the mech so let's make it quick and painless for 'em."
["This is all so inelegant in its elegance."]
Jacob agrees whole heartedly, "Ya, it's not what I wanna do."
Artyom speaks up introspectively, "You know, I was already uploaded with the core so I do not know why we are going through these motions. You should have just bombed me on the surface."
Jacob just shakes his head, "This is not about you, Artyom, but we'll get you up to speed when we debrief."
Peña adds, ["If anyone is deserving of a duster it is you."]
They are less than a minute away from the point where the Razorback can kick it into MDDSH, but above them a single F51 Condor streaks in, so Jacob says, "Right on time."
Seconds later fifteen more Condor's streak in between them and the point of escape, with a cruiser above them for fire support. The Co-op wants to scoop up Artyom, and are clueless that they are being played, the drop ship carrying Artyom's mech suddenly rotates and, with this load, struggles to transition its trajectory sideways and away from the fighters above. There is not enough air pressure at this altitude for the Razorback to aerodynamically force a turn, and with the Condor's starting to descend on them the recovery crew cuts the mech looseaccording to plan.
Once the mech is clear the Razorback kicks in its MDDSH engines and rips away at high speed. It couldn't do so with the load but now it can fly away unscathed.
With the mech starting to drop in a trajectory back towards Dedede so, as a kiss-my-ass to the Co-op, Jacob and Peña spread out and both launch a spider missile on it.
The whole reason for the Co-op to attack has now been obliterated. It's not even a debris field, the mech has been converted to hot and rapidly expanding fire-ball.
With the drop ship and mech now gone, Jacob and Peña go from pure defensive weakness to 'come hither and play' dominance. Not wanting to take them on just yet, the Condors climb away and high-tail it out with the cruiser. Now is not the time.
The two Thunderbolts MDDSH it out of the area and at 30au from Kirby they stop, link up, charge...and jump.
00101010-01011100-01101111-00101111-00101010
Normally in the SA you do three jumps and wait a day to make sure nobody has followed by recalibrating the jump signatures. Two jumps have been traced, yes, but never three consecutive jumps. Jacob and Peña jump five times with the last one straight back to the Carrie Nation orbiting Cue Ball, the eleventh planet of alpha-Orion.
From Dedede to a touchdown dish-side on the Carrie Nation was less than an hour. On combat jumps they stick to an operational protocol that calls for strict communication blackout but, if necessary, they can text and even synch clocks via old school paint-by-laser. This part of today's mission was uneventful, boring even, as will the post mission debriefing, or so Artyom was led to believe.
Standing alone on the lift in a JACC is Marshal, Nancy Yoon, the commander of the Carrie Nation. She guides Jacob and Peña to a cross-armed stop. It wasn't necessary but safety protocol is protocol, so if a pair of eyes are available they are required to be used.
As the lift drops to the first flight deck, their cockpits open up while still in a vacuum. At the bottom, Yoon walks along with them as they drive their Thunderbolts into the adjoining air lock where, once cleared, the door seals and the bay floods with air.
With the atmosphere stabilized, Yoon steps up to the first fighter while detaching her helmet-canopy assembly and pulling it straight up and off, "Trooper Peña, I've heard a lot about you."
Peña smiles, "All lies, Marshal Yoon!"
Jacob calls over from his ship as he starts to help Artyom out, "Heads up, Nancy. You're gonna be seeing a lot of him."
Yoon smiles, "I heard. How's Sandy taken to her new job?"
"Sandoval is fuckin' pissed." Jacob laughs as he lifts Artyom from the cockpit and helps him down to the deck, "I don't know if it's the promotion or being saddled with Cricket as a DFM?"
Yoon hides her shock at seeing Artyom's haggard appearance, "We're all praying Cricket gets through this...without fucking up."
"No shit. Though she is fantastic as a company commander."
Yoon shrugs as Jacob, Artyom and Peña step up, "Some fail to adapt to the impersonal touch, you know. I'd rather command a company over a fucking station but..." She sighs, "Good days, right?"
Jacob nods as he fist-bumps Yoon, "Those were good days."
Looking at the android, Yoon shakes her head, "I can't believe that it's you, Artyom. How's the SYLN nodes working for ya?"
Peña wonders, "I thought Artyom was pre-CLaN?"
"He got the C.L.N. nodes when he deployed and the SYLN upgrade thirty years ago. I was the liaison on that project."
Artyom nods and responds through the speaker in his throat, "Nancy Yoon, you were a corporal back then."
Yoon hands him the BDU pants he asked for on the way in, "Dude, you look like shit!"
"Yep, Five-Nights shit...thank you!" He holds the BDU pants up and inspects them with infinite joy, "God, how I've missed pants!"
Peña asks, "Pants? Forty-eight years and you ask for pants?" "It's the little things."
Jacob and Yoon help Artyom steady himself, and as he puts the pants on, Yoon says, "Two things, first, all that time in the field made you eligible for rank. Only five people in the history of the Annex have been awarded PFC-Six and, well, you've earned it but, unfortunately, we do not have a brass pin on hand."
"I am honored!" Artyom cinches the belt and, "Not having the pin is okay because I believe it is the thought that counts."
Jacob adds, "You did earn it."
"I'm proud of my work on Dedede, but I am apprehensive about my next assignment. Becoming a battle platform SYLN is one thing, but they want to migrate me to the new SYLN-b cybernetic."
Yoon asks, "What's the problem?"
"I'm not of their caliber. Using SYLN node components does not make me one of them. It does not make me their equal."
"Well, they don't see it like that."
"Would you be so kind as to advise them that I appreciate the offer, but I do not consider myself qualified."
Yoon laughs, "Well, you can tell them yourself! This was the second thing I had for you. In two hours the SYLN from the C3, Glados, is leading a round table with the other twenty-six SYLN droids to discuss the SYLN-b transition she already went through. They did schedule this get together for today to make sure you'd be here."
Artyom looks down in thought, then, "I guess this means I should accept this new assignment, qualified or not."
Peña snorts, "D'uh, ya think!"
Artyom then shrugs, "Then a transition to a female persona and anatomical construct shouldn't be that problematic." He looks up, "I've identified as male for so long that it gives me butterflies to think about such a change. New life, new me as they say?"
Jacob offers, "If you want to talk to my daughter, she made the switch. I can arrange it, just say the word."
Artyom delights in the offer, "I would like that! Thank you."
Yoon gestures them to follow her, "Look, we got one more thing before we get you checked out and to your SYLN group therapy meeting." As they step up to the airlock hatch that's starting to open Yoon says, "You'll be here for the next two days. At that point Marshal Graves will take you to the Spike. You'll be debriefing there and get prepped and fast-tracked for your new assignment."
Blocking their way is a platform with stairs, so as Yoon starts
climbing, Artyom calls out, "I am indebted to you, Marshal Yoon. Honestly, I cannot thank you enough for your hospitality."
Yoon has reached the top and as he labors away, climbing the stairs, she says, "No, Artyom, it is we who want to thank you."
At the top, on a landing, Artyom steps out onto a stage. He is faced with a dozen senior SA marshals including Maria and Bob. On the flight deck behind them are over three-thousand troopers lined up in columns, at parade rest, which is visually staggering.
Jacob steps around Artyom and stands beside Maria who asks, "How was the mission? Any casualties?"
"Zero, droids only." Jacob smiles at her, "Like clockwork."
A lone sergeant, at the head of the columns of troopers, shouts with a D.I. bark, "More majorum, atten-hut!"
Bob steps up to Artyom and pins a PFC medallion to the belt loop of his pants and steps back, "PFC-Six, Artyom, so many here owe their lives to you but...no words can express our gratitude."
Robert Jackson, Bob to some, the alpha-6 Consulate Marshal of the Steel Annex, snaps a perfect salute to honor hima charred scrap heap of a robot. A whole second later everyone else, those on stage and the three thousand on the deck, follow suit in lockstep.
Artyom quietly mutters to himself, "Oh, my."
He looks down at the polished-gold medallion of a single chevron with six-rockers. He's had SYLN tech inside him for so long that over the years emotions have naturally manifested themselves, but suddenly they are proving difficult for him to cope with. Artyom has always felt like the outsider, an infinitesimally small part of a greater something, something he has had an intimate and detailed knowledge of but always from afar in both distance and time.
The tribute of being polished has never been bestowed upon the likes of him before, a machine, but these humans freely chose to do this so in spite of his reservations, and in adherence to protocol, Artyom struggles to attention and returns the salute.
The ovation that followed was deafening.
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Public GAMING International Magazine August 22, 2005
TIME FOR SPECIAL SEPTEMBER ISSUE
There is still time to get your ad into the Special Edition of Public Gaming International magazine for September. This issue will be distributed at two of the most important trade shows of the year – the 2005 conference and trade show of the North American Association of State and Provincial Lotteries being held in Minneapolis AND the big G2E trade show for all gaming in Las Vegas. Both shows are in the second week of September. Call: Public Gaming International magazine at 425-985-3157 or -3159.
COMPANY ANNOUNCEMENTS
MDI ACQUIRES SPACE INVADERS®. Space
Invaders®, the early 1980's alien invasion video game that helped launch the entire video game industry, has been acquired for the lottery category by MDI Entertainment, a wholly-owned subsidiary of Scientific Games Corporation. MDI has entered into a two-year agreement with Taito Corporation of Japan to be the exclusive provider of Space Invaders lottery licenses. The popularity of vintage video games is evident in the huge success of PAC-MAN™, which is quickly becoming one of MDI's most popular games. Space Invaders is the perfect companion/follow up game to PAC-MAN or as an introduction to this type of game theme.
SPIELO LAUNCHES WINWAVE AT NASPL. Spielo®, a GTECH® Company, is launching yet another innovative solution for the lottery industry. WinWave(TM), the next generation video lottery terminal, will be showcased at the NASPL conference in Minneapolis, Minnesota from September 14-16, 2005. WinWave offers a sleek new design, a second LCD screen, and a smaller footprint. Developed in consultation with lotteries to meet the specific needs of venues and players, WinWave offers the same fullbodied features as Spielo's traditional terminals with ergonomic enhancements that improve the overall playing experience. Come see the future of gaming at Spielo's booth #46.
NEW ZEALAND CHOOSES GTECH. GTECH has
signed an agreement with the New Zealand Lotteries Commission for a complete lottery system conversion to include a new integrated online and instant lottery system and new terminals. In addition to Enterprise Series, GTECH will replace NZ Lotteries existing terminal base with approximately 1,450 Altura® terminals. GTECH will also provide ongoing software support to NZ Lotteries as well as terminal maintenance over nine years commencing with the implementation of the new system, which is expected in June 2006. The Company expects to generate approximately $14 million in product sale revenue. GTECH will also receive an additional $14 million in ongoing software support, software licensing, and terminal maintenance.
IGT AND GSA TO COMBINE EFFORTS. The GSA and IGT will work together to combine the GSA's successful Best of Breed (BOB) Version
1.1 and IGT's SuperSAS™ protocols that will lead to an open global industry standard and continue to drive innovation. As part of the agreement, IGT will re-establish its status as a full member of GSA and will work with the group to further the shared goals of creating one standard that will be the cornerstone for new gaming technologies including server-based applications.
ARISTOCRAT LAUNCHES ZORRO HYPERLINK PROGRESSIVE. Aristocrat Technologies continues to expand its Hyperlink® progressive slots portfolio with this summer's widespread introduction of a Zorro™-themed local-area penny progressive offering a $50,000 top jackpot award. The linked progressive was recently approved by Gaming Laboratories International, Inc. for introduction into most river, land-based, and tribal gaming jurisdictions nationwide. Aristocrat's Zorro linked progressive combines two highly successful Aristocrat game concepts -- Hyperlink and the Bonus Bank.
GSA SIMPLIFIES PATENT POLICY. The Gaming Standards Association (GSA) has simplified and updated its patent policy in an effort to bring it in line with those of other global standard-setting bodies. The policy was reviewed and updated after GSA attended a recent international roundtable of standard-setting organizations that focused on Intellectual Property policies. Among the simplifications made to GSA's policy are: removal of the need to disclose pending applications; requesting disclosure only at the end of the standards-setting process; and a general updating of the policy.
PEOPLE
Joseph C. Sullivan, Executive Director of the Massachusetts State Lottery, was recently elected vicepresident of the Mega Millions game by fellow members of the consortium. As vice-president of the organization, Sullivan will be responsible for offering game administration and financial direction for the multi-state game.
For family reasons, Peter Bertilsson has announced his resignation as president of Boss Media AB, a position he has held since October 2001. Peter Bertilsson will remain company president until such time as a successor has been appointed, which is expected to be during the autumn.
Governor Perdue has reportedly appointed Tony Campbell, founder of the Broad Street Group LLC, to serve on the board of directors for the Georgia Lottery Corporation. Campbell, 53, worked at Flowers Industries for 20 years, serving as chief legal officer, general counsel and secretary. Three years ago, he retired from Flowers to establish the Broad Street Group, a local private equity investment firm.
VIDEO GAMING/RACINOS
PENNSYLVANIA SLOTS INVESTIGATIONS. The
Pennsylvania Gaming Control Board is rushing to license slot-machine operators so that the state's homeowners can realize gambling-financed property tax cuts as soon as possible. The board members want their investigation and enforcement bureau to manage the information and split the background-check duties between state police and multiple private contractors the board expects to hire. The state police are lobbying to do the job. The background checks the board will require of firms, executives and employees could number about 30,000, and are viewed as crucial to screening out organized crime. Most will be limited to criminal background checks of low-level employees of the slots operators, casino suppliers and vendors. About one-fifth will involve in-depth background checks of executives and managers or forensic accounting investigations of corporate applicants.
VI VLTs PAYING
OFF.
VLTs have reportedly been responsible for helping the Virgin Islands Lottery into the black. Southland Gaming operates 330 machines on the islands, kicking a 33.25% commission back to the Lottery. Since August 2003 the machines have sent $5.9 million in payments to the Lottery; $4.1 million in payments to VLT retailers; $82,000 in charitable contributions such as children's scholarships; $349,000 in salaries; and $1.7 million in local goods and services bought, including rent, consultant fees and vehicles. Since December, the lottery has paid $700,000 to the Virgin Islands Educational Initiative Fund and $345,724 to the Pharmaceutical Assistance to the Aged Fund, and $242,000 into the V.I. General Fund.
NH's ROCKINGHAM
PARK SIGNS WITH
CASINO COMPANY.
New Hampshire's Rockingham Park racetrack has signed a deal with Millennium
Gaming Inc. and Cannery Casino Resorts to expand the existing facility and bring gambling and live thoroughbred racing to the track. Of course, before the track can see this kind of development the state will have to legalize a gambling expansion bill. The most recent expansion bill was rejected by the state Senate in April.
WHEEL OF GOLD IN NY. Ten of IGT;s Wheel of Gold® video games were installed this week at Finger Lakes Gaming & Racetrack, and eight were installed at Saratoga Gaming & Raceway. The two Video Gaming Facilities are operated under the direction of the New York Lottery. The Wheel of Gold® video game is a 9-line, 45-coin game with a wheel that spins during the bonus round.
LOTTERY NEWS
CA LOTTERY ISSUES RIF FOR ALTERNATIVE SELLING METHODS OF LOTTERY TICKETS. The California State Lottery is issuing a Request for Information (RFI) to seek ideas, suggestions, strategies, alternatives and experiences from industry with respect to new and innovative approaches to designing, developing, acquiring, operating and managing alternative selling methods of lottery tickets to the public. The RFI is currently available on the Lottery's website at www.calottery.com under "Vendor Opportunities". Responses are due no later than 3:00 pm Friday,
September 9, 2005. For more information contact Tina Miranda at (916) 322-0007 or firstname.lastname@example.org.
OHIO CHANGING LOTTO GAME.
The Ohio Lottery is planning to replace Super Lotto Plus, which has existed in various forms since 1987, with another game designed to be different than the 12-state Mega Millions game played in Ohio. Maryland and Texas are also examining their lotto games, and
Pennsylvania, a Powerball state, revised its one last year to increase the odds of winning. The new Ohio game, to be called Lot 'O Play, will be available at online sales terminals starting Oct. 9, Tom Hayes, Ohio Lottery director, said. Its minimum jackpot will be $1 million and can increase if there is no jackpot winner and depending on the amount of sales. "It's not unusual for us to change a game or start a new one. Typically, every game has a life span, and you have what we call game fatigue. We thought it was a good time for a new game that looks and plays differently," Hayes said. The Multi-State Lottery Association, based in Urbandale, Iowa, runs the Powerball lotto game in 27 states, the District of Columbia and the U.S. Virgin Islands. Chuck Strutt, the association's executive director, said that typically a big, widespread jackpot game will cannibalize a state's jackpot game sales by about 30 percent.
RI CONTRIBUTES RECORD HIGH TO STATE.
Despite some challenges that kept sales of several Rhode Island Lottery games in check, the Lottery was able to increase its overall revenue, adding a record $308 million into the state's General Fund. Video Lottery revenue from Rhode Island's two VLT facilities increased 11%, contributing to the nearly 10% increase in lottery revenue to the state. In March 2005, the Rhode Island state legislature passed a bill that prohibits smoking in restaurants, bars and taverns – some of the most popular Keno and HotTrax® venues. This, as well as PowerBall®'s frequent wins, proved to limit sales on these profitable games. Over the past fiscal year, Retailer incentives and player promotions helped to encourage sales on instant ticket, on-line and monitor games. With the PowerBall® game change and revisions to the HotTrax® games scheduled for release in 2005, the Rhode Island Lottery will continue to respond to players' needs and the best interests of the state.
DC MAKING CHANGES. In addition to changes in Powerball, the D.C. Lottery will also be seeing changes to other games. The Lottery's QuickCASH game will be replaced by a new D.C. Daily Six game that will feature two plays for $1. The Lottery will also replace its Hot Five game in November with a similar game called "Rolling Cash."
ND TEN MILLIONTH TICKET. North Dakota Lottery players will have a chance to win $10,000, for purchasing the 10 millionth ticket sold at one of the Lottery's 400 retail locations.The date and time of the 10 millionth ticket sale depends entirely on the pace at which lottery tickets are sold. All game purchases – Powerball, Hot Lotto and Wild Card 2 – contribute to the countdown toward the 10 millionth ticket. No bells or whistles will go off at the retail location that sells the 10 millionth ticket. All players must save their winning and non-winning tickets from August 11 until the Lottery announces the 15-digit serial number on the winning ticket. Players will be responsible for checking the serial number on each of their tickets. The player that has the winning ticket should immediately call the Lottery office in Bismarck at (701) 328-1574.
GUARANTEED JACKPOTS PROPOSED IN TX. (AP)
Texas Lottery officials are considering guaranteed jackpots to help avoid inflated estimates. Newly proposed jackpot prize guidelines include a guarantee the winner collect either the advertised amount or the amount calculated by sales, whichever is greater. The guarantees would apply to jackpots paid with the 25-year annuity, not to winners who choose the immediate cash-option payment. The proposed rules would also require lottery officials to make a "fair and reasonable" estimation of potential jackpots. And if the jackpot falls short of the estimate and ticket sales, the lottery would be allowed to pull money from other lottery funds to cover the difference.
ND TEN MILLIONTH TICKET. North Dakota Lottery players will have a chance to win $10,000, for purchasing the 10 millionth ticket sold at one of the Lottery's 400 retail locations.The date and time of the 10 millionth ticket sale depends entirely on the pace at which lottery tickets are sold. All game purchases – Powerball, Hot Lotto and Wild Card 2 – contribute to the countdown toward the 10 millionth ticket. No bells or whistles will go off at the retail location that sells the 10 millionth ticket. All players must save their winning and non-winning tickets from August 11 until the Lottery announces the 15-digit serial number on the winning ticket. Players will be responsible for checking the serial number on each of their tickets. The player that has the winning ticket should immediately call the Lottery office in Bismarck at (701) 328-1574.
MA RECYCLING MAKING A DIFFERENCE. The
Massachusetts State Lottery has made a difference! This past year the Lottery has held seven recycling events that resulted in the collection of over 56 tons of instant tickets. The Massachusetts State Lottery is believed to be the only lottery in the country that redeems instant tickets for the sole purpose of recycling. The impact that its efforts have made on the environment include the following: 952 Adult size trees were saved; 1,120 Barrels of oil were conserved; 3,360 Pounds of air pollution has been avoided; 392,000 Gallons of water were saved; 184 Cubic feet of landfill space has been saved; 235,200 Kilowatt hours of electricity conserved.
TX BINGO HAS BIG QUARTER. The non-profit organizations in Texas that conduct bingo games had a big second quarter this year, as gross receipts were tallied at $155.3 million and prizes awarded totaled $117.1 million. There are 1,293 non-profit organizations that conduct bingo games in Texas.
CELEBRITY HOMERUN DERBY. The Idaho Lottery and the Boise Hawks challenged local celebrities from the Treasure Valley to step up to the plate and take a swing at
scoring some money for area schools. The Celebrity Homerun Derby gave the six celebrity batters the chance to raise money for K-12 public school in the area. Celebrities included familiar names and faces from TV and radio in the area. Each batter had 5 swings, and each hit garnered a different cash amount from the Idaho Lottery: infield hits were $25; outfield hits were $50; hitting the fence was $75; and out of the park was $100. All batters won $150 for the school of their choice.
VEIKKAUS ON RECORD
PACE. Finns played Veikkaus games for €124.7 per capita during the first half of the year. Lotto retained its position as the Finns' favourite game. It was played for € 40.9 per capita on the average. The second most popular game Keno was played for € 23.1 and the third most popular game Fixed Odds Betting was played for € 12.4 per capita.
PCSO WINNING NUMBERS CHECKED VIA SMS. To help the public check past winning numbers, the Philippine Charity Sweepstakes Office has introduced the Enhanced
Lottery Information Services, which allows players to check winning numbers via SMS. Those interested in checking previously drawn numbers may text 2219 for Globe, 483 for Smart and 2823 for Sun Cellular.
PUBLIC GAMING RESEARCH INSTITUTE'S
SMART-Tech 2006 CONFERENCE And EXPO/ILAC 2006 INTERNATIONAL CONGRESS
SMART-Tech and EXPO/ILAC will be back in Las Vegas again next year, by popular demand, in February and July, respectively. The 2005 meetings at the Bellagio were more successful than ever and most who attended expressed their appreciation for this new venue for these annual PGRI conferences.
We are in the process of choosing hotels for next year's meetings and expect to be able to announce the specific dates and hotels for 2006 in August.
For those of you who attended this year, thank you, we appreciate your participation. We hope that you will join us again in 2006.
In the meantime, we welcome program suggestions and other comments from everyone for next year to enable PGRI to continue making SMART-Tech and EXPO/ILAC "Must Attend" meetings.
Send notes to: email@example.com.
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The Emergent Political: Affective Social Transformation in Two-Spirit, Queer and Trans People of Colour Media Anabel Khoo
Power can be invisible, it can be fantastic, it can be dull and routine. It can be obvious, it can reach you by the baton of the police, it can speak the language of your thoughts and desires. Avery Gordon
Attending to the affective dimensions of social phenomena can foster new social justice-oriented perspectives and practices that intentionally harness power af fectively, rather than only building static structures of opposition that can serve to limit the breadth and depth of social justice organising. The word 'attending', is apt in this consideration, because it is not that affects necessarily need to be 'discovered' to be brought into being; power, as it circulates affectively, is always already there. However, just as power works affectively, political potentialities also form and proliferate. Theorising social justice movements affectively means attending to the details of lived experience as they manifest in the complex webs that connect political thought to action. Whether it be pre-conscious embodied reactions, memory or lack thereof, emotional attachment and spiritual practices, these happenings and their qualities are part of an environment of co-constitute relationships from which movements emerge, fall apart or continue to gradually evolve.
Theorising political potential through this paradigm allows for the considera tion of organising methods that can adapt and thrive beyond neoliberal outcomebased imperatives and strict notions of 'successful', or 'strong' movements. If we consider our current era as a 'state of exception', a term brought forth by Carl
Schmitt and expanded on by Giorgio Agamben, wherein a state of emergency be comes permanent and is based on the sovereign's ability to transcend the rule of law in the name of the public good as 'part of a wider range in governance in which the rule of law is routinely displaced by the state of exception, or emergency, and people are increasingly subject to extra-judicial state violence' (Bull, 2004), then building community and movements toward deep transformative social change cannot rely on standards of productivity and guaranteed outcomes. Rather, social transformation requires a finer attunement to the parts between and within each of us; the complexities and contradictions that characterise the relationality so fundamental to growing practices of resistance and survival that are: anti-racist, decolonial, non-patriarchal, queer, and non-able-bodied.
My research focuses on two-spirit, queer and trans people of colour (2-QTPOC) media making as a process of movement building. In doing this work, I find it not only useful, but necessary to theorise affectively in order to affirm the generative quality that 2-QTPOC media can hold. 2-QTPOC media can constitute sites and processes that reckon with the tensions ever-present in political resistance by at tending to the tensions between representation and embodiment, ideology and lived experience, direct action and dreams.
Theorising through affect helps to conceptualise social justice movement building as an 'assemblage', because 'in its debt to ontology and its espousal of what cannot be known, seen, or heard, or has yet to be known, seen, or heard, [assemblage] allows for becoming beyond or without being' (Puar, 2007, 216). An affective lens facilitates the emergence of the new – not as a turning away from the past or present, but as a recapitulation of history/knowledge/experience formed with these paradoxes, rather than despite them. Furthermore, bringing an affec tive focus into the realm of the social sciences is less about valuing the relevance of one academic discipline over another than it is about a broader paradigm shift beyond disciplinarity. Embracing such an epistemological paradigm also requires a recognition that the attention to intensity and the metaphysical that contempo rary theorists categorised in the 'affective turn' references conjures practices and thought that have always been present in the cosmologies, knowledges and ritu als of indigenous and people of colour. 'Affect theory', as a field of intellectual en quiry can exist as such, but should also be practiced in a way that resists the reifi cation of a 'new' or separate discipline, and instead be considered as an approach that can be enacted in different ways. Therefore, I choose to honour the legacy and ongoing work of two-spirit, queer and trans people of colour (2-QTPOC), by writing, as a queer woman of colour, about 2-QTPOC who organise and produce creative work through affective methods.
The 2-QTPOC media makers I highlight all work through both the explicitly political and everyday experiences to create and express assemblages that rede fine what is possible for social justice-oriented efforts. By attending to both what haunts and lingers from the past, and to what potential futures emanate on the horizon of our imaginations, these artists and organisers engage in creative pro cesses that also shape political strategy and possibility. Approaching 2-QTPOC media from within an affective paradigm leads to questions that reach for answers beyond what media should be, towards what it is that media do. Within the pro cess of performance or media making, how do 2-QTPOC artists attend to haunting as it is embedded in ritual and memory? How can 2-QTPOC media reveal and cre ate potentialities of 'queer futurity' and a queer political imagination?
Haunting: Survival and Shapeshifting at the Crossroads
In her book, Ghostly Matters: Haunting and the Sociological Imagination, Avery Gor don describes 'haunting' as 'a paradigmatic way in which life is more complicated than those of us who study it have usually granted' that is 'neither pre-modern superstition nor individual psychosis," but a "constituent element of modern so cial life' (Gordon, 1997, 7). The concept of ghostliness and haunting that Gordon grapples with is about the attachments that linger, whether we are conscious of them of not, that get lost in the shadows of personal trauma, social relations and political moments, and remain almost not there, but often manifest at different affective registers of bodily or psychic experience that are not necessarily linear, rational or intentional. These ghosts overcrowd the gap between structures that are the subtraction of attachment and the longings and the haunting of some thing we cannot let go of. It is this in between realm that often goes overlooked or ignored in intentional engagements with political organising. Haunting brings up epistemological and ontological questions, such as: What escapes consolidation and containment? What defies consciousness but nevertheless compels?
In the media-based projects, Mobile Homecoming by Alexis Pauline Gumbs and Julia Wallace and the Unknown Artist series by TextaQueen, these queer of col our artist/activists practice social justice-oriented mediation by drawing from and rearticulating hidden histories, lived experiences and healing rituals that haunt cultures and representations of queer of colour political resistance.
Mobile Homecoming, an intergenerational and 'experiential' archiving project that tours queer of colour communities across the United States, is described by Alexis Pauline Gumbs and Julia Wallace, two young, queer women of colour, as a spiritual journey that honours the 'trans and cis-gendered women, trans men and genderqueer black people [who] grew their own bravery and created com munity' (Gumbs and Wallace, 2012). Ann Cvetkovich writes, in An Archive of Feel ings: Trauma, Sexuality, and Lesbian Public Cultures, about the complexity of insti tutional memory, archives, public feelings, everyday trauma, and ephemera from queer social movement. Cvetkovich invites her readers to explore 'how trauma can be a foundation for creating counterpublic spheres rather than evacuating them' (Cvetkovich, 2003,15). By visiting and living with these elders, Gumbs and Wallace collect their stories through interviews, video and visual art, based on an ethic of community accountability that creates a different kind of 'counterpublic sphere', where simple gestures of care, like listening to a new friend and taking out the garbage, are radical acts of survival that acknowledge the suffering that comes with living on as a queer person of colour, while upholding the strategies that have developed from experiences with oppression. Therefore, Mobile Homecoming is more than an effort to gather data to commemorate histories long gone, but rath er it is an enacted commitment to affirming and nurturing the affective dynamics that are always shaping movement building (What happens between the meet ings and rallies? What happens after the revolution?) to reinvigorate the invaluable tools and 'modes of survival', that these queer black elders embody: 'social sup port organizing', 'artistic creativity', 'spiritual transformation', and 'revolutionary interpersonal relationships' (Gumbs and Wallace, 2012). Looking at Mobile Home coming through an affective lens shows us that movement building is and must be more than just what we can cognitively comprehend, but also that there is always work to do to recognise and call upon the often invisible, yet present legacies of the past that not only persist in coherent political organising structures and narra tives, but also in the complex ways we live through these movements.
Part of the affective power of mediation is that it can harness the intensities of oppression and violence by reassembling memories and histories into imaginative storytelling that produce representations and narratives, as well as events from which lines of flight generate. TextaQueen, an Australia-based, immigrant, queer artist of colour whose main medium consists of felt-tip markers, seeks to 'boldly re-interpret the tradition of the salon nude, [exploring] politics of sex, gender and identity in tangent with ideas of self-image and inter-personal relationships' (Tex taQueen, 2013). TextaQueen's Unknown Artist series combines reinterpretations of ancestral mythology and religious symbolism that display the co-constitutive relationships between fact and fiction, personal experience and institutionalised history. In one of TextaQueen's self-portraits, Call of the Crocotta, the artist is pre sented as half human, half crocotta, the mythical dog-wolf of India or Ethiopia, most closely resembling the contemporary hyena that is said to possess abilities to switch genders, imitate human speech and shapeshift. While the portrait is a two-dimensional image, it acts as a still of an ongoing moment that pulsates at a threshold before the codification of potentiality fully takes form, where the meta physical 'cluster', at a place where 'the imagination fills with movement, upheaval, and contradiction: the crossroads, the railroad track, and the cemetery' (Alexander, 2005, 303). TextaQueen's work draws attention to how the process of assembling one's own myths and origins relies on affective experience, memory and imagina tion that are thus necessarily overflowing with ghosts among abstract conceptions of space-time, attachment, power, desire and identity as well as material forms such as bodily pain, identification documents, archival footage, and ephemera.
Queer Futurity: Worlding through the Situation
Another way 2-QTPOC media can be appreciated through affective theorising is to view 2-QTPOC media practices as forms of 'worlding' towards a 'queer futurity' (Muñoz, 2009) where queerness is 'not an identity or an anti-identity' but devel ops as assemblages 'that are unknown or not cogently knowable, that are in the midst of becoming, that do not immediately and visibly signal themselves as in surgent, oppositional, or transcendent' (Puar, 2007, 204). 2-QTPOC media can be thought of as a process of transformation, as 'something distinct from resistance' (Gordon, 1997, 202).
Founded in 2006, Mangos With Chili: the floating cabaret of queer, trans and two spirit people of color bliss, dreams, sweat, sweets & nightmares, is a 'North American touring, Bay Area-based arts incubator committed to showcasing high quality performance of life saving importance by queer and trans artists of color […] including dance, theater, vaudeville, hip-hop, circus arts, music, spoken word and film' (Mangos With Chili, 2013). Mangos offers more than entertainment for its audiences, rather it aims to foster a space for 2-QTPOC community to share space and support one another, expanding the possibilities of performance and show spaces. As a scholar who focuses on queer of colour performance, Muñoz upholds the potential of performance as a form of critical and powerful world making:
To 'read' the performative […] is implicitly to critique the epistemological. Per formativity and utopia both call into question what is epistemologically there and signal a highly ephemeral ontological field that can be characterized as a [doing in futurity]. Thus, a manifesto is a call to a doing in and for the future. The utopian impulse to be gleaned from the poem is a call for 'doing' that is a becoming; the becoming of and for 'future generations' (Muñoz, 2009, 26).
Examining performance and the personal narratives of 2-QTPOC artists as an en actment of queer futurity allows for complex political potential to fully thrive as it is, where it is, without necessitating a guaranteed, measurable, contained future. However, the openness of theorising affectively does not necessarily come at the expense of identity, subjectivity and material realities that need attention. Instead, it entails expanding the scope, depth and texture of theory to fully encompass the intricacies and contingencies of social phenomena. In this vein, writer and pris on abolitionist Ruth Wilson Gilmore challenges us to reimagine different ways of movement building that do not get stuck in purely oppositional forms of political mobilisation: '[t]he point here is not that "agency" is an unimportant concept but rather […] that it is too often used as if it designated an exclusive attribute of op pressed people in their struggle against an opponent called "structure". Such a dichotomy doesn't stand up to how the world actually works. Structures are both the residue of agency and animated by agential capacities' (Gilmore 2008, 39–40).
For example, the theory, poetry and performance of Quo-Li Driskill featured in Mangos With Chili interrogates the complexities of ongoing settler colonialism from a two-spirit approach. Because critical race and queer of colour critique have been called out for basing their theories on static notions of what constitutes 'the State', and 'nation' that necessitate the disappearance of indigeneity (Smith, 2011), theo rising affectively must remain conscious and committed to a decolonised future. Critiques of oppression might consider 2-QTPOC media as an 'emerging event', wherein the political is '[registered], lingers and forms attachments' in different ways (Berlant, 2011, 4). For example, Lauren Berlant brings forth the concept of 'the situation' as 'a state of things in which something that will perhaps matter is unfolding amid the usual activity of life. It is a state of animated and animating suspension that forces itself on consciousness, that produces a sense of the emer gence of something in the present that may become an event' (Berlant, 2011, 4–5).
In Stomp Dance: Two-spirit Gathering. A Giveaway Poem, Driskill describes the 'situation' of two-spirit people where political realities are disrupted and new worlds are able to manifest:
[S]ome say we can't do these things. But I recall the story of water spider and how she carried that hot coal on her back anyway. […] This is the work of our two-spirit people. We are part of a story that does not end in the destruction of the Earth. When we dance, manifest destiny shakes […] We are an emergence of fire and turtle shells. We are the ones the world can no longer shake. (2013)
Therefore, Two-Spirit erotics haunt territorial configurations and imaginings of settler futurity as a queerness we may feel as 'the warm illumination of a horizon imbued with potentiality', as 'a structuring and educated mode of desiring that allows us to see and feel beyond the quagmire of the present' (Muñoz, 2009, 1).
Theorising Movements through the Incommensurable
Affective methods can remain open to potentialities while holding incommensu rable parts, resisting an ultimate consolidation of meaning and path towards a guaranteed liberated future as systems of neoliberal capitalism, heteronormativ ity and colonialism continue to thrive metaphysically and through bodily experi ence. Because systemic oppression functions through material conditions, but through power that is simultaneously ephemeral and embodied, movements must shift to enact transformation at these levels. By exploiting the affective reg isters of connection and attachment, these systems have succeeded in creating a kind of oppression that fosters a reactionary and oppositional politics. The his torical and ongoing material, psychic and metaphysical violations have gener ated a desperation for the consolidation of identity that was stolen or made to feel dispossessed from. Therefore, there is a need to affirm what political resist ance and organising is (not what it should be) instead of defining itself on what it is not, which tends to build movements that are invested in a dichotomous nega tion of something rather than the creation and redefinition of something new. I am not arguing for a simple return to a former (and often idealised) notion of race politics, feminism, or modernist socialist leadership, but to evolve our politics that can equally honour (different than centering) material reality, that queer of colour scholarship for example claims is missing from otherwise whitewashed queer politics/theory, but honours it within an understanding of complexity. This work is also not meant to say such an approach is easy but to instead to recog nise that it is difficult work and to figure out why. It is in the contradictions that something novel emerges, whether we want to reckon with it or not, as people continue to be moved by their lived experiences, relations to their environment and others.
References
Alexander, M. Jacqui. 2005. Pedagogies of Crossing: Meditations on Feminism, Sexual Politics, Memory, and the Sacred. Durham: Duke University Press.
Cruel Optimism
Berlant, Lauren. 2011.
. Durham and London: Duke University Press.
Bull, Malcolm. 2004. "States don't really mind their citizens dying (provided they don't all do it at once): They just don't like anyone else to kill them." Review of State of Exception, by Giorgio Agamben, translated by Kevin Attell. London Review of Books 26(24): 3–6. Accessed April 7, 2013. http://www.lrb.co.uk/v26/ n24/malcolm-bull/states-dont-really-mind-their-citizens-dying-providedthey-dont-all-do-it-at-once-they-just-dont-like-anyone-else-to-kill-them
Cvetkovich, Ann. 2003. An Archive of Feelings: Trauma, Sexuality, and Lesbian Public Cultures. Durham and London: Duke University Press.
Gilmore, Ruth Wilson. 2008. "Forgotten Places and the Seeds of Grassroots Planning." In Engaging Contradictions: Theory, Politics, and Methods of Activist Scholarship, edited by Charles R. Hale, 31–61. Berkeley, Los Angeles, London: Global, Area, and International Archive and University of California Press.
Gordon, Avery. 1997. Ghostly Matters: Haunting and the Sociological Imagination. Minneapolis and London: University of Minnesota Press.
Gumbs, Alexis Pauline and Julia Wallace, eds. 2012. Mobile Homecoming. http:// www.mobilehomecoming.org/
Muñoz, José Esteban. 2009. Cruising Utopia: The Then and There of Queer Futurity. New York and London: New York University Press.
Puar, Jasbir. 2007. Terrorist Assemblages: Homonationalism in Queer Times. Durham and London: Duke University Press.
Qwofacenosehead. 2012. "Stomp Dance: Two-Spirit Gathering. A Giveaway Poem." Online video clip. Youtube. Youtube, 27 October 2012.
Smith, Andrea. 2011. "Queer Theory and Native Studies: The Heteronormativity of Settler Colonialism." In Queer Indigenous Studies: Critical Interventions in Theory, Politics, and Literature, edited by Driskill, Qwo-Li, Chris Finley, Brian Joseph Gille and Scott Lauria Morgensen, 43–65. Tuscon: University of Arizona.
TextaQueen – About
TextaQueen. 2013.
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Italy
UC Center Rome and UC Center Florence, including the Mediterranean Politics, Food, and Culture (MPFC) program in Florence, Sicily, and Barcelona; and Crossroads of Culture in the Mediterranean in Procida
UCEAP Advising Notes
Objective of the Advising Notes Document
This document is an advising tool written by a Berkeley Study Abroad adviser to review program specific details that may impact a student's decision to apply for an EAP program. The document is not a summary of eligibility requirements, academic, housing, application and other logistical details freely available to students on the UCEAP and BSA websites, and reviewed by a student in the Program Self-Assessment..
The best sources of detailed program information are the UCEAP webpages for these Italy options http://eap.ucop.edu/OurPrograms/italy/Pages/default.aspx and the Program Guides http://eap.ucop.edu/guides/Pages/default.aspx from the prior academic cycle. There are no guides yet for the programs that are new or being revised.
If any concerns you have are not addressed in the websites, the Program Guide, or this Advising Notes document, please contact the BSA Italy adviser.
Adviser Contact Information
For BSA Adviser name, phone, email and drop-in advising hours, visit http://studyabroad.berkeley.edu/advising
Why Study Italian?
- For career and professional reasons: http://weloveitalian.org/?page_id=1292 Italy has the eighth largest economy in the world and the second largest manufacturing surplus in the EU. And so many more good reasons…
- Because it's popular: http://www.italiantribune.com/italian-the-worlds-fourth-most-studied-language/
- It's easy and fun to take an Italian course at Cal: http://italian.berkeley.edu/ Consider a double-major or minor!
Financial Aid and Scholarships for Study Abroad
- Deadlines to apply for scholarships are earlier than you may think, so do your research now!
- View UCB financial aid details and many scholarship opportunities on our webpage: http://studyabroad.berkeley.edu/finances
- Some scholarships that are good for students going to Italy are:
o The National Italian-American Foundation (NIAF) offers $2,500-$12,000 grants. Google it, then click on Programs, then Scholarships for details.
o The UCB Classics Department offers various prizes and awards for travel and study in Italy and certain other appropriate countries. See this Classics Department webpage for details http://www.classics.berkeley.edu/resources/undergraduates.
o A UCEAP scholarship has been established for Berkeley students by the Lucheta family, creator of Torani syrups. There is no application to fill out. Recipients will be chosen based on financial aid criteria and notified of selection.
o UC Berkeley's Institute of International Studies Merit Scholarships – non-need-based scholarships of up to $2000 each to support undergraduate research (can be done abroad) in any area of international studies (deadline is in November) http://iis.berkeley.edu/content/undergraduate-merit-scholarships
Please note: Most financial aid, including federal, state, UC, and Berkeley scholarships and grants, cannot be used by students studying on independent (non-UC) programs. Students who receive scholarships or grants from outside organizations should contact those organizations to confirm that the awards may still be used for non-UC programs abroad.
The Focus of this "Advising Notes" Document
There are two "Advising Notes" documents for Italy. The other is for the "immersion" options at regular Italian universities in Bologna and Milan where UCEAP students take the same courses that the Italian students take. If you would like to become an exchange student at Bologna (courses taught in Italian --- or in English in the following fields: literature, international relations, history, Italian studies, digital humanities, economics, business, statistics, and selected areas in engineering and science,) or Bocconi (courses taught in English or Italian for majors in a small number of fields – BusAd, Econ, Legal Studies, Poli Econ, Poli Sci plus minors in Public Policy,) please read the other "Advising Notes" document for details. I encourage students to consider one of these options if they'd like to get as immersed into Italian culture as possible.
This "Advising Notes" document focuses on the following UCEAP programs:
UC Center Florence: (2.0 GPA required; no more than Italian 2 allowed; Sophomores through Seniors OK) Made in Italy – fall or spring semester; summer quarter (winter quarter is not an option for Cal students) In this program, students choose between two tracks - Italian Language or Area Studies. The amount of language and area studies courses varies among the summer, fall, and spring options, so please read the UCEAP webpages carefully for details about courses in each track as you must choose a track when you apply. UCEAP Florence video: https://www.youtube.com/watch?v=pB2piLwBo-A&t=4s
UC Center Rome: (2.5 GPA required; no more than Italian 3 allowed; Sophomores through Seniors OK) When in Rome – summer quarter been added)
All Roads Lead to Rome (formerlyRome Through the Ages) – fall semester (more social science courses have
Art, Food and Society – spring semester (winter quarter is not an option for Cal students) UCEAP Rome video: https://www.youtube.com/watch?v=-ogn6i661HA
Multi-site: (2.5 GPA required; no minimum or maximum of Italian; Juniors and Seniors only) Mediterranean Politics, Food & Culture: Florence, Catania (Sicily), and Barcelona – fall
European Transformations, Madrid & Rome – This program is no longer offered as a semester option due to visa problems and the quarter program is not an option for Berkeley or Merced students.
Crossroads of Culture in the Mediterranean: (2.5 GPA required; no minimum or maximum of Italian; Sophomores through Seniors OK) – only two spaces for this summer program led by a UCSB professor on the small, but beautiful island of Procida off the coast of Naples, so November 31 is the application deadline. Other things being equal, priority will be given to students whose majors align with the program themes.
A link to each program is available from UCEAP's Italy webpage: http://eap.ucop.edu/OurPrograms/italy/Pages/default.aspx
These programs were created by UC just for UC students from all ten
UC campuses. No Italian (or Spanish) students will participate. They are taught in English, so no prior Italian (or Spanish) is expected. They are not connected to any university abroad, but are administered by a UCEAP Study Center in each city.
Advice on How to Choose from Among these Options
A.) Academics
Before beginning your research on these options, please read our Academic Planning webpage that explains the process to find out if courses abroad might fulfill requirements for your degree: http://studyabroad.berkeley.edu/academics Click on the Major Advising link on the left for details about your specific major as well.
If you want to fulfill breadth requirements, Rome and Florence offer quite a few courses that have been preapproved by L&S. See http://studyabroad.berkeley.edu/academics/college-advising for further information about the process to ask for an evaluation of other courses that you'd like to take for breadth requirements, plus a link to the list of courses pre-approved by L&S for breadth requirements. For other colleges, contact the college adviser directly.
Your academic needs and wishes will determine whether an option makes sense for you. Each program offers a different, relatively limited "set menu" of courses, so if a program's course offerings cannot fulfill the major/minor/breadth requirements that you must fulfill while abroad (if any), then you can cross that program off your list of possibilities.
Please read carefully the "Courses and Credit" tab on each program's UCEAP webpage so you understand clearly what is and is not offered by each option. Programs offered in the past will have a link to the MyEAP Course Catalog showing how courses have transferred back to UC. New programs will not have such a catalog yet, so you'll need to base your decision on the course information that is or will be posted once courses have been finalized.
Generally speaking, the language courses will be lower division and must be taken for a letter grade; the subject courses will be upper division and were designed to fulfill breadth requirements and possibly major requirements in the corresponding department. Consult with your college and major/minor advisers about specific courses.
The programs' courses are rigorous – including the language courses - so you will need to work hard in order to earn good grades. Some students have complained about this as they felt they shouldn't have had to work that hard while abroad, but keep in mind that this is a UC program offering UC-quality courses. You will learn a lot, but you will indeed have to study, and all these programs have a strict attendance policy.
B.) Internships
Internships for academic credit can often be arranged in the Rome and Florence semester programs, but not in summer (not enough time.) See the Internship tab for further details and typical placement options. An internship in Rome or Florence is over and above the other required course work. Internships are not possible in the Mediterranean Politics, Food, and Culture (MPFC) fall program or the Crossroads of Culture in the Mediterranean (Procida) summer program.
C.) Language Study
These programs have no language prerequisite, but differ in how much language is offered/required during the program. MPFC and Procida offer no language courses. Florence offers an intensive language track so is a good option if language acquisition is your primary objective. The Rome Fall and Spring programs require about one semester's worth of language course work during the program. In Rome Summer, studying Italian is optional. Before choosing any of these programs, please be sure you understand how much language you will be studying.
Ex tra note about language classes in Florence and Rome - Expect these programs to be academically challenging. Please don't go with the idea that you won't have to study hard. You will still have a good deal of free time for fun and exploring, but to do well academically, you'll need to devote sufficient effort. Some students were not expecting such a rigorous program, even though they were informed before they applied.
A few students with no prior knowledge of Italian complained that they were at a disadvantage in their beginning Italian classes. Other UCEAP students in their class either knew a little Italian somehow or were familiar with another Romance language due to high school Spanish or French classes or due to growing up in a Spanish-speaking family. The same thing happens in beginning Italian classes at Cal, so this situation is not unique to the UCEAP program. If you have no background whatsoever in Italian or any other Romance language, you might want to buy the Italian text used at Cal and do some self-study before departure. Once in Italy, you may have to study more than students who do have such a background, so please keep that in mind. Language classes in all Italy options must be taken for letter grades that will transfer back to your UC transcript. Overall, most students enjoy their Italian language classes because the instructors make learning fun.
D.) Housing
All these programs offer shared housing with other UC students from the program. The programs that take place only in Rome or Florence also offer homestays, which are recommended for students who wish to immerse themselves as much as possible in Italian culture. Homestays are not an option in the MFPC multisite program or the Procida summer program.
E.) One city or more?
Some students are attracted to the idea of experiencing more than one city during their semester abroad. Please think carefully before choosing a multi-site program primarily for this reason. Some multi-site alums have said that it was discombobulating to uproot themselves from each city after such a short time when they were just getting comfortable there, in order to move on to the next city. They said that in retrospect, they wish they had stayed in one city and simply visited the other cities at some point or after the program was over. If you're contemplating choosing the multi-site program as a way of spending time in a Spanishspeaking country in addition to Italy, please also investigate the many options in Spain, Mexico, Argentina, and Chile as alternatives before making a final decision.
F.) Competitiveness of these Options
Rome and Florence have not been impacted recently. Most students who meet the minimum eligibility requirements and submit a well-prepared application with an articulate Statement of Purpose have a good chance of being selected.
The Mediterranean Politics, Food, and Culture program was impacted last year. If more applications are received for the spaces we have been allotted by UCEAP, the selection criteria that will be used include GPA and academic record; whether applicants intend to take courses related to their major; class standing; Statement of Purpose – priority will be given to students who successfully convey an understanding of the program and can articulate thoughtfully why this program in particular is a good fit for them and how the program will benefit them academically, professionally, and personally. Students interested in this option are encouraged to speak with the adviser prior to applying to see if a back-up application might be approved, if necessary.
The four week Crossroads of Culture in the Mediterranean program in Procida is new to UCEAP, but it has run as a UCSB faculty-led summer program in the past and was quite popular. Each campus was allocated only two spaces for this program for summer 2019 – thus the early application deadline of November 30. Other things being equal, priority will be given to students whose majors align with the program themes.
G.) Summer vs Semester in Rome (or Florence which is similar)
Unless there is a reason why you can study abroad only in the summer, I would encourage you to study abroad for a semester for four reasons. 1. The summer program in Rome lasts only 6 weeks and costs ~$10,000. The semester lasts 15 weeks and costs ~$18,500. Airfare is included in those budgets. So more
UCEAP Advising Notes – Italy – UC Center Florence and Rome; the Multi-Site program in Italy and Spain; Procida summer program
than twice as long, but not twice as expensive. 2. Financial aid works normally for a semester, so if you receive full financial aid at Cal, you will receive financial aid to cover the entire UCEAP budget, even if it is higher than Cal. Summer is not considered a regular term, so the financial aid that is available does not always cover the full budget. It varies by student. Visit our study abroad financial aid counselors in 160 Stephens Hall. They can tell you what you are likely to receive for a summer or semester based on your current financial aid data in CalCentral. 3. If you study abroad in summer, you can't get a job to earn money. 4. The longer you can be in Italy, the better your Italian will become, and the more you will learn about the culture. So keep all this in mind as you deliberate about the best timing to study in Italy. Feel free to discuss this with the Italy adviser.
H.) Type of city:
Florence is a beautiful medium-sized city (population ~400,000) famous for its history and great art treasures. Despite its moderate size, what it offers is so vast and remarkable that boredom is unlikely to occur. It can be somewhat difficult to interact with the locals, however, as many Florentines prefer to speak English because of the crowds of tourists who visit almost year-round. The UC study center is not affiliated with any Italian university in Florence so meeting Italian college students can be challenging. Volunteer opportunities can get students engaged with local Italians, if they wish. Meeting other study abroad students is inevitable, however, as Florence is one of the most popular study abroad destinations in Italy, if not all of Europe. It is possible to escape the foreign influx, but it will require intention and effort on your part. Please consider whether a medium-sized city often full of tourists and study abroad students is the appropriate locale for you to fulfill your study abroad goals. Here is an article from the Los Angeles Times about Florence: http://www.latimes.com/travel/la-tr-florence-20110717,0,4596462.story
Rome is a vast cosmopolitan city (population ~3,000,000) that also has huge numbers of tourists and study abroad students, but it is more able to absorb them due to its size. Because of heavy traffic, Rome is not a quiet, cozy city, but it offers millenia of eye-opening art and architecture. The UC study center is not affiliated with any Italian university in Rome so meeting Italian college students can be challenging. Volunteer and internship opportunities can get students engaged with local Italians, if they wish. Please consider whether a large, heavily-touristed metropolis is the appropriate locale for you to fulfill your study abroad goals. Here is a link with numerous articles from the New York Times about Rome:
Procida is a beautiful, but tiny island (2 square miles) so I would encourage you not to choose this option unless the courses are truly of interest.
UCEAP Alumni/ae are also a good resource for information about the programs. If you would like to be put in touch with alums, simply send the Italy EAP Adviser an email addressed to the alums (e.g., "Dear alums, I have some questions about the program…") and the message will be forwarded to them. Include only 2-3 of your most important questions in your message so as not to overwhelm the alums initially.
Here is an excellent blog from the spring 2015 program in Rome by Cal student Michael Drummond. His photos are fabulous and he writes very thoughtfully about his life in Italy. https://dromand.wordpress.com/
MISCELLANEOUS IMPORTANT DETAILS TO KNOW:
Important Dates
In case you are selected, please mark your calendar now for the mandatory 4 hour Italy orientation. For Summer, Fall or Year, reserve Saturday, April 27, 2019 (8 AM to 8 PM, time TBA.) For Spring '20 reserve Saturday, December 7, 2019 (8 AM to 8 PM, time TBA.) Once the exact date and time have been chosen, you'll be notified by the BSA Italy adviser.
Taking Italian Language Classes at Cal P/NP
Italian classes you take at Cal may be taken P/NP, but with your application you must provide a written note from your instructor or the Italian Department stating what your letter grade would have been. It is your
responsibility to make arrangements for this without prompting from the Italy adviser or BSA office. This is required even though there is no minimum language requirement or minimum Language GPA for Rome or Florence. A Language GPA must still be calculated and provided to UCEAP by our office.
Critical Passport Details
Your passport must be valid for 3 months beyond the end date of the EAP program --- check the dates on the EAP Italy webpages to check this year's end dates – your program will be similar.
Also, your MyEAP application name and your passport name must be identical (not just similar!) If there is a discrepancy of even one letter, hyphen, middle initial vs. full middle name, Jr., etc, the Italian consulate will not issue you a visa. Please check your passport name and use precisely that name on your MyEAP on-line application, even if it doesn't match the name you use at UC Berkeley. If your passport name has an error, either get your passport fixed before you apply for UCEAP, or simply use the incorrect name on your UCEAP application in order to avoid a crisis later on.
Travel Advisory #1 - Visa Application Prevents Travel Abroad Three Months Prior to Program Start Date Due to the complicated, bureaucratic student visa application procedures followed by the Italian consulates, you should not make any plans to travel abroad in the three months leading up to the beginning of a semester program in Italy. The Italian consulates require that EAP students submit their visa application paperwork and their actual passport to them. Thus, you will not have your passport while your visa is being processed. It may be possible to apply for a duplicate US passport, so if you must travel outside of the US during the three months prior to the official start date of your Italy program, you should contact the National Passport Agency to find out how long it will take to get the second passport and how to apply for it, just in case you need to. Detailed instructions on the student visa application process for Italy will be included in an e-mail from the systemwide office of EAP (UCEAP) near Santa Barbara after selection. Do not purchase a plane ticket or make any other irreversible travel plans until you have received those instructions.
Exception to the above: Florence, Procida, and Rome summer, as no visa is required for Italy programs shorter than 90 days. If you want to do both Florence, Procida, or Rome summer plus a Fall program, however, you must apply for each separately, and apply for a visa for the Fall option which will be difficult or impossible without a duplicate passport. If you are considering a summer and a fall back-to-back combination, you must consult with the BSA advisers in Stephens Hall BEFORE applying in order to obtain their permission.
Also, if you are thinking of participating in two back-to-back semester options, it would be wise not to choose Italy as your second program abroad due to the visa application process; better to go to Italy first, and then to a country with an easier visa application process second. (Exception: if you study somewhere in Spring, then in Rome or Florence Summer, that could work because no visa is required for Italy Summer.) Please remember: applications for back-to-back applications must be approved by both BSA advisers BEFORE you start them!
Travel Advisory #2 – Travel During the Program
Weekend travel to distant cities from your host city is not encouraged during the program, because it is difficult to get back in time for class on Monday morning. Fortunately, there are many wonderful places to visit that are quite close by to all the host cities. The programs have a strict attendance policy that limits the number of classes students can miss before being sent back to California or having their grades docked substantially. What this means is that you should plan to do any extensive long-distance traveling only after the program ends or during breaks. One advantage of participating in the spring option (rather than fall) is that after the semester ends you have the rest of the summer to travel around Europe after it's over. By then you'll be a pro at getting yourself around, and you can even play tour guide for your friends and family members who might want to visit Italy.
Italy is a Catholic Country
One point about Italy in general may seem obvious, but bears mentioning: On the surface, Italy is an overwhelmingly Roman Catholic country so Catholic religious symbols and artwork are everywhere. Most students who go to Italy (whether Catholic or not) accept and appreciate this, but if this fact would bother you (as it has bothered a few students who studied in Italy in the past,) you might want to consider other options. Feel free to discuss this with the Italy adviser if you have any concerns.
Please note that courses in the Rome program plan field-trips to Vatican-owned buildings and churches. The Vatican expects visitors to wear appropriate attire on the premises (i.e., no micro-mini-skirts, no bare shoulders, bellies, or feet, etc.) Most students have no problem with this expectation, but if you would find it burdensome, you might want to consider other options.
Graduating Seniors Spending their last UC Term Abroad in any UCEAP Program
Graduating seniors must enroll in a full course load while abroad, even if they do not need the courses or units for graduation. (Requests by DSP students who provide documentation may be considered for a reduced course load.) Only one-third of units taken abroad may be on a P/NP basis (typically about one course); the rest must be letter-graded. Each program's policy is a bit different, so consult the Academics section of each program guide for details.
DSP Students
If you receive accommodations at Cal and would like to know if they are also available in the program abroad that interests you, it is a good idea to email your BSA adviser to inquire about your specific needs. That way, if your needs cannot be accommodated in that program, you can investigate other programs that might.
LGBTQI Students:
Please read the UCEAP webpage on Sexual and Gender Diversity, including the description of the situation in Italy under the "Host Country Laws and Cultural Norms" section, as well as the resources at the bottom of the webpage: http://eap.ucop.edu/Diversity/Pages/LGBTQ.aspx If you have any concerns, please feel free to discuss them with the BSA Italy adviser in 160 Stephens Hall.
Medical Marijuana
Marijuana is not legal in Italy or Spain, even if you are approved for medical marijuana use in California. Please consult with your primary care physician for a legal substitute before applying to the program.
Learn about Italy before Choosing your Option and Writing your Statement of Purpose
Try https://iicsanfrancisco.esteri.it/IIC_SanFrancisco/en/ for Italian cultural events in the Bay Area. Read the Lonely Planet and other books and on-line resources about its history, politics, art, or culture. A recommended reading list is included in the Program Guides (see top for links.) You should read up on Italy before writing your Statement of Purpose, so you know something about the country and the city in which you want to study. A typical Italian university student knows far more about the U.S. than the typical UC student knows about Italy. You still have time to increase your knowledge before you go there. Take courses next semester about anything related to Italy --- you'll be glad you did once you arrive in Italy.
Selection Interviews
If you need to be interviewed, you will be notified by the Italy adviser after your application has been reviewed.
Conclusion: After reading the information above as well as the separate "Advising Notes" for Italy Immersion, if you are still uncertain about which option would be best for you, please feel free to talk with the Italy adviser about the various possibilities after you have read the UCEAP Italy website information carefully. http://eap.ucop.edu/OurPrograms/italy/Pages/default.aspx
Grazie mille! Buona fortuna!
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LOWELL SCHOOL COMMITTEE REGULAR MEETING MINUTES
Date:
April 4, 2018
Time:
6:30PM
Location:
City Council Chamber, 375 Merrimack Street, 2nd Floor, Lowell, MA 01852
1. SALUTE TO FLAG
2. ROLL CALL
On a roll call at 6:37 p.m., all members were present, namely: Mayor Samaras, Mr. Descoteaux, Ms. Doherty, Mr. Hoey, Mr. Lay, Ms. Martin and Mr. Nutter.
Sophia Marsden, LHS Student Representative was also present.
3. SPECIAL ORDER OF BUSINESS
3.I. Spotlight on Excellence: LHS JROTC National Championship
The Spotlight on Excellence featured the Lowell High School AFJROTC Drill Team. Eileen M. Ironfield, Lt. Col, USAF (retired) addressed the Committee. The team is comprised of students in grades 9 – 12 who competed at the U.S. Air Force National Drill Competition in Dayton, Ohio. The Lowell High School Armed Drill Team (Red Raider Guard) was crowned the 2018 Air Force National Champions. The Lowell High School Unarmed team (Lady Raiders) finished in 3 rd place. There were 28 Air Force schools from across the country competing. The Lowell High School Drill Team came home with 8 trophies.
3.II. Spotlight on Excellence: Kathryn P. Stoklosa Knowledge Bowl Competition 2018
The second Spotlight on Excellence recognized the Stoklosa School, champions of this year's Kathryn Philbin Stoklosa Knowledge Bowl Competition. Carolyn Rocheleau, Coordinator for the 2018 competition spoke briefly about the competition and then introduced James Cardaci, Principal of the Stoklosa School. Mr. Cardaci thanked Ms. Rocheleau and introduced the school coaches, Gina Brunelas and Meghan Dunbar who then introduced their students. .
3.III. Spotlight on Excellence: Middlesex Partnerships for Youth “Be The Change”
The third Spotlight on Excellence recognized Lowell High senior Samil Branco who received an honorable mention in the Annual Middlesex Partnerships for Youth "Be The Change" poster contest. Margie Daniels, Executive Director of Middlesex Partnerships for Youth and Anthony Pierantozzi, President of the Board were on hand to award Samil. Out of two hundred (200) entries, there was one (1) overall winner and three (3) honorable mentions.
3.IV. Public Hearing Inter-District School Choice Program
The Public Hearing on Inter-District School Choice Program was held and no spoke in favor or in opposition. The following motion was made to recommend that the Lowell Public Schools participate in the Inter-District School Choice Program for grades 9 - 12, for the 2018-2019 school year. Also, to allot, but not to exceed, thirty (30) seats within grade 9 – 12. The motion passed.
4. MINUTES
4.I. Minutes: Approval of the Minutes of the regularly scheduled Lowell School Committee Meeting of Wednesday, March 21, 2018
Mr. Descoteaux made a motion to accept the minutes and to place them on file; seconded by Ms. Doherty. 7 yeas APPROVED
5. PERMISSION TO ENTER
5.I. Permission to Enter: April 4, 2018
Mr. Descoteaux made a motion to approve the Permission to Enter; seconded by Mr. Hoey. 7 yeas APPROVED
6. MEMORIALS
6.I. Memorial - Conlon
Maureen (Finn) Conlon, retired Shaughnessy School teacher, sister-in-law of Denise Finn Shaughnessy School teacher and mother-in-law of Lori Conlon Greenhalge School teacher
Robert Maguire, former Mayor, City Councilor and LRTA Director.
7. MOTIONS
7.I. [By Gerard Nutter]: Request the Administration to provide current school committee copies of the end of year fiscal closing process and request a meeting of the Finance Subcommittee to review or develop written policy by May 15th 2018.
Superintendent Khelfaoui respectfully asked for the date to be changed to June 6, 2018. Mr. Nutter had no objection.
Mr. Nutter made a motion to approve; seconded by Ms. Doherty. 7 yeas APPROVED
7.II. [By Gerard Nutter]: Superintendent verbally advise School Committee if we are on schedule to meet all required Budget presentation and meetings dates adopted by the School Committee. Also inform if all unions / staff have been notified of potential layoffs / reductions per contract requirements.
Superintendent Khelfaoui informed the Committee that they plan to be on time with the budget and all unions have been notified.
Mr. Nutter made a motion to approve; seconded by Ms. Martin. 7 yeas APPROVED
Mr. Nutter made a motion to change the Budget Hearing that was scheduled for Monday, April 30, 2018 to Wednesday, May 2, 2018 due to a Lowell High School Building meeting that is scheduled on the same night; seconded by Ms. Martin. 7 yeas APPROVED
7.III. [By Gerard Nutter]: Request School Committee Attorney provide legal opinion if per Roberts Rules and the School Committee Policy Manual a Subcommittee Chair can call for a meeting without first presenting it as a motion on the Meeting Floor per Mayor's proposed preference.
Mr. Nutter made a motion to approve; seconded by Ms. Doherty.
Three Committee members spoke in favor of this motion. Mayor Samaras stated that he's not trying to infringe on the Chairperson's rights, but feels that Subcommittee meetings should be held only after a vote or polling of the whole Committee with approval for said Subcommittee meeting.
Mr. Nutter made a motion to refer motion #7.111 by Mr. Nutter "Request School Committee Attorney provide legal opinion if per Roberts Rules and the School Committee Policy Manual a Subcommittee Chair can call for a meeting without first presenting it as a motion on the Meeting Floor per Mayor's proposed preference" and motion # 7.XII by Mr. Descoteaux "All Subcommittee meetings shall be scheduled by the explicit vote of School Committee as whole. All Matters or topics discussed in Subcommittee shall be referred to the said Subcommittee by vote of the full Committee at a regularly scheduled meeting" to a Policy Subcommittee for further discussion; seconded by Mr. Descoteaux. 6 yeas, 1 nay APPROVED
7.IV. [By Gerard Nutter]: School Committee work with Administration and School / City Attorney's reviewing / developing a Policy regarding MARIJUANA screening in employment requirements based on changes to State Law.
Mr. Nutter made a motion to approve; seconded by Ms. Martin. 7 yeas APPROVED
7.V. [By Gerard Nutter]: School Committee work with Administration and School / City Attorney's developing a policy in regard to "Service Animals" for disabled versus "Comfort Animals " in Lowell Public Schools.
Mr. Nutter made a motion to approve; seconded by Ms. Doherty. 7 yeas APPROVED
7.VI. [By Dominik Lay]: Request the Superintendent to investigate strategies to increase parent engagement in all schools including our PTO, Citywide Parent Council and School Site Council.
Mr. Lay made a motion to approve; seconded by Ms. Doherty. 7 yeas APPROVED
7.VII. [By Dominik Lay]: Request the Superintendent explore the feasibility of offering MTEL (Massachusetts Test for Educator Licensure) Workshops in order to increase qualified diverse teacher candidates.
Superintendent Khelfaoui informed the Committee that he has spoken with the Assistant Superintendent of Curriculum, Instruction and Assessment as well as the Coordinator of the Teacher Academy regarding this request and he believes that if it is the will of this body this can be done for a small amount of money.
Mr. Lay made a motion to approve; seconded by Ms. Hoey. 7 yeas APPROVED
7.VIII. [By Jackie Doherty]: Request the Superintendent provide the committee with a report that describes each elementary and middle school's outdoor play space, including whether they have play structures (none, one, or two) available for student use during recess.
Superintendent Khelfaoui asked Ms. Doherty if she wanted playgrounds that aren't on schools grounds that schools utilize included and Ms. Doherty said she would like it to be included.
Ms. Doherty made a motion to approve; seconded by Mr. Hoey 7 yeas APPROVED
7.IX. [By Mayor William Samaras]: Request the City Auditor provide the School Committee with a report on all School Department Budget and Financial issues. Report shall include, but not be limited to, the entering of the FY2018 School Budget into the City's financial system and the school budget's compliance with all City financial regulations and the City Budget.
Mayor Samaras made a motion to approve; seconded by Ms. Martin. 7 yeas APPROVED
7.X. [By Andre Descoteaux]: Ask the Superintendent to request an evaluation of all current useful and/or new equipment that is currently in the High School. That equipment should be salvaged by us and not the demolition company.
Mr. Descoteaux made a motion to approve; seconded by Mr. Lay. 7 yeas APPROVED
7.XI. [By Andre Descoteaux]: Ask the Superintendent to look into how ALL the musical equipment found in all our schools should be evaluated and shared by all schools.
Mr. Descoteaux made a motion to approve; seconded by Ms. Doherty. 7 yeas APPROVED
7.XII. [By Andre Descoteaux]: All Subcommittee meetings shall be scheduled by the explicit vote of School Committee as whole. All Matters or topics discussed in Subcommittee shall be referred to the said Subcommittee by vote of the full Committee at a regularly scheduled meeting.
Mr. Nutter made a motion to refer motion #7.111 by Mr. Nutter "Request School Committee Attorney provide legal opinion if per Roberts Rules and the School Committee Policy Manual a Subcommittee Chair can call for a meeting without first presenting it as a motion on the Meeting Floor per Mayor's proposed preference" and motion # 7.XII by Mr. Descoteaux "All Subcommittee meetings shall be scheduled by the explicit vote of School Committee as whole. All Matters or topics discussed in Subcommittee shall be referred to the said Subcommittee by vote of the full Committee at a regularly scheduled meeting" to a Policy Subcommittee for further discussion; seconded by Mr. Descoteaux. 6 yeas, 1 nay APPROVED
7.XIII. [By Andre Descoteaux]: Ask the Superintendent to ask the City Auditor what the percentage of Lowell's budget went to the School Department before Ed Reform.
Mr. Descoteaux made a motion to approve; seconded by Ms. Martin. 7 yeas APPROVED
8. SUBCOMMITTEES
8.I. Finance Subcommittee Meeting: Approval of the Minutes of the Meeting of March 21, 2018 [Gerard Nutter, Chairperson]
Chairperson Nutter reported out on the Finance Subcommittee at the Lowell School Committee meeting held on March 21, 2018.
Mr. Nutter made a motion to accept the report as a report of progress; seconded by Mr. Descoteaux. 7 yeas APPROVED
9. REPORTS OF THE SUPERINTENDENT
9.I. Update Human Resources Director Position
Superintendent Khelfaoui informed the Committee that the administration is considering a search firm to assist in the recruitment of an experienced candidate. The district will solicit three (3) proposals from search firms and will seek the School Committee's permission to enter into an agreement with the recommended firm. The Superintendent also informed the Committee that Susan Mulligan, Acting Human Resources Director will stay during this process and will help with the transition when a candidate is chosen. Committee members asked what the time line was for this. The Superintendent stated that we are seeking out firms and waiting for more information. When we have the interested firms, we will asked the firms to make a presentation to the School Committee.
The following people spoke in favor of conducting a search for a new Human Resources Director and spoke about the lack of diversity in our schools:
Sophan Smith
Chrystal Robert Laura Ortiz Marissa Shea Vladimir Saldana, Darcy Boyer Denise Brito Lianna Kushi, Fred Laporte Alisse Arzuaga Carmen Bermudez Bobby Tugbiyele
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.II. Lowell High School Building Committee Meeting Update
Superintendent Khelfaoui provided a copy of an updated PowerPoint presentation from PerkinsEastman regarding the School Building Committee Lowell High School Project. Ms. Martin said that the meeting was very informative and presently there are three (3) options being discussed and all of them are downtown options and eminent domain is also still being discussed. The next building meeting will be held on April 30, 2018.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.III. Monthly Financial Report
The Monthly Budget Report that was provided to the Committee by Gary Frisch, Assistant Superintendent for Finance/School Business Administrator showed the budget report for the period ending March 29, 2018. Mr. Frisch gave the following summary:
Mr. Nutter asked for clarification about how much the district is spending monthly. Superintendent Khelfaoui said that he will provide that information at the next School Committee meeting.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.IV. Quotes for Human Resources Audit
Susan Mulligan, Acting Human Resources Director informed Dr. Khelfaoui that a request for quotes to perform an audit of the Human Resources Office have been sent to the following agencies:
- MASPA
- HRS Consulting
- The Management Solution
The scope of services include: purpose of consultation, objectives of consultation, strategies to complete the objectives, sustainability plan and anticipated outcomes of the project.
Ms. Doherty and Ms. Martin stated that they wanted to see a compliance audit. Superintendent Khelfaoui said that the compliance piece of the audit will be included.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.V. Lowell Public Schools Early Release Good Friday
Susan Mulligan, Acting Human Resources Director informed Dr. Khelfaoui that the current UTL and LSAA contracts states that employees may request and be granted up to three (3) religious days. Based on the current UTL and LSAA contracts, it is estimated that substitute coverage would not be sufficient to cover the anticipated absenteeism on Good Friday. Dr. Khelfaoui stated that this can be pursued in future negotiations.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.VI. Purchasing Equipment Delays
Dr. Khelfaoui informed the Committee that due to new state regulations the Comcast Revolving account no longer exists. All spending from the PEG Comcast funding has to be approved by the City Manager. Purchase requests for equipment for middle schools have been forwarded to the City Manager's Office.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.VII. Combined Subcommittee Meetings
Dr. Khelfaoui informed the Committee that after consulting with our legal counsel that Mr. Nutter's motion "Per Open Meeting Law, any combined subcommittee meeting which results in more than three (3) members in attendance be posted as a meeting of the Committee as a whole" has merit. Consequently, we recommend that any time a combined subcommittee meeting is called in which four (4) or more members are attending the meeting should be posted as a meeting of the Committee as a Whole.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.VIII. LHS Elective Classes
Marianne Busteed, Head of School responsed to Mr. Lay's motion "Request the Superintendent to establish a minimum class size of 10 students in LHS elective classes, before it can be offered. The Superintendent must approve all exceptions". Ms. Busteed informed the Committee that as per School Committee directive, all Lowell High Elective classes must have a minimum of ten (10) students before they can be scheduled and any exceptions must be approved by the Superintendent.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.IX. Quarterly Report on Motions
Superintendent Khelfaoui presented the Quarterly Report on Motions to the Committee and welcomed any questions they may have. He also informed them again that they will be receiving them in each School Committee packet.
Ms. Doherty asked about motion # 9 "Request the Superintendent ensure that the LPS website for each school provides information on its School Site Council members, upcoming meeting times, agendas, and minutes similar to the Pyne Arts School website. (repeat from March 2017)". She stated that she has checked a few school websites and this is information is not posted. Superintendent Khelfaoui stated that due to budget cuts schools do not have someone posting this information. The district webmaster currently does this and has sent several requests looking for this information and has not received responses. Ms. Doherty also asked about motion # 12 "Request the Superintendent provide the committee with additional options to address site issues for the Day School and the middle-school bubble that do not require students from the Cardinal O'Connell being returned to their sending schools. The options to be presented and discussed at a meeting of the whole prior to the regularly scheduled March 7 school committee meeting". Superintendent Khelfaoui stated that he was told earlier this afternoon that two (2) bids were received and they will be rated tomorrow.
Ms. Doherty made a motion to vacate motion # 1 "Request the Superintendent review the mandates that have been adopted by DESE and see if they are still required under the new federal guidelines" on the Quarterly Reports on Motions; seconded by Mr. Nutter. 7 yeas APPROVED
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
9.X. Enrollment Figures
The district enrollment report provided to the Committee showed the breakdown by school and grade through March 28, 2018.
Ms. Martin made a motion to accept the following Reports of the Superintendent 9.I, through 9.X as reports of progress; seconded by Mr. Hoey. 7 yeas APPROVED
10. NEW BUSINESS
10.I. Vote Of Inter-District School Choice
Mr. Descoteaux made a motion to recommend that the Lowell Public Schools participate in the InterDistrict School Choice Program for grades 9 - 12, for the 2018-2019 school year and to allot thirty (30) seats within grades 9 – 12; seconded by Mr. Hoey. 7 yeas APPROVED
10.II. Vote of Policy Revisions
Jeannine Durkin, Deputy Superintendent provided the Committee with recommended revisions to the Equal Education Opportunities Policy and the Instructional Materials Policy.
Ms. Doherty made a motion to approve the File: JB Equal Educational Opportunities Policy; seconded by Mr. Lay. 7 yeas APPROVED
Mr. Descoteaux made a motion to approve the File: IJ Instructional Materials Policy; seconded by Mr. Hoey. 7 yeas APPROVED
10.III. Budget Transfer
| SCHOOLS | | | |
|---|---|---|---|
| | | | Description |
| Object | Project | DESE Function | |
| 577771 | | 2400 | School Committee Suspense |
| | | | TOTAL |
| | | | Description |
| Object | Project | DESE Function | |
| 512921 | | 1400 | Computer Network Manager K-12 |
| 563600 | | 5200 | Employee Health Insurance |
| | | | TOTAL |
Reason for Transfer: The purpose is to transfer monies to the suspense account to replenish the reduction in state aid.
| | | | Description |
|---|---|---|---|
| Object | Project | DESE Function | |
| 577771 | | 2400 | School Committee Suspense |
| | | | TOTAL |
| | | | Description |
| Object | Project | DESE Function | |
| 512904 | | 2500 | Greenhalge Library Aide |
| 512904 | | 2500 | Butler Library Aide |
| 512904 | | 2500 | Rogers Library Aide |
| 563600 | | 5200 | Employee Health Insurance |
| | | | TOTAL |
Reason for Transfer: The purpose is to transfer monies to the suspense account to replenish the reduction in state aid.
| SCHOOLS | | | |
|---|---|---|---|
| | | | Description |
| Object | Project | DESE Function | |
| 577771 | | 2400 | School Committee Suspense |
| | | | TOTAL |
| | | | Description |
| Object | Project | DESE Function | |
| 512903 | | 2300 | Bailey Elementary Teacher |
| 563600 | | 5200 | Employee Health Insurance |
| | | | TOTAL |
Reason for Transfer: The purpose is to transfer monies to the suspense account to replenish the reduction in state aid.
| SCHOOLS | | | |
|---|---|---|---|
| | | | Description |
| Object | Project | DESE Function | |
| 577771 | | 2400 | School Committee Suspense |
| | | | TOTAL |
| | | | Description |
| Object | Project | DESE Function | |
| 512903 | | 2300 | Murkland Elementary Teacher |
| 512903 | | 2300 | Butler Middle School Teacher |
| 512903 | | 2300 | Butler Art Teacher |
| 512903 | | 2300 | Butler English Teacher |
| 512903 | | 2300 | Daley Science Teacher |
| 512903 | | 2300 | McAuliffe Music Teacher |
| | | | TOTAL |
Reason for Transfer: The purpose is to transfer monies to the suspense account to replenish the reduction in state aid.
| Department: | SCHOOLS | | | |
|---|---|---|---|---|
| TRANSFER TO: | | | | |
| Account # | | | | Description |
| Org. | Object | Project | DESE Function | |
| 99300003 | 577771 | | 2400 | School Committee Suspense |
| | | | | TOTAL |
| TRANSFER FROM: | | | | |
| Account # | | | | Description |
| Org. | Object | Project | DESE Function | |
| 99310004 | 544400 | | 2300 | Supplies & Textbooks |
| 99341224 | 575270 | | 1400 | Photocopier - Purchase/Lease |
| 99341218 | 531800 | | 1400 | Printing & Binding |
| 99305120 | 544400 | | 2300 | Supplies - Mathematics |
| | | | | TOTAL |
Reason for Transfer: The purpose is to transfer monies to the suspense account to replenish the reduction in state aid.
Mr. Nutter made a motion to approve the budget transfers; seconded by Mr. Hoey. 7 yeas APPROVED
11. CONVENTION/CONFERENCE REQUESTS
11.I. LDS - Trip to Nashua
Permission for Lowell Day School teachers Karen Tyros and Stephanie Crowell to attend the Language Acquisition through Motor Planning (LAMP) training held on April 10, 2018 in Nashua, N.H. All expenses are being covered by the school Professional Development account not to exceed $198. No substitute teacher is needed.
Ms. Doherty made a motion to take and approve all five (5) convention/conference requests together; seconded by Mr. Nutter. 7 yeas APPROVED
11.II. LHS- Trip to Quebec City, Canada
40 LHS International Language Club members and 4 staff members [Tricia Gabor, Thomas Thorton, Michael Arwe and Marry Ann Dyson], along with a CORIED chaperone, to travel to Quebec City, Canada from Friday, February 8 through Monday, February 11, 20119. The cost of the substitutes in the amount of $315 will be paid by LHS individual school budget. Each student traveling will incur the total cost of $600.00. The travel company includes allowance for chaperones at no cost.
Ms. Doherty made a motion to take and approve all five (5) convention/conference requests together; seconded by Mr. Nutter. 7 yeas APPROVED
11.III. LHS Trip - Kansas City, MO
Permission for Lowell High School Latin Lyceum teacher Krista Earley to attend the AP Reader conference held from Friday, June 1, 2018 through Saturday, June 9, 2018 in Kansas City, MO. There will be no cost to the district. All expenses are being covered by the College Board. No substitute teacher is needed.
Ms. Doherty made a motion to take and approve all five (5) convention/conference requests together; seconded by Mr. Nutter. 7 yeas APPROVED
11.IV. Trip - Museum Boston
Request permission for fourth grade McAvinnue students, along with Principal Michael Ducharme, Assistant Principal Michael Domina, Teachers; Tom Pelletier, Cindy Fosse, Julie Gillis, Kate BurgessMacIntosh, Noreen Crowley and Mike Cotta to participate in an overnight field trip to the Museum of Science in Boston on Friday, June 1 th through Saturday, June 2, 2018. The trip will be paid by students and staff. The McAvinnue School Student Activity Account will pay the $ 760 transportation cost. There are no costs to the School Department budget. No substitute teacher is needed.
Ms. Doherty made a motion to take and approve all five (5) convention/conference requests together; seconded by Mr. Nutter. 7 yeas APPROVED
11.V. Trip- Quincy, MA- Newell
Permission for Melissa Newell, Coordinator of Language Arts & Literacy K-12, to attend the MRA (Massachusetts Reading Association's) Annual Reading Conference in Quincy, MA on April 8 th and 9 th 2018. The cost to attend the workshop of $230.00 (Presenter) will be paid by the District Professional Development Account. The total cost for the hotel of $300.00 for 2 nights at the conference location will be paid by Title 1. No meals would need to be provided for this conference. No substitute is needed.
Ms. Doherty made a motion to take and approve all five (5) convention/conference requests together; seconded by Mr. Nutter. 7 yeas APPROVED
12. COMMUNICATIONS
13. PROFESSIONAL PERSONNEL
13.I. UTL- Sick Leave
The Members of the United Teachers of Lowell hereby donate twenty [20] sick leave days to Kristen Colon, Lowell High School Teacher.
Mr. Lay made a motion to approve; seconded by Mr. Nutter. 7 yeas APPROVED
13.II. UTL- Sick Leave - Silva
The Members of the United Teachers of Lowell hereby donate sixteen [16] sick leave days to Maria Silva, Food Services Lowell High School.
Mr. Descoteaux made a motion to approve; seconded by Mr. Hoey. 7 yeas APPROVED
14. ADJOURNMENT
Mr. Nutter made a motion to adjourn at 9:54 p.m.; seconded by Mr. Hoey. 7 yeas APPROVED
Respectfully submitted,
Dr. Salah E. Khelfaoui, Superintendent and Secretary to the Lowell School Committee
SEK/mes
|
Bay Restoration Fund Advisory Committee
Robert M. Summers, Ph.D., Acting Chairman
Annual Status Report June 2010
Report to:
Governor Martin O'Malley
The President of the Senate
The Speaker of the House
The Senate Education, Health, and Environmental Affairs Committee
The Senate Budget and Taxation Committee
The House Environmental Matters Committee
The House Appropriations Committee
Bay Restoration Fund Advisory Committee Members
| | Committee Members | Affiliation |
|---|---|---|
| Robert M. Summers, PhD | | |
| Delegate Barbara Frush | | |
| James L. Hearn | | |
| Gregory B. Murray | | |
| Jenn Aiosa | | |
| Beverly Stinson, PhD | | |
| William P. Ball, Ph.D. | | |
| Mayor Don William Bradley | | |
| Jeff Horan | | |
| Wayne Green | | |
| John Leocha | | |
| Norman Astle | | |
PURPOSE OF THIS REPORT
Section 1605.2 of Chapter 9 of Environment Article requires that beginning January 2006, and every year thereafter, the Bay Restoration Fund (BRF) Advisory Committee must provide an update to the Governor and the General Assembly on the implementation of the BRF program, and report on its findings and recommendations.
EXECUTIVE SUMMARY
The Bay Restoration Fund Advisory Committee is pleased to present to Governor Martin O'Malley and the Maryland Legislature, its fifth annual Legislative Update Report. Great strides have been made in implementing this historic Bay Restoration Fund, but many challenges remain as we continue with the multi-year task of upgrading the State's wastewater treatment plants and onsite sewage disposal systems and the planting of cover crops to reduce nitrogen and phosphorus pollution in Chesapeake Bay.
Accomplishments
o As of September 30, 2009, the Comptroller of Maryland has deposited $241.95 million in the Maryland Department of the Environment Wastewater Treatment Plant fund, $31.02 million in the Maryland Department of Environment Septic Systems Upgrade fund, and $20.72 million in the Maryland Department of Agriculture Cover Crop Program fund.
o Enhanced Nutrient Removal (ENR) upgrades of the State's major sewage treatment plants are currently underway. Upgrades to 10 facilities have been completed and are in operation. Upgrades to 10 other facilities are under construction, 25 are in design, and 14 are in planning. MDE is continuing to work to bring the remaining seven major systems into the program by urging the facilities to proceed with the ENR upgrade and/or by adding nutrient loading limits and compliance schedules in the discharge permits.
o MDE conducted an intense campaign to promote septic system upgrades. This campaign included radio commercials featuring the Governor and a direct mail-out to the 51,000 septic system owners in the Critical Area. Through this effort over 1,300 septic systems were upgraded through the BRF in 2009 compared to 350 in 2008. As of December 31, 2009, 1,998 septic systems had been upgraded through the BRF. The 1,998 upgraded septic systems result in a decrease of approximately 29,970 pounds of nitrogen per year that would have been discharged to the waters of the State. During the last quarter of 2008, MDE received an average of 150 applications per month. From March through June of 2009, the Department averaged over 400 direct applications per month.
o The Department simplified the process whereby a homeowner selects a vendor/contractor for upgrading a septic system to remove nitrogen through the BRF. Homeowners now have the option of selecting one of two preselected fixed cost vendors.
o The Maryland Department of Agriculture dedicates its portion of BRF funds for the implementation of the statewide Cover Crop Program. In FY2010, farmers applied for 330,500 acres, 72% of Maryland's Chesapeake Bay Program 2-year Milestone goal. MDA's portion of funds projected from BRF annually for cover crops support approximately 120,000 acres in the program. Additional funding was made available from the 2010 Chesapeake Bay Trust Fund in 2009 to support increased level of participation. Cover crops are planted in the fall to tie up nitrogen remaining from the previous crop. They are recognized as the State's single most cost effective best management practice (BMP) available to control nitrogen movement to groundwater and subsequently the Bay. Cover crops also prevent soil erosion and improve soil quality.
o The Maryland Department of Agriculture contracted with the University of Baltimore, Schaeffer Policy Center in 2009 to conduct a survey to evaluate the Cover Crop Program and determine if program modifications could improve performance and farmer participation. Farmers were supportive of current program requirements. The most often cited concerns for inability to carry out contracts and maximize acreage planting related to time available in the fall and labor capacity to get the work done. As a result of the survey, MDA made modifications to the 2010 program to increase flexibility to allow farmers until the spring to designate which acres will be harvested and provide farmers the option of receiving a partial payment in the fall.
o MDE and Maryland Department of Planning (MDP) are continuing their efforts to implement the requirements of House Bill 893, which was passed in the 2006 session and requires MDE and MDP, in consultation with local governments to report on the impact that an ENR upgraded wastewater treatment plant has on growth in the jurisdiction it serves. As part of this report, MDE and MDP evaluated the impact during 2008 as required by the legislation.
Challenges
o Wastewater treatment plant construction costs on recently opened bids are significantly higher than the original pre-planning level estimates. As a result the total capital cost for the ENR Upgrades is likely to be higher than the $750 million to $1 billion range estimated at the time of legislation. These estimates were made as an order of magnitude estimate prior to the passage of the Bay Restoration Fund legislation and before the performance of any detailed engineering analyses at any of the facilities. Based on the estimated revenue projections and bond issuance, it is estimated the current fee schedule ($30/year) can help finance approximately $880 million in ENR upgrades by 2018. The current ENR capital cost is estimated at $1.540 billion leaving a potential deficit of $660 million. The funding gap is expected to begin in 2012. The Committee is considering five options. As an initial step to eliminate the funding shortfall, the Committee supports MDE in seeking statutory changes that allow the Bay fees to make debt service payment on bonds issued by local governments (for ENR eligible cost) that have a term of up to 30 years. The Committee will be evaluating all the options and will provide recommendations to fully close the funding gap as part of the next annual report.
o Advanced septic systems that remove nitrogen require electricity and have moving parts that require regular maintenance. MDE has evaluated the electrical use of the different advanced systems and can now provide property owners with more complete information. The EPA strongly recommends that management systems be in place to ensure the long-term performance of advanced septic systems. The BRF has no provisions for ongoing management of nitrogen reducing septic systems.
o The Department enters into contracts to upgrade septic systems directly with the property owner and upon completion of the upgrade pays the property owner. In a small minority of cases either the Comptroller has withheld payment due to back taxes or the property owner has failed to pay the contractor. This has resulted in some vendor complaints. To this point, MDE has only issued grant money directly to the homeowner, not the contractor. However, after some consideration, the Department has revised its policy about direct payments. Beginning with applications approved on or after January 3, 2010, the Department will ask homeowners to authorize payment directly to the
vendor. Once the homeowner has indicated that the work has completed to satisfaction, MDE will issue the amount of the grant to the contractor.
Conclusions
* The implementation of the Bay Restoration Fund program is proceeding in the right direction at a good pace, which is expected to further improve in the upcoming years.
* With the development and implementation of the BayStat process MDE has improved its benchmarks and tracking of implementation efforts to ensure that projects remain on schedule.
* The funding gap for wastewater treatment plant upgrades is expected to begin in 2012. The Committee will be evaluating all the options and provide recommendations to fully close the funding gap as part of the next annual report.
* There has been a significant response to the State's outreach campaign for the BRF septic system program that significantly increased the number of septic systems upgraded, the number of applicants to the program, and created a waiting list which necessitated prioritizing grants from the Fund. The demand on the Fund to cover the costs of the new technology required for systems in the Critical Area is particularly high due to legislation passed last year that requires all new and replacement systems in the Critical Area to be upgraded. While MDE anticipates that funding will be available for the required upgrades for failing systems in the Critical Area, funding will not likely be available for the construction of new homes in the Critical Area.
Programs and Administrative Functions
Comptroller's Office:
The role of the Comptroller of Maryland (CoM) is to act as the collection agent for the Bay Restoration Fund (BRF) and make distributions to the Maryland Department of the Environment (MDE) and the Maryland Department of Agriculture (MDA) as required.
In the third year of administering the BRF, the CoM began the compliance phase of the fee administration. The law specifies that the BRF shall be administered under the same provisions allocable to administering the sales and use tax. Granted that authority, the CoM began the audit process for both filers and non-filers of BRF quarterly reports.
For non-filers, CoM has begun contacting the billing authorities and users who have failed to file or pay the BRF and is obtaining sufficient documentation to make an assessment and begin collection activity. Federal government billing authorities and users have to date refused to participate in the BRF process. MDE secured an agreement with several defense organizations having wastewater treatment plants to upgrade their systems over a defined period of time and they were then exempted from the BRF by MDE. A copy of the agreement was provided by MDE to CoM, and those BRF accounts were subsequently placed on inactive status. The CoM has begun to audit billing authorities who are not collecting the BRF from federal agencies and will make assessments as appropriate against those billing authorities for those uncollected fees.
Additionally, the CoM is working with MDE to obtain historical flow data from billing authorities and users, which will be compared to returns filed by billing authorities and users to ensure accurate BRF returns have been filed and paid.
Maryland Department of the Environment:
Three units within the Maryland Department of the Environment (MDE) are involved in the implementation of the Bay Restoration Fund.
I. Maryland Water Quality Financing Administration:
The Maryland Water Quality Financing Administration (MWQFA) was established under Title 9, Subtitle 16 of the Maryland Code. MWQFA has primary responsibility for the capital budget development and financial management and fund accounting of the Water Quality Revolving Loan Fund, the Drinking Water Revolving Loan Fund and the newly created Bay Restoration Fund. Specifically for the Bay Restoration Fund, the MWQFA is responsible for the issuance of revenue bonds, payment disbursements, and the overall financial accounting, including audited financial statements.
II. Engineering and Capital Projects Program:
The Engineering and Capital Projects Program (ECPP) manages the engineering and project management of federal capital funds consisting of special federal appropriation grants and state revolving loan funds for water quality and drinking water projects. The Program also manages projects funded by State grant programs, including Bay Restoration Fund, Special Water Quality/Health, Small Creeks and Estuaries Restoration, Stormwater, Biological Nutrient Removal, and Water Supply Financial Assistance. There may be as many as 250 active capital projects ranging in levels of complexity at any given time. Individual projects range in value from $10,000 to $150 million. A single project may involve as many as eight different funding sources and multiple construction and engineering contracts over a period of three to ten years. ECPP is responsible for assuring compliance with the requirements for each funding source while achieving the maximum benefit of funds to the recipient and timely completion of the individual projects. ECPP consists of two divisions: (1) the Bay Restoration Project Management Division; and (2) the Water and Wastewater Project Management Division.
III. Wastewater Permits Program:
The Wastewater Permits Program (WWPP) issues permits for surface and groundwater discharges from municipal and industrial sources and oversees onsite sewage disposal and well construction programs delegated to local approving authorities. Large municipal and all industrial discharges to the groundwater are regulated through individual groundwater discharge permits. All surface water discharges are regulated through combined state and federal permits under the National Pollutant Discharge Elimination System (NPDES). These permits are issued for sewage treatment plants, some water treatment plants and industrial facilities that discharge to State surface waters. These permits are designed to protect the quality of the body of water receiving the discharge.
Anyone who discharges wastewater to surface waters needs a surface water discharge permit. Applicants include industrial facilities, municipalities, counties, federal facilities, schools, and commercial water and wastewater treatment plants, as well as treatment systems for private residences that discharge to surface waters.
WWPP will ensure that the enhanced nutrient removal goals and/or limits are included in the discharge permit of facilities upgraded under the BRF. To accommodate the implementation of the Onsite Sewage Disposal System (OSDS) portion of the Bay Restoration Fund, the WWPP Deputy Program Manager has been designated as the lead for the onsite sewage disposal system upgrade program.
Maryland Department of Agriculture:
The Maryland Department of Agriculture (MDA) delivers soil conservation and water quality programs to agricultural landowners and operators using a number of mechanisms to promote and support the implementation of best management practices (BMPs). Programs include information, outreach, technical assistance, financial assistance and regulatory requirements under the Water Quality Improvement Act. Soil Conservation Districts are the local delivery system for many of these programs.
The Chesapeake Bay Restoration Fund provides a dedicated fund source to support the Cover Crop Program. In prior years, funding fluctuated and program guidelines were modified accordingly to try to get the best return on public investment. Results from a 2005 survey of 3000 farm operators, who had previously participated in MDA Water Quality Incentive programs, indicated that changing Cover Crop Program guidelines and funding uncertainty discouraged participation. This survey was repeated in 2006 and 2009 and used to make program adjustments, with a goal to maximizing program participation and water quality benefits. Since funding was reduced in FY2010, MDA reduced the base payment for traditional cover crops by $5 an acre and instituted an acreage cap, but allowed farmers to enroll additional acres as "stand by." MDA had adequate funds to approve all enrolled acres including stand by this year. Other program adjustments included having one application for both the traditional cover crop program and commodity cover crop program rather than separate program applications. This increases flexibility for enrollment and management at the farm level. In SFY 2010 eligibility requirements consistent with findings from a scientific panel under the auspices of BayStat were continued. The incentive structure was adjusted to maximize nutrient reductions. In addition to incentives for early planting, farmers could receive increased payments for planting cover crops after corn or vegetables, planting cover crops on fields where manure was used as a nutrient source, planting rye, using certain
tillage methods or planting in priority watersheds. With added incentives payments ranged from $25 per acre to $85 per acre.
FY2010 saw application requests for approximately 330,500 acres. MDA approved all eligible applications for 330,500 acres. In 2010, the BRF will fund approximately 229,000 acres of cover crops. The General Assembly transferred a one- time allocation of an additional $5 million from revenue that funds MDE's program for septic system upgrades to the Cover Crop Program in 2010, nearly doubling BRF support of this program. The 2010 Chesapeake Bay Trust Fund was used to supplement existing funds, and in conjunction with general funds and limited watershed specific funding, helped expand program availability. Recent 2-year Chesapeake Bay Milestones call for 460,000 acres of cover crops annually.
MDA administers the Cover Crop Program through the Maryland Agricultural Water Quality Cost Share Program or MACS. MACS program provides financial assistance to farm operators to help them implement approximately 30 BMPs. Cover crops are one of the most cost effective methods for tying up excess nitrogen from the soil following the fall harvest of crops. They minimize nitrogen loss caused by leaching into nearby streams and aquifers, prevent soil erosion and improve soil quality.
Maryland Department of Planning:
The Maryland Department of Planning (MDP) is a statutory member of Bay Restoration Fund Advisory Committee (BRFAC). The Department's general mandate is to advise State agencies, local governments, the General Assembly, and others on planning matters. More specifically, the Department is focused on implementation of Smart Growth policies and programs at all levels of government. Generally, the BRF program supports State Planning and Smart Growth policies to the degree that WWTP capacity is allocated to serve existing and new development in locally certified and State recognized Priority Funding Areas (PFAs).
Specific functions that MDP carries out that relate directly or indirectly to the BRF programs are summarized below. HB 893 enacted by the 2007 legislative session, added an additional BRF reporting responsibility which is discussed in another section.
1. State Clearinghouse Review
All State and federal financial assistance applications, including those for BRF funds are required to be submitted for review through the State Clearinghouse which is part of MDP. The Clearinghouse solicits comments on these applications from all relevant State agencies and local jurisdictions. The applicant and funding agency are subsequently notified of any comments received. This review ensures that the interests of all reviewing parties are considered before a project is sent forward for final federal or State approval.
2. Review and Comment on County Water and Sewerage Plans and Amendments
MDP is directed by law to advise MDE regarding the consistency of County Water and Sewerage Plans and amendments with "local master plan and other appropriate matters" (Environment Article § 9-507 (b)(2)). This includes review for consistency with State Smart Growth policy. MDP carries out this review and provides advisory comments to MDE for consideration before MDE makes an approval decision on Water and Sewerage Plans or amendments.
The law also requires that County Water and Sewerage Plans and amendments be consistent with the local master or comprehensive plans. Therefore, if a plan or amendment is not consistent with a comprehensive plan, it is subject to disapproval by MDE. Since facility construction, discharge, and other permits must also be consistent with the County Water and Sewerage Plans, the legal chain, from comprehensive plans to Water and Sewerage Plans to permits, helps to assure that all BRF projects are consistent with local comprehensive plans before funding is approved and construction can begin.
3. Priority Funding Areas (PFA)
One specific feature of State Smart Growth policy is the designation of Priority Funding Areas (PFAs). These areas are delineated by local governments in accordance with statutory criteria that focus on concentrating high density growth in and near existing communities. If the local PFA boundaries do not meet the legal requirements in the law, MDP would overlay a "comment area" delineation to so indicate. The PFA statute lists the specific State financial assistance programs that are required to focus their funding on projects inside the PFA, with certain specified exceptions. BRF funds and projects are not listed as a PFA covered program. The rationale for this was that BRF funds will only pay to upgrade existing treatment capacity and will not pay for any capacity expansions.
HB 893, which is discussed further in another section, raises certain issues related to the BRF exclusion from the PFA requirement.
4. Local Comprehensive Plan Review and Comment
Local Comprehensive Plans must be prepared by every county and municipality in Maryland, pursuant to Article 66B of the Annotated Code. MDP provides comments on all draft local Comprehensive Plans and amendments. Through the Clearinghouse review process, other State agencies are also provided the opportunity to comment before they can be adopted by local governing bodies. However, since these plans are not subject to State approval, comments provided are advisory only. Depending on the wishes of the jurisdiction, MDP works closely with, and provides technical assistance to, local governments in the processes leading to adoption of local comprehensive plans. MDP advises them on planning issues and methods supporting State Planning and Smart Growth policies and practices.
HB 1141, enacted by the 2006 General Assembly, added new required elements to local comprehensive plans. One of these is a Water Resources Element which must be completed by every jurisdiction by October 1, 2009. This element is required to address water supply and wastewater infrastructure, and water quality issues to assure that these considerations are more fully integrated into comprehensive planning. In addition to the comprehensive plan interagency review process described above, MDE is specifically mandated to establish criteria for this element and to review the element for consistency with these criteria and MDE's overall water resources programs. However, as with all local comprehensive plans, there is no provision for State approval. It is expected that preparation and local adoption of these elements will further improve guidance for effective use of BRF funds for all of its authorized purposes.
Monthly BayStat Review of the BRF:
All BRF-funded ENR upgrades are closely monitored through planning, design, construction, and implementation by MDE, and are overseen monthly by the Governor through BayStat, a monthly meeting of cabinet-level state officials where updated Bay-related data are reviewed and discussed. MDE submits a monthly report to BayStat showing the status of each ENR upgrade; a recent BayStat ENR monthly report is available via this link:
http://www.mde.maryland.gov/water/cbwrf/pop_up/enr_status_map.asp
These monthly reports show expected completion dates for each step of the process at each location, and highlight delays and other key changes in status. BayStat meetings devote particular attention to those upgrades due to become effective during the current two-year Bay milestone period.
Bay Restoration Fund Status
The Bay Restoration Fund (BRF) fees collected from wastewater treatment plant users are identified as "Wastewater" fees and those collected from users on individual onsite septic systems as "Septic" fees. These fees are collected by the State Comptroller's Office and deposited as follows:
* Wastewater fees (net of local administrative expenses) are deposited into MDE's "Wastewater Fund."
* Sixty percent (60%) of the Septic fees (net of local administrative expenses) are deposited into MDE's "Septic Fund."
* Forty percent (40%) of the Septic fees (net of local administrative expenses) are deposited into Maryland Department of Agriculture's (MDA) "Septic Fund."
The status of the cash deposits from the State Comptroller's Office to MDE and MDA for each of the subfunds identified above, as of September 30, 2009, is as follows:
Wastewater Fund (MDE 100% for ENR & Sewer Infrastructure)
Sources:
Uses:
| ENR PROJECTS | |
|---|---|
| Applicant | Grant Amount |
| Aberdeen ENR | 1,700,000.00 |
| Allegany Co/ Georges Creek ENR | 10,588,000.00 |
| Allegany Co/ Celanese ENR | 2,333,382.00 |
| Anne Arundel Co/ Annapolis WRF | 200,000.00 |
| Anne Arundel Co/ Broadneck WRF | 200,000.00 |
| Baltimore City/Back River WWTP ENR | 5,000,000.00 |
| Baltimore City/Patapsco ENR | 10,000,000.00 |
| Bowie ENR | 8,867,000.00 |
| City of Brunswick/WWTP ENR | 8,263,000.00 |
| Cambridge ENR | 100,000.00 |
| Chestertown ENR | 1,490,854.14 |
| Crisfield WWTP ENR | 4,231,000.00 |
| Cumberland WWTP ENR | 26,779,000.00 |
| Delmar WWTP ENR | 2,544,000.00 |
| Denton WWTP ENR | 200,000.00 |
ENR PROJECTS
| Applicant | Grant Amount |
|---|---|
| Easton WWTP ENR | 8,660,000.00 |
| Elkton ENR | 7,960,000.00 |
| Emmitsburg WWTP ENR | 50,000.00 |
| Federalsburg ENR | 3,360,000.00 |
| City of Hagerstown/WWTP ENR II | 10,857,000.00 |
| Harford Co./ Joppatown ENR | 888,000.00 |
| Harford Co./ Sod Run ENR | 4,283,000.00 |
| Havre de Grace WWTP ENR | 11,289,000.00 |
| Howard County/Little Patuxent ENR | 530,000.00 |
| Hurlock WWTP ENR | 941,147.75 |
| Indian Head ENR | 6,484,000.00 |
| La Plata ENR | 110,000.00 |
| Leonardtown WWTP ENR | 510,000.00 |
| MD Env Serv/Freedom District WWTP ENR | 100,000.00 |
| Mt Airy ENR | 200,000.00 |
| Perryville ENR | 4,000,000.00 |
| Pocomoke WWTP ENR | 200,000.00 |
| Poolesville WWTP ENR | 100,000.00 |
| Queen Anne’s/ Kent Island ENR | 6,380,645.09 |
| Salisbury WWTP ENR | 3,000,000.00 |
| St. Mary's Co./Marlay Taylor Water Reclam. | 200,000.00 |
| Talbot Co/St Michaels ENR | 2,000,000.00 |
| Taneytown/WWTP ENR Up Planning & Des | 310,000.00 |
| Thurmont WWTP ENR | 300,000.00 |
| Washington Co./Winebrenner | 100,000.00 |
| Westminister WWTP ENR | 20,000.00 |
| WSSC/Blue Plains WWTP ENR | 2,000,000.00 |
| WSSC/Damascus WWTP ENR | 325,000.00 |
| WSSC/Western Branch WWTP ENR | 1,000,000.00 |
| ENR SUBTOTAL | 158,654,028.98 |
| SEWER PROJECTS | |
| Applicant | Grant Amount |
| Balto City Gwynns Run Sewer | 1,575,000.00 |
| Balto. City Greenmount Branch Sewer Interc. | 2,300,000.00 |
| Balto. City Greenmount Branch Sewer Interc. II | 1,000,000.00 |
| Denton - Lockerman St. Lift Station | 100,000.00 |
| Emmitsburg/South Seton Ave Sewer Line | 600,000.00 |
| Frostburg Combined Sewer Overflow Phase IV | 1,000,000.00 |
| Frostburg CSO - Phase V | 800,000.00 |
| City of Fruitland Infiltration & Inflow Sewer | 300,000.00 |
| Moutain Lake Park - Sewer Rehab III | 750,000.00 |
| Port Deposit Inflow & Infiltration Reduction | 178,199.00 |
| Secretary/Gordon Street Lift Station | 150,000.00 |
| Secretary Infilt/Inflow Reduction | 172,068.00 |
| St. Mary's METCOM/Evergreen Park Sewer | 203,714.00 |
| Talbot/St Michaels Sewer & Upgrade | 1,000,000.00 |
| SEWER PROJECTS | |
|---|---|
| Applicant | Grant Amount |
| Talbot/St Michaels Reg.II Sewer & Upgrade | 450,000.00 |
| City of Taney Town/Balt St Water Main | 200,000.00 |
| Washington Co. Halfway Inflow/Infilt Reduction | 200,000.00 |
| Town of Williamsport/Inflow & Infiltration Red. | 250,000.00 |
| SEWER SUBTOTAL | 11,228,981.00 |
| TOTAL (ENR & SEWER) | 169,883,009.98 |
Septic Fund (MDE 60% for On-Site Disposal System upgrades except 22.4% in FY 2010)
Sources:
Uses:
TOTAL SEPTIC 27,712,080.28
Septic Fund (MDA 40% for Cover Crops)
$19,730,926
*Cumulative revenue as of 6/30/09
Historically there is attrition between acres approved for funding and actual payments for cover crops planted under the Maryland Agricultural Water Quality Cost Share Program. The main cause of reduced acreage is one of time and labor availability in the fall planting of cover crops after harvest. Related causes are delays caused by weather and other uncontrolled factors. In FY2009, farmers were able to enroll in a commodity cover crop option which allows harvest at a reduced incentive. This option effectively has eliminated the attrition that occurred in past years due to opting out of the program for harvest in the spring. The chart below illustrates the "typical" program attrition profile. Since the FY2009 program underwent a number of changes, a margin of error should be factored into use of historic rates to predict attrition this year.
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Potential Funding Gap and Recommended Action:
Based on current total estimated ENR capital cost of $1.540 billion and BRF wastewater (WW) fund projected cash flow, the WW fund can provide $880 million in grants and is expected to have a funding deficit of $660 million by 2018. Under the current ENR project schedule and anticipated cash flow needs, the WW fund will be able to provide up to 100% grants for ENR expenditures through FY 2011. This will be accomplished by issuing approximately $530 million in revenue bonds in addition to using the Bay fee cash balances (See Attachment 1 for details). The primary reasons for the anticipated funding gap are the higher ENR project costs and the 15-year term limitation on the bay bonds, as required under the Maryland Constitution for State supported debt. MDE investigated the issuance of 20-year bonds, which would have allowed the State to issue $100 million more in revenue bonds than the 15-year term. However, it was later determined by the State Treasurer that since the BRF fee is assessed practically from all State residents, any bonds leveraged against the fee must have the same terms as the General Obligation debt, which is set by the State Constitution not to exceed 15 years.
The Advisory Committee will be evaluating the following options and will provide its recommendations as part of the next year annual report:
a. Increase the Bay fee, which is currently $2.50 per month per Equivalent Dwelling Unit. This option requires legislative approval.
b. Reduce the ENR grant, which currently is at 100% of eligible costs. This option does not require legislative approval as the law states that funding can be provided for up to 100% of eligible costs.
c. Reprioritize the upgrade of the 67 ENR projects while delaying or not undertaking the upgrade of certain WWTPs. This option does not require legislative approval as prioritization can be completed in accordance with the existing law. However, the requirements under the Bay Total Maximum Daily Loading (TMDL) need to be considered.
d. Seek Bay Restoration Fund statutory changes that allow the Bay fees to make debt service payment on bonds issued by local governments (for ENR eligible cost) that have a term of up to 30 years. MDE should seek legislative approval to make this option available even if MDE and local governments later decide not to exercise the option.
e. Seek Bay Restoration Fund statutory changes to discontinue the annual operation and maintenance grants, which can use up to $5 million of the fund annually.
As an initial step to eliminate the funding shortfall, the Committee supports MDE in seeking statutory changes that allow the Bay fees to make debt service payment on bonds issued by local governments (for ENR eligible cost) that have a term of up to 30 years. The Committee will be evaluating all the options and provide recommendations to fully close the funding gap as part of the next annual report.
Wastewater Treatment Plant Upgrades With Enhanced Nutrient Removal (ENR)
Status of Upgrades:
The Maryland Department of the Environment (MDE) is implementing a strategy known as Enhanced Nutrient Removal (ENR) and is providing financial assistance to upgrade wastewater treatment facilities in order to achieve ENR. The ENR Strategy and the Bay Restoration Fund set forth annual average nutrient goals of WWTP effluent quality of Total Nitrogen (TN) at 3 mg/l as "N" and Total Phosphorus (TP) at 0.3 mg/l as "P", where feasible, for all significant wastewater treatment plants with a design capacity of 0.5 million gallons per day (MGD) or greater. Other wastewater treatment plants may be selected by the Department for upgrade on a case-by-case basis, based on the cost effectiveness of the upgrade, environmental benefits and other factors. Specifically, Maryland's 67 major sewage treatment facilities are targeted for the initial upgrades.
MDE has taken advantage of the momentum generated by the existing biological nutrient removal (BNR) program and has proceeded with the ENR strategy as a continuation of the BNR program. Facilities that were in the planning or design phase to upgrade to BNR (achieving 8 mg/l total nitrogen) were asked to revise their plans to include ENR capability to achieve 3 mg/l total nitrogen and 0.3 mg/l total phosphorus. Consequently, ENR upgrades are underway at many plants, and to date, 10 facilities have been completed and are in operation. 10 other facilities are under construction, 25 are in the design stage, and 15 are in the planning stage. MDE is continuing to work to bring the remaining seven major systems into the program by urging the facilities to proceed with the ENR upgrade and/or by including nutrient loading limits and a compliance schedule in the discharge permits. The City of Salisbury has completed the construction to upgrade its treatment plant. However, the upgraded plant failed to achieve the ENR goal, and the City is proceeding with a corrective action plan to bring the facility into compliance.
The following are the facilities that have completed the upgrade and are in operation:
| No. | Facility | Design Flow in Million Gallons Per Day | Date Completed | Total Cost | BRF Cost | Nitrogen Load Reduction At Design Flow (Lbs/year) |
|---|---|---|---|---|---|---|
| 1 | Hurlock | 1.65 | May 2006 | $7,585,000 | $1,000,000 | 75,000 |
| 2 | Celanese | 2 | Nov. 2006 | $15,833,000 | $2,022,000 | 91,000 |
| 3 | Easton | 4 | June 2007 | $37,453,000 | $8,000,000 | 60,000 |
| 4 | Kent Narrows | 3 | Aug. 2007 | $35,019,000 | $6,493,000 | 137,000 |
| 5 | APG- Aberdeen | 2.8 | Mar. 2006 | $6,300,000 | $0 | 127,000 |
| 6 | Swan Point | 0.6 | May 2007 | $8,080,000 | $0 | 27,000 |
| 7 | Chestertown | 0.9 | June 2008 | $9,802,000 | $2,000,000 | 68,000 |
| 8 | Brunswick | 1.4 | Sept. 2008 | $14,945,000 | $8,263,000 | 63,000 |
| 9 | St. Micheals | 0.66 | Oct. 2008 | $13,036,000 | $2,000,000 | 30,000 |
| 10 | Indian Head | 0.5 | Jan. 2009 | $14,942,000 | $6,484,000 | 22,000 |
As an estimate of the total benefit of these capital projects, the above load reductions were determined based on the difference between what would be the facility's load without the upgrade versus the load with the upgrade at the ultimate design capacity. These load reductions would allow the upgraded facilities to maintain their Tributary Strategy loading caps of nitrogen and phosphorus even after reaching their design capacity and the 20-year projected growth.
Chesapeake Bay TMDL Implications:
In early November, 2009, the US Environmental Protection Agency (EPA) officially transmitted the watershed implementation plan (WIP) guidance and working target loads to the Bay States and Washington DC. Current model estimates are that the States' Bay water quality standards can be met at basin-wide loading levels of 200 million pounds of nitrogen per year and 15 million pounds of phosphorus per year. Maryland's current target loads are 41.04 million pounds of nitrogen per year and 3.04 million pounds of phosphorus per year.
The States and Washington DC are required to submit their preliminary Phase I WIPs to EPA by June 1, 2010. The WIPs must allow for attaining specific load reductions with 60% of the load reductions to be achieved by 2017 and the final targets by 2025. The WIPs must also:
* Identify Program gaps and strategy
* Commit to develop and implement 2-year milestones at the county scale
* Identify allowable loads
– for major river basin, tidal segment watershed, county and pollutant source sectors
– for each 2-year milestone load to full implementation no later than 2025
* Develop contingencies
Consequences of not achieving expectations may include:
* Assigning more stringent pollution reductions to regulated point sources (e.g., wastewater, stormwater, CAFOs)
* Objecting to state-issued NPDES permits
* Limiting or prohibiting new or expanded discharges (e.g., wastewater, stormwater) of nutrients and sediment
* Withholding, conditioning or reallocating federal grant funds
Maryland's strategy in developing segmentshed waste load allocations (WLA) is to assume that point source cap will achieve the WLAs through the ENR upgrades. To ensure the success of Maryland's TMDL strategy and to allow for attaining 60% load reductions by 2017, ENR upgrades need to be completed before that year.
Update on Fees from Federal Facilities
On July 19, 2006, the State of Maryland and the Department of Defense (DoD) signed a Memorandum of Understanding (MOU) to resolve a dispute regarding the applicability of the Bay Restoration Fee to DoD. The State's legal position is that the federal government is not exempt from paying the Bay Restoration Fund (BRF) fee; however, the DoD asserts that the BRF fee is a tax and that the State may not tax the federal government. On July 19, 2006, with the advice of counsel, the State chose to settle the matter with DoD rather than to litigate. In the MOU, neither party concedes any legal position with respect to
the BRF fee. The MDE has agreed to accept DoD's proposal to undertake nutrient removal upgrades at certain DoD-owned wastewater treatment plants at its own expense (estimated cost $22.5 million) in lieu of paying the BRF fee. No other Federal agency is exempt from paying the BRF fee.
One DoD facility, Aberdeen Proving Ground – Aberdeen, has been upgraded to achieve ENR level of treatment. MDE will continue to work with DoD to upgrade the other facilities as specified in the MOU. The goal is complete the targeted DoD facilities by 2012. Specifically, the following are the targeted DoD facilities with their projected construction completion dates:
Annual Operation and Maintenance Grants for the Upgraded Facilities:
Starting in fiscal year 2010 (FY 2010), the BRF legislation allows up to 10 percent of the annual fee generated from users of wastewater treatment facilities to be earmarked to provide grants for a portion of the operation and maintenance costs of the enhanced nutrient removal technology. To ensure that each upgraded facility receives a reasonable and fair amount of grant, MDE, in consultation with the Advisory Committee, is allocating the annual operation and maintenance grant at a rate of up to $18,000 per million gallons per day of design capacity of the facility not to exceed $216,000 per facility. On October 7, 2009, the Maryland Board of Public Works approved the following grants previously authorized under FY 2010 budget:
| ENR Wastewater Treatment Plant | Facility Owner/ Grant Recipient | | | | Maximum | Estimated Start of ENR Operation | Months in Operation In Calendar Year 2008 |
|---|---|---|---|---|---|---|---|
| | | | Approved | | Annual | | |
| | | | Design | | WWTP | | |
| | | | Capacity | | O&M | | |
| | | | (in MGD) | | Allowance | | |
| Brunswick | City of Brunswick | 1.400 | | $25,200 | | Sep-08 | 4 |
| Celanese | Allegany County | 2.000 | | $36,000 | | Nov-06 | 12 |
| Chestertown | Town of Chestertown | 0.900 | | $16,200 | | Jun-08 | 7 |
| Easton | Easton Utilities | 4.000 | | $72,000 | | Jun-07 | 12 |
| Hurlock | Town of Hurlock | 1.650 | | $29,700 | | May-06 | 12 |
| Kent Island | Queen Anne’s County | 3.000 | | $54,000 | | Aug-07 | 12 |
| Talbot Region II | Talbot County | 0.660 | | $11,880 | | Oct-08 | 3 |
For FY 2011, MDE is proposing the following grant allocations for facilities expected to be in operation during calendar year 2009:
| | | Approved | | Facility | Est. Start | | Months in | FY-2010 |
|---|---|---|---|---|---|---|---|---|
| | | Design | | Annual | of ENR | | Operation | O&M |
| Facility | | Capacity (in | Allocation | | Operation | In CY 09 | | |
| | | MGD) | | | | | | |
| Federalsburg | 0.75 | | $13,500 | | Aug-09 | 5 | | |
| Boonsboro | 0.53 | | $9,540 | | Nov-09 | 2 | | |
| Elkton | 3.050 | | $54,900 | | Sep-09 | 4 | | |
| Crisfield | 1.000 | | $18,000 | | Sep-09 | 4 | | |
| Indian Head | 0.500 | | $9,000 | | Jan-09 | 12 | | |
| Mattawoman | 20.000 | | $216,000 | | Jan-09 | 12 | | |
| Brunswick | 1.400 | | $25,200 | | Sep-08 | 12 | | |
| Celanese | 2.000 | | $36,000 | | Nov-06 | 12 | | |
| Chestertown | 0.900 | | $27,000 | | Jun-08 | 12 | | |
| Easton | 4.000 | | $72,000 | | Jun-07 | 12 | | |
| Hurlock | 1.650 | | $29,700 | | May-06 | 12 | | |
| Kent Island | 3.000 | | $54,000 | | Aug-07 | 12 | | |
| Swan Point | 0.600 | | $10,800 | | May-07 | 12 | | |
| Talbot Region II | 0.660 | | $11,880 | | Oct-08 | 12 | | |
House Bill 893 Implementation
House Bill 893, enacted on April 24, 2007, requires that: "Beginning January 1, 2009, and every year thereafter, the Department [MDE] and the Department of Planning shall jointly report on the impact that a wastewater treatment facility that was upgraded to enhanced nutrient removal during the calendar year before the previous calendar year with funds from the Bay Restoration Fund had on growth within the municipality or county in which the wastewater treatment facility is located."
As required by this legislation, MDP and MDE have advised the Bay Restoration Fund Advisory Committee regarding the best available information available to address this mandate, and the analysis of that data. MDE and MDP have concluded that the available data do not indicate that upgrading a wastewater treatment plant to ENR has had an impact on growth to date.
This first Report addresses the following Bay Restoration Fund financed facilities that were upgraded to ENR with Bay Restoration Fund and were completed prior to January 1, 2009:
* Celanese WWTP, Allegany County
* Chestertown, Kent County
* Town of Easton WWTP, Talbot County
* Town of Hurlock WWTP, Dorchester County
* KNSG (Kent Island) WWTP, Queen Anne's County
* Talbot Region II, Talbot County
* Brunswick, Frederick County
Available Capacity
The chart below illustrates that some of the plants increased capacity at the time of the ENR upgrade, and compares the actual 2008 flow with the original design capacity. As of 2008, flows at all of these facilities were well below design capacity. Therefore capacity was available to accommodate the 2008 growth independently of the ENR upgrade.
| | Design Capacity (MGD) | | |
|---|---|---|---|
| Facility | Original | At Upgrade | (MGD) |
| Celanese, Allegany County | 2.00 | 2.00 | 1.48 |
| Town of Easton, Talbot County | 2.35 | 4.00 | 1.93 |
| Town of Hurlock, Dorchester County | 2.00 | 1.65 | 0.46 |
| Kent Island (KNSG), Queen Anne's County | 2.00 | 3.00 | 1.60 |
| City of Brunswick, Frederick County | 0.70 | 1.40 | 0.39 |
| Town of Chestertown, Ken County | 0.90 | 0.90 | 0.66 |
| Talbot Region II, Talbot County | 0.50 | 0.66 | 0.34 |
The Data
MDP used three kinds of data to investigate the impact of ENR upgrades on growth:
1. Sewer Service Area Data. The boundaries of the areas served or planned to be served by sewer were obtained from County Comprehensive Water and Sewerage Plans. These boundaries are updated when the county plans are updated or amended.
2. PFA Area Data. PFA boundaries are determined by removing mapped PFA "comment areas" from locally certified PFAs. A "comment area" refers to an area certified by the local jurisdiction as a PFA, but which does not meet the PFA statutory criteria. PFA boundaries are updated regularly.
3. Parcel Point Data from Maryland Property View (MDPV). MDPV is a tax map and parcel information collection of county data. MDP used MDPV 2007 and 2008 data to identify parcels that had been improved by construction during the reporting year. An "improved parcel" is defined as any parcel with an improvement value of $10,000 or more. The information is updated once every twelve months, but the update may not coincide with a calendar year.
Analysis
For each wastewater treatment plant (WWTP) service area, MDP identified the number of parcels that had been improved in the reporting year. No distinction was made among types of uses – residential, commercial, etc. MDP assumed that improved parcels located inside of existing service areas (S-1)
(based on the County Water and Sewerage Plans) are connected to the WWTP and improved parcels located outside of existing service are on septic systems. This is the baseline against which the annual future changes in the number of connections will be measured. Note that, due to lagging data updates, it is possible in some cases that improved parcels in areas designated as planned service area (S-2) and the future service area (S-3) in County Comprehensive Water and Sewerage Plans could be connected to the public sewer system.
The focus of the analysis is on the number of newly improved parcels from one year to the next. MDP has identified these parcels as being inside or outside an S-1 service area and inside or outside the PFA. The analysis is presented in the table below. The vast majority of new lots in areas assumed to be served by WWTPs that have been upgraded with BRF money are in PFAs.
Table 1 - Base Year Connections to 2008 Completed ENR Upgraded WWTPs Inside and Outside of PFAs
| ENR WWTP | | Start of Operation Date | Number of Connections Inside PFA 2007 | Number of Connections Inside PFA 2008 | | |
|---|---|---|---|---|---|---|
| | | | | | | Number and |
| | | | | | | Percent of All |
| | | | | | | Connections |
| | | | | | | Outside PFA |
| | | | | | | 2007 |
| | | NOV-06 | 1854 | 1871 | 64 / 3.3% | |
| | Celanese, | | | | | |
| | Allegany County | | | | | |
| | | JUN-07 | 5899 | 6067 | 102 / 1.7% | |
| | Town of Easton, | | | | | |
| | Talbot County | | | | | |
| | | MAY-06 | 796 | 794 | 6 / 0.7% | |
| | Town of Hurlock, | | | | | |
| | Dorchester | | | | | |
| | County | | | | | |
| | | AUG-07 | 6134 | 6176 | 504 / 7.6% | |
| | Kent Island | | | | | |
| | Queen Anne's | | | | | |
| | | JUN-08 | 1545 | 1606 | 236 / 13.3% | |
| | Chestertown, | | | | | |
| | Kent County | | | | | |
| | | SEP-08 | 2100 | 2110 | 67 / 3.1% | |
| | Brunswick, | | | | | |
| | Frederick County | | | | | |
| | | OCT-08 | 1003 | 1006 | 205 / 17.0% | |
| | Talbot Region 2, | | | | | |
| | Talbot County | | | | | |
Table 1 shows that the number and percentages of connections outside of the PFA varies significantly from one service area to the next. Connections occur outside of the PFA for a number of reasons. Sometimes sewer service is extended beyond the PFA to address a public health problem, such as failing septic systems. Some service areas were established before the PFA law. Even today, however, there is no requirement that Water and Sewerage Plans be consistent with the PFA boundaries: State law requires only that Water and Sewerage Plans be consistent with the local Comprehensive Plan. The sole purpose of PFAs is to focus State investment programs listed in the PFA statute into PFAs. As discussed elsewhere, the BRF is not a listed program. Notwithstanding the lack of a requirement that these two plans be consistent with PFA boundaries, MDP and MDE encourage the County Water and Sewerage and local comprehensive planning processes to direct growth to designated Priority Funding Areas. The Easton Wastewater Treatment Plant received an ENR upgrade during the 2007- 2008 BRF Annual Reporting Period. Of the seven upgraded wastewater treatment plants reported in this 2010 BRF Report, the Town of Easton has experienced the most significant growth in terms of newly improved parcels (or connections) in its Existing Sewer Service Area (S-1) and inside the portion of PFA that overlies its sanitary districts (S-1, S-2, S-3 and NP). In 2007, MDP determined that Easton had 5,899 improved parcels inside of the PFA portion of its sanitary district. In 2008, the analysis indicates 6,067 improved parcels inside of the PFA portion of its sanitary district. Approximately, 6,000 of these improved parcels are presently located in the Existing Sewer Service Area (S-1). This is a significant increase from 2006, when Easton had approximately 5,600 improved parcels within its Existing Sewer Service Area.
The maps of Easton on pages 32 and 33 illustrate the locations of newly improved parcels and previously improved parcels with respect to sewer service areas and the PFA, respectively. The first map shows all improved parcels (red dots) from the previous reporting year and all of the newly improved parcels (yellow dots) of the current reporting year that fall within the S-1 (Existing Service) Sewer Service Category. The second map shows the overall relationship between the Easton Sanitary District (S-1, S-2, S-3 and NP) and the certified Priority Funding Area (PFA).
Onsite Sewage Disposal System (OSDS) Upgrade Program
OSDS Identification and Billing
There are an estimated 420,000 OSDS's in Maryland that needed to be identified by local jurisdictions and billed. Working with the Advisory Committee, Maryland Department of Planning and the State Department of Assessment and Taxation, all jurisdictions have identified, and are now billing, septic system users.
Use of the OSDS BRF
The Bay Restoration Fund legislation states that funds generated by the OSDS user fee may be used for the following:
With priority first given to failing systems and holding tanks located in the Chesapeake and Atlantic Coastal Bays Critical Area and then to failing systems that the Department determines are a threat to public health or water quality, grants or loans for up to 100% of:
A. The costs attributable to upgrading an onsite sewage disposal system to the best available technology for removal of nitrogen;
B. The cost difference between a conventional onsite sewage disposal system and a system that utilizes the best available technology for the removal of nitrogen;
C. For a low income user the cost of repairing or replacing a failing onsite sewage disposal system with a system that uses the best available technology for nitrogen removal
D. The cost, up to the sum of the costs authorized under item A of this item for each individual system, of replacing multiple onsite sewage disposal systems located in the same community with a new community sewerage system that is owned by a local government and that meets enhanced nutrient removal standards.
Above items C and D were not included in the initial legislation; rather they were added in subsequent legislative sessions.
Best Available Technology (BAT)
The Department developed a procedure for determining which technologies should be considered grant eligible, and the BRF Advisory Committee established a workgroup that included local health and public works agencies and industry representatives, to develop specifications for approved OSDS technologies. Referred to as Best Available Technology (BAT) Workgroup, this group of professionals was responsible for establishing the procedures for determining what specific types of systems will be eligible for grants under the OSDS portion of the BRF. MDE and the BAT workgroup reviewed programs in other states, published research and third party verification programs. Current research indicates that nitrogen discharges from OSDS's can be reduced by 50 to 60 percent.
The BAT Workgroup adopted a protocol used by the Environmental Protection Agency for Environmental Technology Verification (EPA/ETV) to establish a procedure to verify the performance of proprietary nitrogen reducing OSDS. During the past year one new technology was added to the approved list bringing the total number of proprietary technologies that have been evaluated by the EPA/ETV program and are eligible for BRF funding in Maryland to thirteen. A review team comprised of two engineers from MDE and one County Environmental Health Director review applications to ensure that each technology has been third-party evaluated to a standard at least as stringent as the EPA/ETV's.
For non-proprietary technologies the vendor/applicant must provide a detailed description of the technology process illustrating sound scientific fundamentals and engineering practice. Acceptable technologies may be approved as a highly managed system. Highly managed systems must have either a renewable operating permit or be managed as part of a service district. No jurisdictions have availed themselves of the use of highly managed systems.
The BAT protocol requires an application for technology review to be submitted to MDE. The technical review team with experts in the field will review each application for approval of a particular technology and information collected to verify the effectiveness of that technology. If the technology has not undergone independent third-party verification or certification indicating consistent reduction of more than 50 percent of the nitrogen, the technology will be allowed a limited number of types of installations. These technologies will be monitored for a one to two-year field evaluation period. After this period the technical review team will determine if the technology receives an unconditional approval, needs further field testing or is rejected from the program. This evaluation period will allow the Department to further define what should be considered a BAT and to perform cost benefit analyses.
One vendor failed to perform the required sampling and approval of this technology was suspended until the sampling is 75 percent complete and the data reviewed. Three technologies have completed the required sampling; two of the technologies removed approximately 60 percent of the nitrogen and one of the technologies a borderline 50 percent. For the borderline 50 percent technology, the data is under review at the time of drafting this report to determine if it should remain an approved technology.
BAT Project Selection
The goal of the OSDS portion of the BRF is to curtail the amount of nitrogen discharged from OSDS into the waters of the State. This benefits the State by helping to restore the estuarine environment and provides for better protection of drinking water supplies. The Bay Restoration Fund statute states that funds may be used to provide grants for the incremental cost of upgrading OSDS to BAT for nitrogen removal. Only as a lesser priority for low income users can the BRF provide funding for an entire OSDS replacement or repair that includes BAT and other material (gravel & pipe) and labor costs related to the directly the repair or replacement. The Department recognizes that operation and maintenance, design review, installation inspection and project management are essential parts of the cost of upgrading OSDS to BAT for nitrogen removal. The BRF grant funds will cover the initial cost of purchasing and installing the BAT unit. The cost for the initial 5 years of operation and maintenance may also be included in the cost of purchasing the BAT technology. The local implementing entity may also use a portion of the BRF funds for reasonable costs associated with identifying individual applicants, reviewing plans, and inspecting BAT unit installations.
The Department has outsourced some elements of the OSDS portion of the BRF implementing OSDS upgrades using the BRF funds granted to county and municipal government agencies. These agencies may, with approval from MDE, make grants to OSDS users who agree to upgrade their systems and provide the necessary ongoing operation and maintenance. As mandated by the legislation, addressing failing systems in either the Chesapeake Bay Critical Area or the Maryland Coastal Bay's Critical Area is highest priority.
There has been an overwhelming response to the Department's outreach campaign that has necessitated prioritizing funding awards for grants from the Bay Restoration Fund. As of December 31, 2009, 1,998 septic systems have been upgraded. At the same time last year, 504 systems had been upgraded. In April, May and June of 2008, the Department received 120 applications for septic system upgrades. For the same period in 2009, the Department received 1,261 applications. The overwhelming demand for BRF grants has necessitated the prioritization of applications. BRF grants continue to be made for BAT upgrades at failing systems in the Critical Area. This is the highest priority established by code; failing systems not in the Critical Area are the next highest priority. Applicants other than those with a failing system in the Critical Area are being waitlisted until July 1, 2010, at which time the available funds will be re-evaluated. Property owners that proceed with an upgrade at their own expense are not be eligible for reimbursement.
As of October 2009, the Department had waitlisted 2,800 applications for grants. The Department took a number of steps to manage this situation. These steps were carefully crafted to continue to generate enthusiasm and awareness of the need for upgrades, while at the same time managing expectations about the availability and timing of funds.
The steps included: targeting funds based on law and fund availability, implementation of income-based funding criteria, the "reprogramming" of unspent county grant funds, and an updated outreach campaign. Each of these steps is detailed below.
Targeting
State law had already established priorities for Fund expenditures. The priorities, ranked from high to low, are as follows:
1. Upgrades for failing systems located in the Critical Area;
2. Failing systems outside of the Critical Area
3. All other systems including new and replacement systems
Based on the law, the Department began targeting available funds for failing systems in the Critical Area. Local jurisdictions administering the Program have been directed to follow the prioritization scheme. The Department will reassess availability of Funds for other systems by July 1, 2010. Any available funds will then be made available to applicants on the waiting list. The targeting prioritization is as follows:
1. Failing systems or holding tanks in the critical area
2. Failing systems outside of the critical area
3. New or replacement systems in the critical area
4. New or replacement systems outside the critical area
Implementation of Income Based Funding Criteria
The Department drafted plans to implement income-based funding criteria. To ensure an equitable distribution of the limited funds, grants for upgrading on-site sewage disposal systems would be awarded on a sliding scale based on federal income tax brackets. All commercial property, rental property, seasonally-occupied property, non-residential property, non-primary dwellings and property not owneroccupied would be eligible for a grant not to exceed 25 percent. The amount of the grant for an owneroccupied primary residential property would be a percentage based on projected federal income-tax brackets for 2008. The Department estimates that income based funding criteria will reduce State fund expenditures by about 40%. MDE intends to allocate the additional funds to eligible upgrades in priority order. While informed of the Departments intent to implement income-based funding criteria the Committee did not have time to evaluate the criteria and offer advice on the matter.
| % grant | Tax rate | 2008 taxable income Married couples filing jointly or Household Income |
|---|---|---|
| 100 | 10 % to 15 % | Up to $65,100 |
| 75 | 25 % | $65,101 to $131,450 |
| 50 | 28 % | $131,451 to $200,3000 |
| 25 | 33 % to 35 % | Over $200,301 |
Reprogramming of Unspent County Grant Funds
Through October 2009, the Department has closed out grants to six counties whose grant term had expired, making $586,000 available for reprogramming. Charles, Calvert, Harford, Cecil and Wicomico Counties have funds that have not been awarded to individual projects. These Counties have been notified to only fund systems that are failing in the critical area. In February 2010, the Department will evaluate the Fund's status and prioritize any further commitments.
Outreach
The Department is redirecting outreach to education rather than proactively promoting septic upgrades through the Bay Restoration Fund. Presentations on implementing SB 554 and the availability of Funds have been made to the Conference of Environmental Health Directors, the Maryland Onsite Wastewater Professionals Association, a Board of Realtors Continuing Education Session and to Tributary Strategy Teams.
Payment to Contractors
There have been instances where homeowners received a BRF grant from the state in order to upgrade their septic system, but have not used the money to pay the contractor responsible for the installation. To this point, MDE has only issued grant money directly to the homeowner, not the contractor. However, after some consideration, the Department has revised its policy about direct payments. Beginning with applications approved on or after January 3, 2010, the Department will ask homeowners to authorize payment directly to the vendor. Once the homeowner has indicated that the work has completed to satisfaction, MDE will issue the amount of the grant to the contractor.
Projects awarded before January 3, 2010 will proceed with payments directly to the homeowner. Should MDE be notified that a grant has been issued for an application approved before January 2, 2010 without payment to the contractor, the Department will issue a Dunning letter which will remind the homeowner of the intended use of the grant money and that the only legally permissible use of the funds is for payments to the approved contractor for upgrading the system.
Cover Crop Activities (Maryland Department of Agriculture)
Recent Program Streamlining and Targeting to Achieve Maximum Nutrient Reduction:
In FY2008, under the auspices of the BayStat management strategy, MDA working in conjunction with the University of Maryland Center for Estuarine Studies, organized a group of scientists to provide information on how best to utilize available funds for cover crops to achieve the greatest nutrient reductions. The findings included:
1. planting cover crops as early as possible in the fall
2. planting after crops that need higher fertilizer rates, such as corn and vegetables
3. using cover crops on fields that were fertilized using manure
4. planting method
5. use of rye
MDA applied these criteria to both the FY 2009 and FY2010 Cover Crop Programs by structuring the incentive payments to reward farmers who adhered to one or more of these priorities. Additional incentives were also provided for farmers who planted cover crops in priority watersheds selected in the BayStat process for a targeted effort by State agency actions.
In 2009, the Maryland Department of Agriculture engaged the Schaefer Center for Public Policy to conduct a follow up survey which resulted in questionnaires being sent to 5,600 agricultural operators across the State. The survey builds on those conducted in 2005 and 2006. The purpose was to assess the
Cover Crop Program and identify improvements that would result in additional acreage enrolled in the program.
Findings from the survey indicate the largest impediment to planting cover crops (mentioned by 70% of respondents) is the time available following harvest for the farmer to accomplish planting within established deadlines. Recommended changes to the program included partial payments in the fall and increasing the base payment rate per acre. 80% of respondents rated the program good to excellent overall, 91% rated customer service good to excellent and the majority of respondents believed that the program criteria is clear. The incentive structure influenced earlier planting (58%), previous crop type (52%) and manured fields (21%). Most farmers favored instituting an acreage cap if resources were scarce.
MDA also convened a meeting of agencies involved in delivery of the Cover Crop Program. Although most who attended were Soil Conservation District personnel, University of Maryland researchers and some cooperating agencies were also in attendance. Participants emphasized building in program flexibility when possible, especially as concerned traditional and commodity cover crop options.
Recommendations incorporated into the 2010 Cover Crop Program included offering a partial payment in the fall and instituting an acreage cap to ensure equity due to decreased funding levels. To increase flexibility MDA offered a blended cover crop program, allowing farmers to enroll both traditional and commodity (harvestable) acres under the same contract and allowing them to designate acres to be harvested in the spring rather than at sign-up.
Status of Implementation of BRF for Cover Crop Activities:
The Maryland Department of Agriculture portion of BRF funds is $ 20,681,000 as of June 30, 2009. In 2009, an additional $3.08 million from the 2010 Chesapeake Bay Trust Fund was also utilized to fund the Cover Crops Program. MDA will process a budget amendment to transfer the one-time legislative allocation of $5 million from the MDE 60% CBRF allocation in FY2010.
Potential Funding Gap
Attachment 1
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Sewer Service Areas
Attachment 2
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|
OPTIMAL VELOCITY MODEL WITH DUAL BOUNDARY OPTIMAL VELOCITY FUNCTION
Hao Wang 1,2 1
: Affiliation: School of Transportation, Southeast University
Address: 2, SiPaiLou, Nanjing, China, 210096
Phone: (+86) 13951920162
Email: email@example.com
2
: Affiliation: Department of Civil & Environmental Engineering, University of California, Davis
Address: 1, Shields Avenue, Davis, CA 95616
Phone: 530-304-1632
Email: firstname.lastname@example.org
Abstract:
This paper proposes a Dual Boundary Optimal Velocity Model (DBOVM) by substituting a Dual Boundary Optimal Velocity Function (DBOVF) for the original one in the Optimal Velocity Model (OVM). The proposed DBOVM can describe the driving behavior of accepting a range of satisfied conditions instead of an optimal one under steady traffic. The speed adjustment mechanism is introduced into the DBOVM, by which traffic flow can reach the steady state everywhere inside of the dual boundary steady region. Properties of traffic state transition in the law of DBOVM are analyzed. The approximately linear path of state transition is found, and four typical state transition patterns are presented. Besides, the stability of DBOVM is studied by means of numerical simulations. It is found that the dual boundary steady region has the hysteresis effect that is similar to the explicit time delay in the OVM. The speed adjustment mechanism can restrain the hysteresis in some extent and improve the traffic stability. The dual boundary steady region in the general DBOVM allows the traffic flow to reach some new steady state slightly apart from the formal one under the effect of small perturbation, which does not exist for models containing one dimensional optimal velocity functions.
1 INTRODUCTION
Car following models, as one of the most useful tools for describing traffic dynamics, have been developed for more than six decades. There are two main objectives in the car following process: (ⅰ) reducing the speed difference and (ⅱ) maintain an appropriate spacing between the following vehicle and the leading vehicle. Most early models as represented by GHR models were developed based on the first objective, but failed to describe the second one. Newell (1961) proposed a different model which successfully captures the characteristic of car following behaviors in maintaining an optimal spacing corresponding to the driving speed. However, due to the speed expression of Newell model, it is not convenient to be used in traffic simulations. Thirty years later, a new model called Optimal Velocity Model (OVM) was developed (Bando et al. 1995 & 1998). Similar to Newell model, the OVM contains the optimal velocity function, which allows the following vehicle to adjust its speed towards the optimal one, and consequently maintaining the appropriate spacing. Moreover, the OVM does not have a time delay in its model expression, which makes it convenient for theoretical analysis. Because of these advantages, the OVM has drawn widespread attention during the last twenty years (Helbing and Tilch 1999; Jiang et al. 2001).
The optimal velocity function assumes that there is a one-to-one correspondence between the spatial headway and the optimal driving speed in steady traffic state. However, such assumption may be too ideal from the driver's perspective (Boer 1999). Experience tells us that drivers are satisfied with a range of conditions instead of an accurate optimal performance. Actually, this fact was also noticed in some early studies related to the psychophysical or action point models (Brackstone and McDonald 1999). The action point models classify the driving conditions into several scenarios separated by threshold boundaries in the "spacing-relative speed" diagram. Drivers will not adopt acceleration or deceleration until the changes in conditions exceed the thresholds of drivers' perception. For instance, the Fritzsche model (Fritzsche 1994) and the Wiedemann model (Wiedemann and Reiter 1992) have a twodimension zone in the "spacing-relative speed" diagram, within which drivers are satisfied with current conditions and maintain their speeds regardless of the performance of leading vehicles. Though the fundamentals of the action point model are closer to the real driving behaviors, the complexity of model structure and the difficulty in calibration of thresholds restrict its application in theoretical research areas.
Another question about the assumption of optimal velocity function in OVM came from the macroscopic observations of freeway traffic flow in recent years. Kerner and Rehborn (1996a & 1996b) first reported the widely scattered data of congested traffic in the fundamental diagram. Moreover, it was found that even the unstable data being removed, the remained steady traffic data still scatter in a two-dimension area in the flow-density plot. These empirical findings indicate that there might be an acceptable range of spacing within which drivers are satisfied. In order to model such phenomenon, several microscopic traffic flow models were developed in recent years (Kerner and Klenov 2002 & 2006; Davis 2004; Gao et al. 2009). Though solutions of steady state in these models occupy two-dimension areas, the numbers of parameters are more than the OVM, which increases the complexity of models and reduces the efficiency.
In this paper, a Dual Boundary Optimal Velocity Model (DBOVM) is proposed with the original optimal velocity function replaced by a Dual Boundary Optimal Velocity Function (DBOVF). The DBOVF is determined by two optimal velocity functions with different parameter values, which provides a range for spacing choosing in steady state. By introducing the DBOVF into the original OVM, the new model allows drivers to reach their steady states
within a wide region instead of a specific optimal solution. Besides, the DBOVM also shows some interesting properties different from the original OVM, which are also worthy of attention.
The rest of the paper is organized as follows. First, the basic DBOVM and a simple example of DBOVF are presented in section 2, and then stability analysis based on numerical simulation is conducted. In section 3, a more general form of DBOVM is proposed, and some related model properties are analyzed. Some results of comparison analysis between the DBOVM and the original OVM are also provided through numerical simulations. Finally, the possibility of model extension is discussed.
2 BASIC DUAL BOUNDARY OPTIMAL VELOCITY MODEL
2.1 The Model
Considering the facts that drivers would like to accept a range of spacing instead of an optimal one, we assume that the steady state occupies a two-dimension area in the speed-spacing diagram. As shown in Figure 1, there are two boundaries in the steady state region. Each boundary can be formulated by a certain type of optimal velocity function. The two boundaries of the steady state divide the speed-spacing diagram into three regions. In region Ⅰ, the spacing is too small for the driver to accept, and the driver will reduce the speed towards the optimal speed indicated by the left boundary optimal velocity function. In region Ⅲ, the spacing is too large, and the driver will accelerate towards the optimal speed indicated by the right boundary optimal velocity function. In regionⅡ, the driver is satisfied with current conditions, and will not change the speed until the vehicle moves out of this steady region.
x
FIGURE 1 Illustration of dual boundary optimal velocity function.
According to above assumptions, the basic DBOVM is expressed as follows.
where n x t denotes the position of the nth vehicle, is the sensitivity parameter, L n V x and R n V x denote the optimal velocity functions of left boundary and right boundary respectively. The space headway is noted as 1 n n n x t x t x t .
2.2 Simple Example of Dual Boundary Optimal Velocity Function
Many types of optimal velocity functions were proposed during the history of traffic flow studies. Among them there are three typical types which were used most widely by researchers, namely, the convex type represented by the exponential function (Newell 1961), the piecewise linear function represented by triangle fundamental diagram model (Daganzo 1994), and the Sshape function (Bando et al. 1995). In order to make comparison with the original OVM, we use the Bando's S-shape function as the boundary function to build the DBOVF. Before modeling the DBOVF, two requirements are considered as follows:
( ) ⅰ The range of spacing in the steady state increases with the speed increasing;
( ) ⅱ For a given speed e v , the smallest and largest spacing in steady state are
1 L L e x V v and 1 R R e x V v , then the derivatives of the two boundary-optimal-velocityfunctions at L x and R x should satisfy the following inequation L L R R V x V x .
The first requirement comes from the studies on psychophysical car following models (Michaels 1961; Evans and Rothery 1977). These studies indicated that drivers perceive spacing changes through changes on visual angle subtended by the vehicle ahead. Under such a concept, the range of spacing in steady state may also be perceived through a change on visual angel, which is supposed to be nearly stable for various driving speeds. As the visual angle approximates to the ratio of the vehicle width to the spacing and the spacing generally increases with the speed increasing, the range of spacing is positively correlated to the driving speed.
The second requirement is from the consideration that the deceleration is usually stronger than the acceleration at the margin of steady state. Suppose a vehicle moves a small distance away from the left boundary of steady state L x , with the speed remaining as e L L v V x .
Then, the deceleration dec a according to the DBOVM is
Expanding Equation (2) at L x and ignoring the higher order terms, we get
When the vehicle moves a small distance away from the right boundary of steady state R x , we similarly have the acceleration acc a as
Therefore, the requirement of L L R R V x V x ensure the asymmetry between the acceleration and the deceleration, i.e. dec acc a a .
The S-shape optimal velocity function used in Bando's work (1998) is given as
where all parameters, 1 V , 2 V , 1 C , 2 C are positive values. Based on the requirements discussed above, we build a simple DBOVF as follows.
and the two boundary-optimal-velocity-functions are given by
The parameter 1 C in the original OVM is replaced by 1L C and 1R C , which correspond to the left boundary and the right boundary respectively. The proposed DBOVF has a very simple model
structure and satisfies all the requirements listed above. In the following parts of this section, we will use it together with Equation (1) as the basic DBOVM to explore the properties of the model.
2.3 Stability Features of the Basic DBOVM
As a multiphase car following model, the DBOVM does not have a uniform model expression, which makes it difficult for the analytical stability analysis. In view of this fact, we hereby use numerical simulations to study the stability features of the basic DBOVM.
2.3.1 Local Stability
Treiber and Kesting (2013) gave a detailed theoretical analysis on traffic stability in their recent book. It is pointed out that all time-continuous car-following models with a negative derivative of acceleration with respect to speed are unconditionally locally stable, if there are no explicit reaction times in models. Recall the dual-boundary-optimal-velocity-function displayed in Figure 1, the basic DBOVM satisfies the criterion suggested by Treiber and Kesting when the local traffic state is located outside of the dual boundary steady region. However, as the driver does not perform any acceleration within the steady region, it delays the driver's response to the leading vehicle when the traffic state moves through the dual boundary region in the speedspacing phase diagram. Therefore, the basic DBOVM is analogous to the OVM with explicit delay (Bando et al. 1998) in some extent. The simulation studies on the local stability of the basic DBOVM are as follows.
In order to make a comparison study, we use the same parameters as the early literature (Bando et al. 1998) used for the original OVM, namely, 1 15.3 m/s V , 2 16.8 m/s V ,
C
-1
1
-1
1
0.086 m
,
2
2.1
C , and 2.0 s
. For the basic DBOVM, we set
1
0.088 m
L
C
,
-1 1 0.076 m R C , and remain all the other parameters the same as in the original OVM.
Three vehicles are considered in the local stability studies. All vehicles are in steady state at the beginning of the simulation. For the studies on the basic DBOVM, the initial state of vehicles should satisfy either the left or the right boundary optimal velocity function. Otherwise, the following vehicles may not respond to the perturbation from the leading vehicle according to the law of the basic DBOVM. Therefore, three simulations are conducted for three different scenarios respectively, which are (ⅰ) initial state on the right boundary of steady region, (ⅱ) initial state on the left boundary of steady region, and (ⅲ) initial state satisfying the optimal function in original OVM. All three simulations begin with the driving speed of 10 m/s for all vehicles. Such a speed ensures that the initial condition satisfies the string stability criterion of the original OVM (Bando et al. 1995). Then a small perturbation is added on the leading vehicle by giving its position an instantaneous change (either increasing by 1 m or reducing by 1m). The simulations are conducted with the time step of 0.1 s, and results of the simulations are illustrated in Figure 2.
Let us first focus on the two subplots in the left side of Figure 2, which show the speedheadway phase diagram and speed time series of the simulation for the first scenario. Data of the first following vehicle and the second following vehicle are presented in red and blue respectively. The numbers of seconds counted from the beginning of the simulation are marked beside the data points in the phase diagram. Two black curves represent the left boundary and the right boundary of DBOVF respectively. At the beginning (t=0), both two following vehicles stay on the right boundary of steady region. The perturbation is added onto the leading vehicle at the first second. We can clearly see that the state points spiral counterclockwise towards the initial
steady state around the left and right boundaries. After 30 seconds, the two following vehicles are still unable to return to the initial steady state. Though the perturbation is quite small (less than 5% of the initial spacing), it is slightly amplified during it propagating upstream. We can find in the phase diagram that the blue state transition trajectory of the second vehicle is outside of the red trajectory of the first vehicle.
In the second scenario, both two following vehicles stay on the left boundary of the steady region at the beginning. Similarly, the small perturbation is added onto the leading vehicle at the first second. The results of the simulation are displayed in the two subplots in the middle of Figure 2. We find the similar dynamical properties as shown in the first scenario. The states of the following vehicles move clockwise towards the initial steady state in a very slow manner. Moreover, the amplification of perturbation is also observed during it propagates upstream.
The two subplots in the right hand side of Figure 2 give the results of the simulation for the third scenario. Under the law of original OVM, the following vehicles return to the initial steady state much faster through smaller spiral trajectories. Both two following vehicles are found to recover to their initial steady state 6 seconds after the perturbation added.
Since the driver does not perform any acceleration in the two-dimension-region of steady state according to the basic DBOVM, it takes long time to converge to the steady state. Such
property may not have remarkable influence on the local stability of the basic DBOVM, whereas the slow convergence is likely to amplify the perturbation through the propagation. The following gives the simulation result of the dynamics of the basic DBOVM in a long platoon.
2.3.2 A Case of Perturbation Propagating along Platoon
We let all parameters remained the same as in the local stability studies. The platoon on the open boundary road involves 200 vehicles in the simulation. The initial speed and spacing are 5 m/s and 18.2 m for all vehicles in the platoon, which satisfies the right boundary optimal velocity function of the two-dimension-steady-region. Then the perturbation is added 10 seconds after the beginning of the simulation by giving the first vehicle's position a sudden increment of 1 meter. The time step is 0.1 s. The initial conditions above ensure the string stability for both two boundary optimal velocity functions under the law of original OVM (i.e. 2 V x ).
However, simulation for the basic DBOVM shows that the platoon is string unstable, as illustrated in Figure 3.
A very slight acceleration wave can be found propagating upstream after the perturbation occurs. Then a deceleration wave appears followed by another acceleration wave. After about 360 s from the beginning, the deceleration wave merges into the following acceleration wave, which is again followed by a new deceleration wave. From Figure 3 we can clearly see that the small perturbation finally induces a stop-and-go wave during its propagation to the upstream of the platoon.
The simulation above indicates that the string stable criterion of the original OVM for the condition on boundary optimal velocity functions may not ensure the string stable of the basic DBOVM. In other words, the two-dimension-steady region in the basic DBOVM reduces the stability of traffic flow. The mechanism and some amendments about the model are given in the following parts of the paper.
3 GENERAL DUAL BOUNDARY OPTIMAL VELOCITY MODEL 3.1 The Model
In order to overcome the flaw in the basic DBOVM, we modify the model by introducing the speed adjustment mechanism into it. In the new model, drivers are allowed to adjust their driving speeds towards the speed of leading vehicles within the dual boundary steady region. The modified model is given below.
where is the sensitivity parameter of the speed difference between the leader and the follower. The speed adjustment mechanism captures the fact that drivers try to duplicate the speed of the vehicle ahead and maintain a stable spacing once they drive into their satisfied range of conditions, namely, the dual boundary steady region. As the basic DBOVM can be regarded as a special case of the new model ( 0 ), we call the new model general DBOVM.
3.2 Properties of State Transition
According to the general DBOVM, the dynamic properties of vehicles are just the same as under the law of original OVM, when the traffic state locates outside of the dual boundary steady region in the speed-spacing diagram. In the following, the properties of state transition induced by the speed adjustment mechanism inside of the dual boundary region are analyzed.
3.2.1 Path of State Transition
Suppose the state of then
th vehicle is located inside of the dual boundary steady region at time
tas shown in Figure 4(a). The speeds of thenth vehicle and the vehicle ahead are
1 n
x t
n
x t
and respectively. According to the law of general DBOVM, the acceleration of the
n
th vehicle at time
tis given by
Assume that the vehicle moves with constant acceleration during a very small time interval, then speeds of the nth vehicle and (n-1)th vehicle at time t can be expressed as
Then, the change of the spacing between the nth vehicle and (n-1)th vehicle during the time interval can be calculated as follows:
Therefore, the slope of the state transition path from time t to t in the speed-spacing phase diagram can be derived as
By substituting Equations (8), (9a), (9b) and (10) into Equation (11), we finally get
Equation (12) indicates that the slope of the state transition path approximates to the sensitivity parameter in the general DBOVM when (ⅰ) the time step in the numerical calculation approaches zero or (ⅱ) the following vehicle and the leading vehicle have similar accelerations. Specifically, when the speed of the leading vehicle remains stable (i.e. 1 0 n x t ), the slope of the state transition path is expressed as
Considering that the time step used in numerical simulation for car following models is usually quite small (e.g. 0.1s ), the slope of the state transition path can be approximately expressed as everywhere within the dual-boundary-steady-region. As shown in Figure 4(b), the dual boundary steady region involves numerous parallel linear paths of state transition, as represented by the red lines in the figure. Once the traffic states reaches the boundaries of the steady region, the traffic states move along the state transition paths until converging at steady states. Figure 5 presents some simple scenarios of traffic states transitions in the speed-spacing phase diagram.
Suppose the leading vehicle's speed remains stable at 1 n x t during the traffic state transition of the following vehicle. The numbers in the figure denote the traffic states in terms of time series. The black solid dots represent the final steady states, which are always located at the horizontal line with the speed equal to 1 n x t . Figure 5(a)-5(c) display the paths of state transitions from the start points (remarked by the number "1") to the final steady state (black solid dots). From Figure 5(a), we can find that the traffic state can converge to the steady state directly, if the initial state-transition-path along which the traffic state enters the dual-boundaryregion has intersection point with the speed horizontal line of the leading vehicle. Otherwise, traffic state has to firstly move across the dual boundary region along the state-transition-path, and then spirals into the dual boundary region again to reach the final steady point (see Figure 5(b) and 5(c)).
For most cases, there is at least one critical point on the boundary where the derivative equal to the slope of the state transition path. Figure 5(d) gives a special case, in which four critical points (point A, B, C, and D) exist on the two boundaries as represented by the blue solid dot. Let us take the critical point A for example. When the speed of leading vehicle is lower than that of the speed at point A, all the initial states that located in the right hand side of point A cannot find paths within the dual boundary region for state transitions. Instead, the state transition paths for such initial states go zigzag against the boundary until passing the critical point A, and then approach the final steady state along the state transition path. For the neighborhoods around other critical points, we can find similar properties of the state transitions, which are not necessary to go into details here.
3.2.2 Convergence of Traffic State
After obtaining the state transition paths within the dual boundary steady region, another interesting question is in what manner the traffic state moves along the state transition path. Suppose the nth vehicle reaches the right boundary of the two-dimension region at time 0 t in a deceleration process. The speeds of the nth vehicle and the vehicle ahead are denoted as 0 n x t and 1 0 n x t , and we have 0 1 0 n n x t x t . For the sake of convenience, we assume that the leading vehicle keeps the speed 1 0 n x t stable. For a given time step, the speed of the nth vehicle at time 0 t can be derived according to model Equation (7) as follows:
Similarly, the speed of the nth vehicle at time 0 t m is
By recursive method, we obtain the solution of Equation (15) as
Then, the speed difference between the nth vehicle and the vehicle ahead at time 0 t m can be expressed as
Equation (17) indicates that the speed difference between the following vehicle and the leading vehicle drops by 1 in every time step. Specifically, the speed difference drops by 1 per second, when the time stepequal to 1 second. If 1 0.5s , the speed difference drops by half per second, which also means that the distance between the current state and the final steady state along the state transition path is shortened by half every second as shown in Figure 6. Then, after 3 seconds, the speed difference drops to 1 8 times of the initial value, and the following vehicle is approaching stable.
Recalling the basic DBOVM proposed in Section 2, as the slope of the state transition path equal to zero, the speed difference cannot get any reduce during the state transition within the dual boundary steady region. That's why we find that the basic DBOVM always takes an unreasonable long time to approach the steady state. Moreover, the state transition paths in the basic DBOVM are horizontally distributed within the steady region, which indicates that the traffic state cannot reach the steady state theoretically. However, under the speed adjustment mechanism in general DBOVM, the traffic state can converge to any spacing in between the dual boundary steady region.
3.3 Stability Features of the General DBOVM
3.3.1 Local Stability
We use the same conditions as the studies on the basic DBOVM. Here the sensitivity parameter is set as 1 0.5 s . Similarly to the studies in Section 2, two simulations are conducted, one for the initial state on right boundary and the other for left boundary. Figure 7 shows the simulation results of both scenarios. The red data and the blue data represent the first following vehicle and the second following vehicle respectively, and the numbers denote the time series of the state points. It is found that the slopes of all state transition paths are equal to
0.51 which is consistent with the result computed by Equation (13). As the time step of 0.1 s is used in the simulation, the rate of speed difference dropping per second can be computed by Equation (17) as 10 1 0.5 0.1 0.60 . Therefore, in every second the speed difference drops to 0.60 times of it one second before, which is also consistent with the simulation results. After 6 seconds from the perturbation, the state of the first following vehicle is very close to the steady state. At the tenth second, the state of vehicle converges at some spacing in between of the two boundaries. Besides, it can be found that the final steady spacing of the second following vehicle is closer to the boundary in both scenarios, which proves that the effects of speed adjustment mechanism can allow the vehicle to reach any steady state within the dual boundary steady region.
The general DBOVM shows a similarity in the convergence speed with that of the original OVM, if one chooses an appropriate sensitivity parameter . In order to have deep insight of the dynamic features of the general DBOVM, numerical simulations on string stability studies are conducted in following.
3.3.2 String Stability
We use the periodical ring road as the simulation condition for studies on string stability. The platoon in the ring road involves 100 vehicles in total. Both the left boundary and the right boundary are considered as the initial steady state of the platoon in the ring. A small perturbation is added on the first vehicle by an instantaneous small jump (less than 5%) in position, and the time step is 0.1 s in all simulations. In order to make comparison, simulations are conducted for all three models, i.e. original OVM, basic DBOVM ( 0 ), and general DBOVM ( 0.5 ). All model parameters are remained the same as in the local stability studies.
We first investigate the dynamics of the platoon under the unstable conditions. The initial speed of the platoon is 16 m/s, which is sting unstable for both the left boundary and the right boundary under the law of OVM. Figure 8 gives the snapshots of the platoon's dynamics at the time 5000 s t from the time 0 t at which the perturbation added. From the figure we can see that all three models produce the stop-and-go patterns after 5000 s. The hysteresis loop produced by the basic DBOVM is the largest in the phase diagram. With the effect of speed adjustment mechanism, the hysteresis loop of the general DBOVM is smaller, whereas the original OVM has the smallest one. Another feature needed to notice is the relation of the hysteresis loops between the original OVM and the basic DBOVM. In the simulation beginning from the left boundary of steady region, the left side of the hysteresis loop produced by OVM overlaps the same side of the DBOVM's loop, while they overlap in the right side for the case from the right boundary.
The simulation results indicate that the dual boundary steady region in the DBOVM has similar effect as the explicit delay for the original OVM (Bando et al. 1998), which can enlarge the hysteresis loop in traffic dynamics. However, the speed adjustment mechanism in the general DBOVM restrains such effect in some extent.
In the next step, we repeat the ring road simulation for every different initial steady state on the dual boundary (by the interval of 0.1 m/s in the initial speed), and add the total simulation time to 100000 s, in order to ensure that the perturbation has sufficient time for evaluation. By trial and error, we get the string unstable region for the general DBOVM and the basic DBOVM as shown in Table 1.
TABLE 1 String Unstable Regions in General DBOVM and Basic DBOVM
| | Left Boundary OVF V x15.316.8 tanh 0.088x2.1 |
|---|---|
| DBOVM 0.5 | x17.9, 31.7 |
| | v 7.2, 25.3 |
| DBOVM 0 | x14.3, 34.9 |
| | v 3.8, 27.9 |
| OVM | x16.5, 31.2 |
| | v 5.7, 24.9 |
We find that the string unstable regions in the basic DBOVM ( 0 ) are wider than the original OVM, due to the hysteresis effect induced by the dual boundary region. However, the string unstable regions for general DBOVM ( 0.5 ) are close to that of the original OVM, under the effects of speed adjustment mechanism. Because only small perturbations are considered in the simulations, the states of vehicles always move around the boundary where they get started, as illustrated in Figure 5(a). Therefore, the string unstable regions of speed are not the same on the two boundaries, but related to the mathematical properties of the boundary optimal velocity function. Moreover, as the derivative of left boundary optimal velocity function is larger than that of the right boundary at the same speed, simulations starting from the left boundary are likely to produce stronger acceleration (or deceleration) than the cases beginning from the right boundary, which makes the left boundary less stable than the right one. Therefore, the unstable region of DBOVM on the left boundary is wider than that in the right boundary.
Another interesting phenomenon can be found is that the final steady states which the platoon reaches after the perturbation is slightly different from the original ones where the platoon gets started. Specifically, the speed of the final steady state is higher than the initial steady state in the order of 0.1 m/s, when the platoon starts from the right boundary. For the cases of starting from the left boundary, the final steady speed is found lower than the initial one also in the order of 0.1 m/s. The two-dimension-steady-region allows the platoon to transfer its steady state under the perturbation. Similar shifts can be observed on the steady spacing of the platoon, if the simulation is conducted in an open boundary road instead of the ring road.
4 DISCUSSIONS
The basic DBOVM substitute the two-dimension-steady-region for the optimal velocity function in OVM, which is reasonable for modeling the satisfaction range of steady state in car following. However, the basic DBOVM cannot reach the steady state inside of the dual boundary region during the dynamic process of traffic flow. Therefore, the amendment of the speed adjustment mechanism is necessary in the general DBOVM. The effect of speed adjustment in the proposed model is similar to the speed adaption concept in the literature (Kerner and Klenov, 2002), while the latter one is more complex in model structure. Besides, the general DBOVM
has some similarities with the FVDM (Jiang et al. 2001) which also has a speed difference term in the model. The speed adjustment effect in the general DBOVM only works within the dual boundary steady region, whereas the FVDM does not contain a two-dimension-steady-region, and the speed difference term always contributes to the acceleration.
In this paper, only the S-shape function is considered for the expressions of the DBOVF. The differences in the functions of DBOVF may change the stability conditions of the general DBOVM, whereas the properties of traffic state transitions are the same as discussed in this paper. Another point that should be mentioned is the paths of state transitions within the dual boundary steady region are not strictly but approximately linear. However, one can still use the sensitivity parameter as the slope of the state transition path for roughly analysis.
5 SUMMARIES
The main contribution of this paper is that we proposed a simple car following model called general Dual-Boundary-Optimal-Velocity-Model, which can describe the driving behavior of accepting a range of satisfied conditions instead of an optimal one under steady traffic. The model is developed based on the Optimal Velocity Model with only two additional parameters. Therefore, it is very convenient for both analytical and numerical analysis.
A simple speed adjustment mechanism is introduced into the basic DBOVM, with which traffic state can converge to steady state everywhere inside of the two boundary steady region. Under the effect of speed adjustment, traffic states are transferred along some specific paths with an approximately constant slope equal to the sensitivity parameter of the speed difference term in general DBOVM.
The dual boundary steady region in DBOVM has the hysteresis effect, which is similar to the effect of explicit delay in OVM. The wider the dual boundary steady region is, the stronger the hysteresis effect will be. In spite of the instability resulted from the hysteresis of dual boundary region, the speed adjustment effect in general DBOVM restrains the hysteresis and improves the stability of traffic.
The dual boundary steady region in the general DBOVM allows the traffic flow to reach a new steady state slightly apart from the formal one under the effect of small perturbation. This property does not exist in models with one dimensional optimal velocity functions.
We should mention that we only present the framework of general DBOVM, and such dual boundary steady region can also be introduced into other well known car following models. Moreover, the parameters of general DBOVM are required to be calibrated by real traffic flow data, and applications of the proposed model will be studied in the next step.
ACKNOWLEDGMENT
This work is supported by National Natural Science Foundation of China (Grant No.51008074). The author would like to extend grateful thanks to some anonymous reviewers for helping improve this paper.
REFERENCES
Bando, M., K. Hasebe, A. Nakayama, A. Shibata, and Y. Sugiyama, A Dynamical Model of Traffic Congestion and Numerical Simulation. Physical Review E, Vol. 51, No. 2, 1995, pp. 1035-1042.
Bando, M., K. Hasebe, K. Nakanishi, and A. Nakayama. Analysis of optimal velocity model with explicit delay. Physical Review E, Vol. 58, 1998, pp. 5429-5435.
Boer, E. R. Car Following from the Driver's Perspective. Transportation Research F, Vol. 2, 1999, pp. 201-206.
Brackstone, M. and M. McDonald. Car-following: A Historical Review. Transportation Research F, Vol. 2, 1999, pp. 181-196.
Daganzo, C. F. The Cell Transmission Model: A Dynamic Representation of Highway Traffic Consistent with the Hydrodynamic Theory. Transportation Research B, Vol. 28, No. 4, 1994, pp. 269-287.
Davis, L.C. Multilane Simulations of Traffic Phases. Physical Review E, Vol. 69, 2004, id. 016108.
Evans, L. and R. Rothery. Perceptual Thresholds in Car Following: A Recent Comparison. Transportation Science, Vol. 11, No. 1, 1977, pp. 60-72.
Fritzsche, H. T. A Model for Traffic Simulation. Traffic Engineering and Control, Vol. 35, No. 5, 1994, pp. 317-321.
Gao, K., R. Jiang, B. H. Wang, and Q.S.Wu. Discontinuous Transition from Free Flow to Synchronized Flow Induced by Short-range Intersection between Vehicles in a Three-phase Traffic flow model. Physica A, Vol. 388, 2009, pp. 3233-3243.
Helbing, D. and B. Tilch. Generalized Force Model of Traffic Dynamics. Physical Review E, Vol. 58, No. 1, 1998, pp. 133-138.
Jiang, R., Q. S. Wu, and Z. J. Zhu. Full Velocity Difference Model for Car-Following Theory. Physical Review E, Vol. 64, 2001, pp. 017101.
Kerner, B.S. and H. Rehborn. Experimental Features and Characteristics of Traffic Jams.
Physical Review E, Vol. 53, 1996, pp. 1297-1300.
Kerner, B.S. and H. Rehborn. Experimental Properties of Complexity in Traffic Flow. Physical Review E, Vol. 53, 1996, pp. 4275-4278.
Kerner, B.S. and S.L. Klenov. A Microscopic Model for Phase Transitions in Traffic Flow.
Journal of Physics A, Vol. 35, 2002, pp. 31-43.
Kerner, B.S. and S.L. Klenov. Deterministic Microscopic Three-phase Traffic Flow Models. Journal of Physics A, Vol. 39, 2006, pp. 1775-1809.
Michaels, R. M. Perceptual Factors in Car Following.In Proceedings of International Symposium on the Theory of Road Traffic Flow, 1963, pp. 44-59.
Newell, G. F. Nonlinear Effects in the Dynamics of Car Following. Operation Research, Vol. 9, No.2, 1961, pp. 209-229.
Treiber, M. and A. Kesting. Traffic Flow Dynamics: Data, Models and Simulation. Springer, Berlin, 2013.
Wiedemann, R. and U. Reiter. Microscopic Traffic Simulation: the Simulation System MISSION, Background and Actual State, CEC Project ICARUS (V1052), Final Report, Vol, 2, Appendix A. Brussels: CEC, 1992.
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SUMMER 2015
NJT axing TIMES
PRESIDENT'S MESSAGE
A NOTE FROM THE EDITOR B y M a r c S t a n d i g
WELCOME BACK from an exciting, eventful and interesting Tax Season. I hope you all are well and relaxed by now.
dinner buffet, cash bar and live jazz. You can register at National's Website - natptax.com/conference.
Our Chapter has been busy finalizing our Education Seminars for the rest of 2015.
HIGHLIGHTS:
* June 11 (Thursday) - Mortgage Interest/Reverse Mortgage, during this half day event you will learn the Nuts and Bolts of Home Mortgage Interest & Strategies on Refinances with a focus on Reverse Mortgages.
* September 30 (Wednesday) - Two hour evening event featuring Social Security and other government benefits.
* October 1 (Thursday) – Federal Tax Day with NJ Annual Conference and Charity Auction: Featuring Kathryn Keane, EA as the seminar presenter. Ms. Keane will discuss Affordable Health Care (ACA) updates, Form 3115 and rule changes to the Repair Regulations, Net Operating Losses and Ethics (Circular 230). There are eight hours of solid CE offered to help you keep current.
* October 29 (Thursday) - Representation, a day with an IRS Taxpayer Advocate Staff Member, a former IRS Revenue Officer (Collection) and an Attorney. You will gain insight on what to do when your client receives that dreaded IRS Letter.
* December 10 (Thursday) - Identity Theft/IRS Verification Letters, you learn what to do when your tax client experiences identity theft. Start your morning with this informative half day event featuring IRS speakers.
* January 9 (Saturday) - Our Famous NJ State Tax Seminar, Kathryn Keane, EA will provide you with the latest updates in NJ and NY taxation.
Our Chapter's events are held at the Hotel Woodbridge Metro Park, in Iselin, NJ. For more information and to Register, log on to the National Website: http://natptax.com/ Chapters/Pages/NewJerseyChapterEducation.aspx or contact our Chapter Vice President, Linda Giordano EA, firstname.lastname@example.org. You may also "like" us on facebook®: https://www.facebook.com/groups/NJNATP/.
:
NATP NATIONAL CONFERENCE & EXPO
This year's Conference is in The Big Easy, New Orleans, from July 20 until 23. It's a four day mega-event where you can earn up to 28 CE's. The Conference features NATP quality speakers on a variety of courses. Expo Hall will be filled with Sponsors and Exhibitors for your Tax and Financial needs. The Conference will also provide you with the opportunity to network with other tax professionals, like yourself, from around the country. There are also fun events, such as, the NATP Charity Auction, Chapter Showcase and a Banquet Gala Event to round out the week. The Louisiana Chapter, the Conference host, is providing a Mississippi River Cruise on the stern wheeler steamboat Natchez, featuring a creole
The New Jersey Chapter will be hosting a complimentary lunch for our members at the Conference, on Monday, July 20th.
NATP 2015 TAX FORUMS & EXPO:
National will hold their Tax Forum this year, at the Marriott Downtown Hotel on September 3- 4 in Philadelphia, PA. At this two day event, you can earn 16 CE's. For more information and to register, go to the National Website: natptax.com/forums or call 800-558-3402, ext. 3.
Your New Jersey Chapter will have a Booth full of New Jersey Tax information and goodies at the Philadelphia Forum. Please come out for two days of great education and meet with your Board Members.
OTHER NOTES:
You should have received our yellow and green postcard schedule this May. Please put the postcard on your bulletin board. Mark your calendars now for our 2015 seminars.
Besides presenting our well known Educational events to you, the NJ Chapter holds multiple charitable events during the year. Members have supported the NJ Valerie Fund through direct contributions as well as our NJNATP Charity Auction. We also collect box tops in support of the Midland School. The Midland School's programs assist special needs children and young adults. Many members continue to support our NJNATP Campership Program for Special Needs Scouts. We applaud you for your past contributions and support and hope you will continue your generosity.
Our Scholarship Program continues to thrive. We had many applications over the last few years. Choosing just one Scholarship winner each year is a daunting task. All candidates show distinguished credentials. The selection process is always difficult; yet there can be only one person who will win the award per category. Thank you to all our members who continue to tell their clients, friends and neighbors about our program.
The NJNATP Board is available to answer your questions and concerns year-round. Please remember to ask us for assistance. At the national level, please use the research available as well as the tools and worksheets you can find on the website (www.natptax.com). NJNATP also has a website with helpful links and a list of NJ volunteers to answer NJ questions (www.njnatp.com). Last, but not least, is our own NJ-NATP facebook® page, join in on the discussions among fellow NJ preparers. Watch for further updates and announcements in Chapter News.
Best wishes to everyone. I hope to see you at our Seminars, National Conference and Tax Forum.
Mario Tripaldi, EA, MST
NJ Chapter President
Your New Jersey Chapter of the National Association of Tax Professionals hopes you enjoy this summer edition of NJ Taxing Times. We are continuing the tradition of excellent articles for our members' enjoyment and professional growth. We also need your help. Please consider writing about something you think should be in your newsletter. That's right, your newsletter. This is all written, reviewed, printed and distributed for you. If you do send something in to be published, please make sure it is about the profession of tax return preparation or representation. The topics may include nuts and bolts type of articles, practice management ideas, editorials (rants) and just about anything you can think of in our field. We will read and consider putting your ideas within your newsletter. We need your help to keep the newsletter fresh and alive.
If you do take up the challenge and put something together, please DO NOT mention anything that is client specific. Please proofread your article prior to sending it in for publication. You need to know there is no compensation for contributing and publishing your article. After all, it is a contribution. You will benefit through the fact that you will have been heard by other members within your organization. We are standing by in anticipation of receiving your article. What are you waiting for? Need some ideas? Check out the www.njnatp.com or the NJNATP facebook® discussions. Get inspired! There's got to be something you would have liked to have seen in this newsletter. Go ahead and write it!
TABLE OF CONTENTS
n Tax Tip of the Quarter, Summer 2015
n Preparing Tax Returns for Aging Americans
n Extended Filing Program Deadlines for 2014 Senior Freeze Program
n NATP's Charity at Nat'l Conference in New Orleans
n You Can't Make this Stuff Up!
n Charity Alert
n Elections
n NJ NATP Website News
n Don't Need to File a Senior Tax Return? Are you Sure? n Third Party Verification Letters
Preparing Tax Returns for Aging Americans
by Marc Standig
WHEN WE WORK WITH THE AGED and the very old tax clientele, we need to pay attention to some of their needs as well as we must be careful not to expose ourselves to additional liability. Many of the older people that are our tax customers may have slightly impaired hearing. According to the National Instituted of Health, one in three adults between the ages of 65 and 75 and one half of the adults over the age of 75 have difficulty hearing. These individuals may be embarrassed about their difficulty and simply nod or ask you to speak up from time to time. In fact, they may not hear what you are saying. When addressing this segment of your clientele, be sure to make eye contact and speak slowly. Ask questions that require a detailed answer in order to engage these individuals. Questions that ask for a yes or no answer will get a yes or no answer, but the comprehension of your discussion may have been lost due to lack of hearing. In addition to difficulty hearing, some of these clients may have difficulty with their eye sight.
they don't have their own glasses with them. When they see you have a supply available to borrow during the appointment, they will realize that other people may face the same challenges and will make use of your glasses to help them navigate the process of reviewing their documents. Whatever you do, DO NOT MAKE OUT THE CHECK for your clients. Although you may view this as relatively harmless, there could be issues with surviving family members later. Keep thick pens with nonslip grips in your drawer for your clients to use. Your older clientele will appreciate a pen that is easy for them to handle and does not aggravate their arthritis. If you wish to read more about aging and health issues, go to www.nih.gov and click around the site. Be patient with your older clients. If you are lucky, you also may get a chance to grow old one day.
The National Institutes of Health lists Age Related Eye Diseases (ARED) as Macular Degeneration, Cataracts, Diabetic Eye Disease, Glaucoma and Dry Eye. Make sure you have adequate lighting in your office. Keep a handful of reading glasses near where your tax clientele usually sits. Sometimes your customers may forget to bring their reading glasses. Sometimes they bring the wrong glasses. If you keep reading glasses nearby, your older clients will not feel so bad when they realize
Several of my older clients have voluntarily delivered their power of attorney forms to me. Typically they have announced that I may need to reach one of their adult children and want me to be able to talk freely to their child with the Power of Attorney. You may also wish to execute a Section7216 disclosure as well. This may be a suspenders and belt reaction, but it is usually safer for the practitioner to have too much permission documentation than not enough on file.
You may have already read Jaimee Hammer's article about the NJ-NATP facebook® page. Please feel free to share your thoughts about Working with Aging Americans.
Christie Administration Extends Filing Deadline for 2014 Senior Freeze Program
TRENTON – Governor Chris Christie has provided additional time for senior and disabled residents to access property tax relief benefits by extending the filing deadline for applications for the 2014 Senior Freeze (Property Tax Reimbursement Program) to October 15, 2015. The original due date for 2014 Senior Freeze applications was June 1, 2015.
The Division plans to mail reimbursement checks to eligible seniors and disabled residents who file their 2014 applications by the original June 1 deadline in mid-July. Checks for eligible applicants who file 2014 applications after June 1 will be processed and delivered as quickly as possible thereafter.
Information about the Senior Freeze Program, including the eligibility requirements, is available on the Division of Taxation's website at:
www.state.nj.us/treasury/taxation/ptr/index.shtml.
TAX TIP OF THE QUARTER SUMMER 2015
BY Marilyn H. Ayers, CPA
IN APRIL, NJ released the Winter 2014/2015 edition of New Jersey State Tax News. There were two items that caught my attention – New Laws for EFT Payments That Fail and Sales and Use Tax Crowdfunding.
In case you missed it, NJ passed new legislation last fall amending the existing civil and criminal statutes that deal with failed electronic funds transfer (EFT) payments to treat these payments the same way as bad checks, drafts or money orders. This means that a taxpayer commits a crime if they authorize an electronic fund transfer knowing that the payment will bounce because of insufficient funds to make the payment. I read this with interest because in my office we initiate those EFT payments for NJ GIT, NJ 927 and NJ Sales and Use tax. I believe I need to change my office procedures to be sure to ask that there are sufficient funds to make those payments before I initiate that payment. Hopefully, that will help protect me and my staff, as well as my client, from those penalties.
The second article that caught my attention was the discussion of donations made through a crowdfunding website related to sales and use tax. It caught my attention because I had a client during tax season that used crowdfunding to start up his business. Crowdfunding websites are used by filmmakers, musicians, authors and others to solicit donations for their projects. The example NJ provides is an author located in New Jersey who wants to raise money to publish a book and agrees to provide a copy of the finished book to the contributor in return for a $10 donation to the project.
The New Jersey Sales and Use Tax Act requires the collection of the tax on the retail sale of tangible personal property unless an exemption exists. Per the article: "The Division concluded that there is no "retail sale" of tangible personal property when a donation is made through a crowdfuding website." So in the example they provided, the $10 donation to the author is not subject to sales or use tax. However, the article goes on further to state that the author is required to pay either sales or use tax on the books given to the contributors. So a double edged sword!
I believe that we will see more of our small startup companies using "crowdfunding" in the future and we need to be prepared. Hopefully, the client will give away T-shirts and we won't have to worry about the sales tax on either side!
Marilyn H. Ayers, CPA, is immediate Past President of NJ-NATP.
YOU CAN' T MAKE THIS STUFF UP!
BY ROBERT D. FLACH
AFTER 44 TAX SEASONS of preparing 1040s for the masses I thought I had heard everything. But I was wrong.
A client, a widower who was filing his 2014 return as a Single taxpayer for the first time after the passing of his wife in 2013, sent his 2014 Form 1040 to the IRS on Feb.7th requesting a refund. No refund ever came. Finally on April 25th he received a letter from the IRS saying that they had received the return but were unable to process the refund. The letter explained –
"Our records indicate that the person identified as the primary taxpayer or spouse on the tax return was deceased prior to the tax year shown on the tax form. Our records are based on the information received from the Social Security Administration. Based on this information, the tax account for the individual has been locked."
The IRS was writing to the taxpayer to tell him that he is dead and so they were not going to process his refund.
It was, however, his spouse – certainly not "the primary taxpayer" on the 2014 tax return – who was deceased prior to 2014 and not the taxpayer.
A contact number was provided in the letter. I told the client to call the number and tell the IRS he was not dead.
The client was instructed to go to the local Social Security office and get a letter stating that he was alive. Once the Social Security clerk stopped laughing he prepared the letter and give it to my client. He sent the letter to the IRS along with a copy of the 1040 and photocopies of his driver's license and Social Security card a month ago. As of this writing he has still not received his refund.
Earlier I had learned that the IRS had held up the refund of a client's unmarried college student son because an injured spouse form was attached to the son's documents and his return was forwarded to the department that processes injured spouse claims. Where the injured spouse form came from is anyone's guess. Certainly not from me or the taxpayer. The refund was finally received in late May.
I knew that taxpayer service had suffered as a result of the IRS budget cuts – but this is ridiculous.
I have heard from more clients about excessively delayed federal refunds this past tax season than any other season. In the past I have rarely been contacted about delayed federal or state refunds. Unfortunately, once the completed return has been sent to the IRS, or state agency, there is nothing I can do to expedite a refund. The client must go to the IRS website, or the state tax department website, and use the appropriate "Where's My Refund" tool to discover the status and follow any instructions provided.
I have not heard from any of my clients about delayed NJ state refunds, but I have read complaints from other NJ-NATP members online at the NJ-NATP facebook® group.
I do know that both the IRS and the State of NJ are taking longer to process refunds to try to prevent identity theft and other forms of tax fraud. And this is a good thing. Delaying refunds a week or even two to assure proper matching of income and withholding information is a good trade-off. But the above discussed delays have had nothing to do with additional processing time – they are just IRS goofs.
I hope the IRS will get properly funded in the future, and the IRS management will properly allocate its limited resources to correctly processing tax returns.
{Northeast PA resident Robert D. Flach has been preparing 1040s since 1972, and has been a member of NATP since 1987 (and an original founding member of the NJ chapter). He writes the free online monthly newsletter THE TAX PROFESSIONAL (http://thetaxprofessional.webs.com), the popular tax blog THE WANDERING TAX PRO (http://wanderingtaxpro.blogspot.com) and for the MAINSTREET portal at http://www.mainstreet.com/taxes. He has also created the website FIND A TAX PROFESSIONAL (http://www.findataxprofessional.com)}
NATP'S CHARITY AT NATIONAL CONFERENCE IN NEW ORLEANS
BY JEAN MILLERCHIP, EA, CFP ®
AS YOU KNOW, each year a charity is selected in the city that is hosting National Conference, and this year that city is New Orleans. The charity selected this year is Café Reconcile.
Café Reconcile is a nonprofit restaurant, located in the severely distressed Central City neighborhood of New Orleans. It serves as the primary training ground for students seeking to acquire skills in the food service industry. Featuring soul-filled local dishes and some of the city's lowest prices, Café Reconcile is a destination lunch spot for a wide cross-section of New Orleanians as well as visitors from all across the country.
Their mission statement tells us that they are a community of concerned people committed to addressing the system of generational poverty, violence and neglect in the New Orleans area. Café Reconcile transforms the lives of young adults (ages 16-22) and the community through the ministry of reconciliation, assisting these young people to make positive changes in their lives. Reconcile's students arrive facing a vast array of challenges, from extreme poverty to homelessness, violence and participation in the juvenile justice system. However, in spite of it all, these young people possess a deep desire to break the cycle and become productive and contributing members of society.
Café Reconcile works to make the lives of these young people whole, and help pursue a shared vision of hope and prosperity for all people.
As always, NATP has chosen a most worthwhile charity, and we certainly hope, through the donations from our Charity Auction, Chapter contributions during Chapter Showcase, and individual donations from our generous NATP members and attendees at Conference, that we can present this charity with a very deserving check on the evening of our Banquet.
Jean Millerchip is the President of NATP and has served as the President of the New Jersey Chapter in the past.
Charity Alert!
The New Jersey Chapter of the National Association of Tax Professionals will be having its famous Charity Auction at the Chapter's annual meeting on October 1st. We need items to auction off! Please consider participating as a buyer or supplier or both! The proceeds will be going to benefit the Valerie Fund (www.thevaleriefund.com) If you are going to donate something to the auction, please let the NJ-NATP Board Member representing your Region know that you will be participating.
NJ NATP WEBSITE NEWS
BY TOM WATKINS
HELLO TAX FANS....Have you seen our updated website? The New Jersey Chapter of NATP has a full featured website and the address is www.NJNATP.com.
Our website is filled with knowledge to help the NJ practitioner. From seminar information to newsletters to New Jersey Division of Taxation News, our website has the information needed to help our members. It also contains contact, scholarship and community information to help keep you informed of what is happening.
BUT...We are always looking for new ways to help members so please take a look at it today and let us know what you think. Please send us an email at email@example.com.
Elections
BY MARILYN H. AYERS CPA
I CAME ACROSS AN ARTICLE not too long ago on the internet when I was doing some research for our June 2015 seminar, "The Nuts and Bolts of Mortgage Interest Deductions and Reverse Mortgages". It was entitled "Don't Neglect to Elect". I thought it was catchy and a really good reminder that there are many responsibilities of today's tax preparer that goes beyond making sure that we report all the income and expenses on the correct line of the 1040 tax return.
What sets a good tax preparer apart from the rest and certainly from TurboTax® is assisting a client in making elections that will produce better tax results. Some of these elections are automatic and require no attachments or additional paperwork on our clients returns. As tax professionals we forget that these items are truly elections. I think we take the following examples for granted and don't think of them for what they are, "Elections". Electing a fiscal year for an estate filing its initial return, electing to include savings bond interest on all savings bonds owned by a decedent on the decedent's final return or a surviving spouse's election to treat their deceased spouse's traditional or Roth IRA as their own are all types of "automatic" elections that need no special forms or documentation.
For instance, there is the 10-T Election (26CFR 1.163-10T). It is an election to treat debt secured by a home as not secured by a home. A good example of this is an equity loan secured by a taxpayer's residence but used to purchase equipment for the taxpayer's business. This may allow a greater deduction for interest on other debts that are only deductible as home mortgage interest. The IRS gives no specific format for the 10-T election. But it is recommended that it be made in writing, attached to the return for the initial election year.
Another election often overlooked is Election E909 – Spousal Joint Venture Election out of Partnership Treatment. This election is used when a qualified joint venture is conducted by a husband and wife who file a joint return for the tax year. The joint venture is not treated as a partnership for federal income tax purposes if the husband and wife elect out of partnership treatment. This is used most often in a rental property owned by a husband and wife. We mark the rental income as joint in our tax software but forget to attach the E909 Election. If you would like to see a more in depth discussion, please go to the IRS website:
The 2014 tax season introduced us to a few new elections because of the Repair Regulations. Those elections were not automatic and did require an actual attachment to the tax return. We had to elect to use the De Minimis safe harbor, to elect to capitalize repair and maintenance costs or to elect the Safe Harbor for small taxpayers. There are a few other elections that require documentation that I often overlook.
http://www.irs.gov/Businesses/Small-Businesses-&-SelfEmployed/Election-for-Husband-and-Wife-UnincorporatedBusinesses.
There are usually some elections built into our software and PPC Checkpoint's 1040 Deskbook has a whole list of elections and whether or not they are made with or without separate statements attached to the tax return. I use the list often. So "Don't forget to Elect"!
Are you a member of the NJ-NATP facebook® group? No? WHY NOT?
Am I allowed to join? Any member of NATP can join.
Do I have to join facebook®
?
Yes, that is a requirement.
What am I missing by not joining?
n A learning experience. You can post a question to get feedback from your NATP community. You can just sit back and read what others have asked and answered. You can help by responding to someone else's pondering.
n A sense of community with your fellow NATP members.
n Upcoming chapter events are posted and updated.
n Members share relevant news in our industry and interesting articles.
n Members joke around with cartoons, etc.
So, what are you waiting for??????????
ATTENTION all NJ Members:
OUR NJ CHAPTER WILL HOLD ELECTIONS FOR OUR BOARD OF DIRECTORS AT OUR ANNUAL CONFERENCE ON OCTOBER 1, 2015 AT THE
HOTEL WOODBRIDGE AT METRO PARK
We have slots available for some of our retiring directors. We are looking for new ideas and would enthusiastically welcome new board members! Please contact our Nominations
Chair: Marilyn H. Ayers at 732-477-2281
or firstname.lastname@example.org
for more information.
Please consider joining us!
DON'T NEED TO FILE A SENIOR'S TAX RETURN!
BY GWENDELLYN RADLOFF, EA
YOU COULD BE THE SALVATION to the senior client's life style. A lot of senior clients' income usually falls below the filing requirement threshold. They are told not to file and are saved from being charged a fee for a simple tax return. These returns may have just some interest income, Form 1099-R for pension or other retirement distributions and Social Security. Some clients may have a Schedule A with real estate taxes and maybe a few charitable contributions and lots of medical expenses. We quickly tell our senior client that no return is necessary. In many cases, the Standard Deduction and Personal Exemption wipe out their taxable income.
withdrawn and still have a zero tax liability. In fact, a client within the age range of 59 1/2 until 70 1/2 can withdraw from their retirement investments and may have their monies FREE from income tax liability. For clients nearing the senior age, there is the Substantially Equal Periodic Payment, also known as Section 72(t) {72(t)(2)(A)(iv)}. The 72(t) makes it easier to take money out of the IRA. It eliminates the penalty for early distributions. You can help your client gain access to money they need and help them control their taxes.
BE AWARE: You can help them by delving into their financial situation.
The PREPARATION OF A TAX RETURN can provide support for the following:
A. GOVERNMENT PROGRAMS:
1. Are they receiving the $250 reduction of their real estate tax from the Veteran's or Senior Citizen's benefit? Many people who move into New Jersey are unaware of these discounts. Some disabled veterans are exempt from property tax.
2. Are they filing the Property Tax Reimbursement "Senior Freeze" application, which stabilizes their real estate taxes at the level for the qualifying year? Not everyone who qualifies has received the PTR booklet. You can help make sure that people who qualify are gaining access to the program.
3. Are they filing for the prescription discount plan PAAD?
4. Are your senior citizen clients taking advantage of the Heating Energy Assistance Plan?
5. Are they utilizing all the state and local municipality programs available to them?
B. FINANCIAL ANALYSIS:
Is your senior client over age 70 1/2 taking just the required minimum distribution? We need to analyze the taxability of their withdrawal. If there is no tax to be paid, then maybe additional monies can be
Make sure that the state tax liability is considered in the financial advice. Our New Jersey clients have pension exclusions of $10,000 for MFS, $15,000 for single and $20,000 for MFJ. Unused pension exclusions may be used for the withdrawals from 401k's or IRA's and other income.
By making sure that the client can withdraw ALL FUNDS possible and yet staying under the taxable threshold, you will be helping the client have sufficient funds to live more comfortably.
A. ADDITIONAL BENEFITS:
1. Help clients to pay down charge cards with high finance rates.
2. Documentation for the application of home equity loans.
3. Documentation for guaranteeing loans for grandchildren's college financing.
4. Required document for the New Jersey Inheritance Tax Return
5. Establishes data file for governmental benefits
The advantages of preparing a tax return for our senior clients may far outweigh the preparation cost. As a benefit to you the preparer, the client relationship will surely be enhanced by your personal consideration for the client's quality of life during the senior years. You may even cultivate extended family relationships and grow your tax practice.
Gwendellyn Radloff, EA has been practicing in Rutherford, NJ since the early 1980's and is a member of NATP. She currently serves as a member of the NJ Chapter's Board of Directors. You may contact Ms. Radloff at: email@example.com
THIRD-PARTY VERIFICATION LETTERS
BY MARILYN H. AYERS CPA
I HAVE OFTEN RECEIVED CALLS for additional copies of tax returns or W-2 forms from clients who can't ever seem to find the copy I give them or the original documents returned to them. I'm not sure what they do with them. I sometimes put things in a "safe" place and have trouble remembering where I put it but I always know where my tax returns are!
In addition to requests for replacement documents, I also receive requests from third parties to verify any number of items for clients, especially those clients who are self-employed. This past tax season I received requests from mortgage underwriters, health insurance companies and insurance underwriters. I actually received a request from one of my clients who asked if I could please write a letter to verify he was self-employed and relied on his income as the sole provider in his household to help him get out of jury duty!
At our Annual Fall Conference held October 4, 2012, our theme was "The Ever-Changing Due Diligence Requirements". The topics included no record audits, reasonable cause, abatement of penalties, identify theft and offers in compromise. But I must admit that the topic that really got my attention was presented by the last speaker of the day – Howard Bookbinder, CPA. Howard talked about our liability in providing what he referred to as "comfort letters".
A "comfort letter" is a letter that contains specific language, a verification statement or a certification form. The requests often come from mortgage originators asking the EA/CPA/RTRP/Accountant to provide certain assurances related to a mutual client. I have been told by the underwriters that if I don't provide the letter, the client will be denied the mortgage. I want to help my client but I feel very uncomfortable provided these letters of assurance.
continued on page 6
THIRD-PARTY VERIFICATION LETTERS
continued from page 5
The AICPA provides a Q & A on their website regarding ThirdParty Verification Letters: http://www.aicpa.org/interestareas/frc/ pages/concernsregardingcomfortletters.aspx. It reminds us of our professional responsibilities. It doesn't matter what affiliation, if any, you have, we must strictly adhere to Internal Revenue Code, Section 7216 as paid preparers. Treas. Reg. Section 3301.7216-3 actually makes it a crime for a tax preparer to disclose client tax information to a third party without signed written consent from the client in a format specified by the IRS. NATP has a tool-kit on their website for members to assist us with this format. The first step is to obtain our client's written permission to disclose information to a third party. Second, AICPA recommends that we send any requested documents directly to the client. But what about those darn letters the mortgage company insists we provide?
continued self-employment income, for example. Suggested language might include: "I verify that I prepared a tax return reporting $XX,XXX amount of income based on information provided by the client". I have found, though, that underwriters usually have a very specific verbiage that they want. I want to help my client but often I alter that language to conform to our tax preparation standards. Using text provided by AICPA, my letter usually states the following facts:
* Confirmation that I prepared the tax return
* Confirmation that the return was prepared from information furnished to me by the client
* Statement that I have not verified the information provide to me and make no assurances regarding the accuracy of the information
Tax preparation standards for due diligence under Circular 230, Section 10.34(d) allow a tax preparer to rely on information furnished by the client. However, these standards are not sufficient when being asked to verify, certify or otherwise validate information presented on a tax return to a third party. The AICPA cautions preparers not to go beyond the scope of the tax preparation standards. In other words, we can't verify information beyond what the tax return tells us - the likelihood of
* Statement that tax return was prepared in accordance with standards contained in IRS Circular 230, a strict set of rules and regulations that all paid tax preparers must follow
* Statement that a tax return does not represent any assessment nor do I provide any assurances on my client's creditworthiness
* Use of the client's tax return and my letter to support a credit decision by the lender is solely their responsibility
All of my letters written with this language have been accepted by mortgage underwriters. I hope this helps you in your practice.
Website: www.njnatp.com or call 732-477-2281
NJ-NATP BOARD OF DIRECTORS 2015
OFFICERS
VICE PRESIDENT
S
ECRETARY
Linda Giordano
Tom DeTitta
DIRECTORS
1 YR.
2 YR.
Mario Tripaldi W. Milford (551) 404-3453
Mary Rose Martino
Cherry Hill (856) 428-3079
Joyce Skerlanitz
Piscataway (848) 467-3990
Jess Marshall
Piscataway (732) 968-7500
Sherril F. Diamond
Cherry Hill (856) 779-1714
Surekha Vaidya Parlin (732) 727-5009
Thomas DeTitta Madison (973) 845-2470
Gwen Radloff
Rutherford (201) 438-5162
Anthony J. Manziano Marc Standig
Woodbridge (732) 610-3159
Marilyn H. Ayers
Brick (732) 477-2281
Jaimee Hammer
Cherry Hill (856) 656-0508
Josh Melum
Lakehurst (732) 614-1368
Monroe Township
(609) 655-1313
Julie Robinson
Brick
(732) 477-2281
Linda Giordano
Pitman
(856) 553-6425
PRESIDENT
Mario Tripaldi
TERM
Region I
Region II
Region III
Region IV
Region V
Members at Large
TREASURER
Mary Rose Martino
3 YR.
Tom Watkins
Totowa
(973) 812-2870
TELEPHONE DIRECTORY
NJ PRACTITIONER HOTLINE
609-633-6657 for Personal Income Tax 609-633-6905 for Business Tax
IRS PRACTITIONER HOTLINE
For practitioners with POA on file to call about a specific client problem: 866-860-4259
Tax Law Questions: 800-829-1040
NJ-NATP CHAPTER OFFICE
EL
T 551-404-3453
AX
F 973-506-4496
INTERNET ADDRESS
NJ CHAPTER www.njnatp.com www.natptax.com
Directory of National Members www.taxprofessionals.com
|
Pay Policy
Proposed for September 2016
CONTENTS
PAGE
ACADEMY SCHOOL PAY POLICY
Guidance Notes
1.1 This policy covers all staff within this establishment, both teaching and support staff.
This document is to be read in conjunction with the following:
(i) The School Teachers' Pay and Conditions Document. A copy of the latest version may be found online at www.teachernet.gov.uk. Supplementary guidance is also given in Section 3 of the School Teachers' Pay and Conditions Document and Guidance on School Teachers' Pay and Conditions.
(ii) The National Pay and Conditions of Service applicable to Local Government Employees (The Green Book)
(iii) The National Conditions of Service for Teachers (The Burgundy Book)
(iv) The relevant local collective agreements and conditions of service.
Staff have been consulted, and how pay decisions are made explained. The policy will be kept up to date to take into account any changes. All procedures for determining pay is consistent with the principles of public life - objectivity, openness and accountability.
The policy explains:
- the school's mechanism for taking decisions on pay
- the basis on which discretionary payments will be made
- arrangements for deciding discretionary performance points – this details the criteria that teachers need to satisfy to be considered for a performance increase.
1.2 The academy has made appropriate arrangements for implementation of its pay policy and informed all staff of the policy adopted. Those arrangements allow for the possibility of occasional dissatisfaction amongst individuals and the need to provide some means of dealing with individual concerns over decisions on pay. The Governing Body has established a committee to carry out determinations of pay in accordance with the pay policy. This function is performed by a dedicated Staffing Committee. The committee has fully delegated powers.
Decisions will be communicated to each member of staff by the Head in writing. Decisions on the pay of the Head will be communicated by the Chair of the Governing Body, in writing.
In order to ensure parity with other parts of the pay policy, the committee will deal with the salaries of all staff in the school.
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1.3 Whilst the Governing Body delegates the implementation of all aspects of their policy to a committee, they also delegate the application of certain aspects of the policy, especially those requiring immediate attention and communication such as the starting salary of new appointments, to the Headteacher. The Governing Body, by adopting a policy, will have decided how it wishes to exercise its discretionary powers, so that the Headteacher will be applying the Governing Body's published intentions in individual cases.
1.4 Where an employee considers that the committee or the Headteacher, as the case may be, has not implemented the Governing Body's policy, employee may appeal to the Appeals Committee of the Governing Body. Where the employee disagrees with the policy itself, that is a matter of grievance with the Governors who adopted the policy and is not within the terms of reference of the Appeals Committee against the decisions of those who are simply applying the policy adopted by the Governing Body.
1.5 The constitution, membership and proceedings of the committee are subject to the requirements of the School Governance (England) Regulations 2003 and any amending Acts in determining the terms of reference.
1. The Governing Body specifies a quorum for the committee.
2. The Governing Body also decides who will act as clerk to the committee and who will ensure that reports from the committee are made to the Governing Body.
3. The Staffing committee requires that any person employed to work at school shall withdraw from a meeting during discussion of their pay and that the Headteacher shall also withdraw when his or her own pay is discussed.
4. The Staffing committee advises the Governing Body on the school's pay policy and its updating.
5. The Staffing committee implements the following parts of the school's pay policy, as adopted by the Governing Body:
(a) set internal procedure and dates to provide for annual determination of the salaries of all staff in the school with effect from 1st September or as soon as possible thereafter;
(b) ensure that at or near the beginning of each school year, when reviewing performance objectives for teachers on the leadership spine in the previous school year, new objectives are agreed for the current year to be reviewed in the following autumn;
(c) ensure that the Headteacher has issued to teachers who are awarded Teaching and Learning Responsibility points clearly defined Job Descriptions outlining the sustained additional responsibility in the context of the school's staffing structure that is needed to ensure continued delivery of high quality teaching and learning and for which the teacher is made accountable;
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(d) determining remuneration for employees undertaking additional responsibility on a temporary basis at the direction of the Governing Body or the Headteacher acting on the Governing Body's behalf;
(e) ensuring that records are maintained in an appropriately confidential manner, by the Clerk to the Governing Body or the Headteacher as appropriate, of all matters relating to salaries;
(f) communicate approved decisions to HR and payroll.
1.6 Any member of the pay appeals committee hearing appeals must not be a member of the Staffing Committee. The Appeals Committee hearing appeals will consider any appeals against decisions taken by the committee.
1.7 It is the policy of the Governing Body of Pershore High School that all staff vacancies will be advertised and open to applications from internal candidates.
3
PAY POLICY OF PERSHORE HIGH SCHOOL FOR 1ST SEPTEMBER 2016 TO 31ST AUGUST 2017 ADOPTED BY THE GOVERNING BODY ON 23
rd MARCH 2016
1. Introduction
1.1 The Governing Body recognises the range of powers which it has a duty, or discretion, to exercise in respect of the remuneration of staff. This policy sets out the principles on which the Governing Body will base its decisions and the way in which it will exercise its discretionary powers.
1.2 The Governing Body will ensure that all employees are made aware of the existence of this policy and have ready access to a copy of it via the academy office or the intranet. In particular it will ensure that arrangements are made to draw the attention of employees to relevant dates within the policy, to prevent any employee being disadvantaged by ignorance of the date by which an application relating to pay should be submitted. It will publish the policy through its scheme of publication in accordance with the Freedom of Information Act 2000.
1.3 The Governing Body delegates the implementation of this policy to the Staffing Committee.
1.4 In adopting this pay policy the aim is to:
- support the recruitment and retention of a high quality teacher workforce;
- maximise the quality of teaching and learning at the school;
- enable the school to recognise and reward teachers appropriately for their contribution to the school;
- help to ensure that decisions on pay are managed in a fair, just and transparent way.
2. Guiding Principles
The Governing Body recognises that for those staff who TUPE transferred in to the academy pay and conditions will remain the same. It therefore must follow national mandatory agreements on pay and conditions of service for those staff and will take account of the overall needs of the academy when deciding how to use the available discretions.
For new staff appointed to the academy the Governing Body will follow national mandatory agreements on pay and conditions of service and will take account of the overall needs of the academy when deciding how to use the available discretions. The Governing body will ensure that it makes funds available to support pay decisions, in accordance with this pay policy and the academy's spending plans.
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2.1 Review of Pay Policy and Consultation
(a) The Governing Body will review its pay policy each year in order to ensure that the policy continues to comply with the law and promotes good personnel practice and in particular to take account of pay awards, changes in national agreements governing pay, the school's development plan and the school's budget.
(b) It will undertake such reviews in consultation with staff, including school representatives of all the recognised unions and teachers' associations.
The Governing Body's pay policy is based on the following key principles:
2.2 School Development Plan
The Governing Body will ensure that the pay policy recognises and supports the aims of the school development plan.
2.3 Commitment to Staff
The Governing Body recognises that the staff are the academy's most important asset and values their commitment, support and goodwill. The Governing Body wishes to use its pay policy to assist with the recruitment and retention of staff through:
- recognising that decisions about pay should be fair, justifiable, open, objective, accountable and within agreed policies and procedures;
- maintaining a grading structure within the academy that reflects the levels of responsibility that employees undertake and provides career development opportunities;
- working to maintain a harmonious working environment.
2.4 Equal Opportunities
The Governing Body is firmly committed to equal opportunities for all employees and hence will aim to ensure that:
- any promotion opportunities which become available within the school should be advertised and open to all staff;
- opportunities to undertake additional responsibilities that merit (or may merit) additional remuneration will be published within the school;
- the principles of equal pay for work of equal value will be applied;
- staff will not be the subject of unfair discrimination in decisions on pay, promotion and remuneration;
5
- pay levels, enhancements and promotions will be determined within an equal opportunities context, having regard to the Equal Pay Act 1970 and other legislation - The Equality Act 2010, The Employment Rights Act 1996, The Employment Relations Act 1999 and the Employment Act 2002 and 2008, as well as The Part-Time Workers (Prevention of Less Favourable Treatment) Regulations 2000, The Fixed-Term Employees (Prevention of Less Favourable Treatment) Regulations 2002 and The Agency Workers Regulations 2010.
2.5 Legal Obligations
The Governing Body accepts that it must comply with the law, including not only general employment law but specific provisions of educational legislation.
3. Equal Pay
3.1 The school's staffing establishment will be reviewed annually in relation to the school's development plan and equal pay legislation. This review will include consultation with union representatives. This review will cover in particular:
- the grading structure within the school in relation to the levels of duties and responsibilities undertaken by staff;
- salary differentials;
- the method of advertising promotion/additional responsibilities within the school.
3.2 The school's staffing structure will be published to staff in the school and is included as Appendix I of the Pay Policy.
3.3 The Governing Body will ensure that part-time and temporary staff have the same levels of pay as would be attached to similar responsibilities or work of equal value undertaken by full-time and permanent staff.
3.4 Where the responsibilities and salary grading of one particular job are reviewed the implications for other jobs in the school will be considered to ensure that account is taken of the impact of additional responsibilities on all staff and equal pay.
3.5 The Headteacher will arrange for regular review of all Job Descriptions. (Job Descriptions will be revised as and when necessary through consultation with the individual employees.)
3.6 Additional responsibilities undertaken on a temporary basis, whether for a particular task, or to cover for an absence or vacancy, may be rewarded by additional payment having regard to the level of additional responsibility undertaken.
6
4. Pay Reviews
The Governing Body will review every teacher's salary annually with effect from 1st September and no later than 31st October (except in the case of the Headteacher for whom the deadline is 31 st December). Each teacher will be given a written statement setting out their salary and any other financial benefits to which they are entitled. A written statement will be given after any review and where applicable will give information about the basis on which the decision was made. Reviews may take place at other times of the year to reflect any changes in circumstances or Job Description that lead to a change in the basis for calculating an individual's pay. A written statement will be given after any review and where applicable will give information about the basis on which the decision was made.
Where a pay determination leads or may lead to the start of a period of safeguarding, the Governing Body will give the required notification as soon as possible and no later than one month after the date of the determination.
5. Performance Review
5.1 The Governing Body has determined that all members of the teaching staff are required to participate in arrangements made for their Performance Review, in accordance with the school's Performance Review policy.
5.2 The performance objectives set for each teacher, will be specific, measurable, achievable, realistic and time-bound and will be appropriate to the teacher's role and level of experience.
5.3 The performance objectives shall be such that, if they are achieved, they will contribute to improving the progress of pupils at the school.
5.4 Relevant information from outcomes of performance review for teachers will be used by the Headteacher and the Governing Body (or committee of Governing Body) in taking decisions, and in advising those responsible for taking decisions, on the use of any discretion in relation to pay.
5.5 The Governing Body will also adopt an Performance Review scheme for support staff after consultation with those staff concerned and their representatives. This will not be used when taking decisions in relation to pay.
6 Pay Progression based on Performance
6.1 In this school all teachers can expect to receive regular, constructive feedback on their performance and are subject to annual Performance Review that recognises their strengths, informs plans for their future development, and helps to enhance their professional practice. The arrangements for teacher appraisal are set out in the school's Performance Review policy.
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6.2 Decisions regarding pay progression will be made with reference to the teachers' Performance Review reports and the pay recommendations they contain. In the case of NQTs, whose appraisal arrangements are different, progression will be determined by means of the statutory induction process. It will be possible for a 'no progression' determination to be made without recourse to the capability procedure.
6.3 To be fair and transparent, assessments of performance will be properly rooted in evidence. In this school we will ensure fairness by ensuring that objectives and assessments are consistently applied by staff who are properly trained and whose work is quality assured by the Deputy Head (Performance Management) and Headteacher.
6.4 The evidence we will use will include self-assessment against the Standards for Teachers, peer review, student progress, leadership and management, personal development, lesson observations, work scrutiny and Performance Management targets.
6.5 Teachers' Performance Review reports will contain pay recommendations. Final decisions about whether or not to accept a pay recommendation will be made by the Governing Body, having regard to the Performance Review report and taking into account advice from the Headteacher . The Governing body will ensure that it makes funds available to support pay decisions, in accordance with this pay policy and the school's spending plans.
6.6 In this school, judgements of performance will be properly rooted in evidence and made against the extent to which teachers have met their individual objectives and assessed as meeting the relevant Standards for Teachers. As a teacher moves up the Main Pay Range, this evidence should show:
- an increasing positive impact on pupil progress;
- improvements in specific elements of practice identified to the teacher, e.g. behaviour management or lesson planning;
- an increasing impact on wider outcomes for pupils;
- an increasing contribution to the work of the school;
- an increasing impact on the effectiveness of staff and colleagues.
6.7 The Staffing Committee will be advised by the head teacher in making all such decisions. Any increase will be clearly attributable to the performance of the teacher in question. The Staffing Committee will be able to justify its decisions.
6.8 Further information, including sources of evidence is contained in the school's Performance Review policy.
7. Salaries of Classroom Teachers
7.1 The Staffing Committee will determine the salary for individual teachers on appointment or promotion in accordance with the current School Teachers' Pay and Conditions Document and this pay policy and the recommendations of the Headteacher.
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7.2 The Staffing Committee will also determine the salary of each teacher annually and ensure that teachers are notified in writing of the outcome, including the details specified in the Document.
7.3 The Staffing Committee will have a procedure and timetable for the annual determination of salaries. This will be published to teaching staff each year.
7.4 In determining the salaries of teachers the Staffing Committee will follow the mandatory provisions of the School Teachers' Pay and Conditions Document and will exercise its discretionary powers within the parameters of that Document as set out in Appendix I.
8. Pay Determination on Appointment
8.1 Pay determinations for existing Main Scale teachers, effective from 1 September 2016
The governing body will continue to follow the provisions of the School Teachers' Pay & Conditions Document 2014 and the discretions outlined in the School Pay Policy covering the period 1 st September 2015 – 31 st August 2016 to determine September 2016 salary progression
8.2 Pay determinations for newly appointed Main Pay Range teachers and newly appointed Upper Pay Range teachers.
The Governing Body will determine the pay range for a vacancy prior to advertising it.
In making such determinations, the Governing Body may take into account a range of factors, including:
- The nature and requirements of the post
- The experience required to undertake the specific duties of the post
- The specialist knowledge and skills and required for the post
- Market conditions
- The wider school context.
8.3 The Governing Body recognises that under the School Teachers' Pay & Conditions Document there is no longer an assumption that a teacher will be paid at the same rate as they were being paid in a previous school (Portability). However, when determining the starting pay for a newly appointed classroom teacher on to the Main Pay Range or newly appointed classroom teacher on the Upper Pay Range, the Governing Body will honour the previous point the teacher was paid on the Main Pay Range (Portability) and award the pay scale points as outlined in Appendix II. However, progress will be determined by evidence provided by the previous school.
9
8.4 Main Pay Range effective from 1st September 2015
Scale to be updated for 2016 when confirmed
The Staffing Committee will use reference points. Therefore the pay scale for teachers on the Main Pay Range in this school is:
9. Movement up the Main Pay Range
9.1 To move up the main pay range, one annual point at a time, progression will be dependent upon an individual teacher's performance and will be on the following basis:
- Teachers will be given a pay increase of one annual point if they have met or made significant progress towards meeting their objectives and are assessed as meeting the relevant Standards for Teachers. .
- If the evidence shows that a teacher has exceptional performance, the Governing Body will consider the award of enhanced pay progression of one annual point or two annual points if a teacher exceeds all their objectives and are assessed as fully meeting the relevant Standards for Teachers in two consecutive school years.
9.2 The pro forma provided in Appendix IV will be used for recommending pay progression on the Main Pay Range to the Staffing Committee.
10. Movement to the Upper Pay Range
10.1 Pay determinations for existing Main Scale teachers, effective from 1 September 2016
The governing body will continue to follow the provisions of the School Teachers' Pay & Conditions Document 2014 and the process outlined in the School Pay Policy covering the period 1 st September 2015 – 31 st August 2016 to determine September 2016 salary progression
If a teacher reached M6 on 1 September 2016 and applies before the 30 November 2016, their applications will be assessed using the Document 2014 (paragraph 15), i.e. against the Standards for Teachers and the post-threshold standards, having regard to the most recent Performance Review reviews.
10.2 Applications and Evidence to be Paid on the Upper Pay Range from 1 September 2016
From 1 September 2016, any qualified teacher can apply to be paid on the Upper Pay Range and any such application must be assessed in line with this policy. It is the responsibility of the teacher to decide whether or not they wish to apply to be paid on the upper pay range.
A teacher may submit only one application in each academic year.
If a teacher is simultaneously employed at another school(s), they may submit separate applications if they wish to apply to be paid on the UPR in that school(s). This school will not be bound by any pay decision made by another school.
All applications should include the results of Performance Reviews under the Appraisal Regulations 2012, including any recommendation on pay. Where such information is not applicable or available, a written statement and summary of evidence designed to demonstrate that the applicant has met the assessment criteria must be submitted by the applicant.
In order for the assessment to be robust and transparent, it will be an evidencebased process only. Teachers therefore should ensure that they build a mainly paper evidence base to support their application.
Those teachers who are not subject to the Appraisal Regulations 2012, or who have been absent, through sickness, disability or maternity, may cite written evidence from a 3 year period before the date of application, from this school and other schools, in support of their application.
10.3 Process and Procedures
One application may be submitted annually. The closing date for applications is normally 31 st October each year. However, exceptions will be made in particular circumstances, e.g. those teachers who are on maternity leave or who are currently on sick leave. The process for applications is:
- Complete the school's application form;
- If the assessor is not the head teacher you will receive notification of the name of the assessor of your application within 5 working days;
- Submit the application form and supporting evidence to the head teacher by the cut-off date of 31 st October.
- The assessor will assess the application, which will include a recommendation to the Staffing Committee of the relevant body;
- The application, evidence and recommendation will be passed to the head teacher for moderation purposes, if the head teacher is not the assessor;
- The Staffing Committee will make the final decision, advised by the head teacher;
- If requested, oral feedback which will be provided by the assessor. Oral feedback will be given within 10 school working days of the date of notification of the outcome of the application. Feedback will be given in a positive and encouraging environment and will include advice and support on areas for improvement in order to meet the relevant criteria.
- Teachers will receive written notification of the outcome of their application by 30 th November. Where the application is unsuccessful, the written notification will include the areas where it was felt that the teacher's performance did not satisfy the relevant criteria set out in this policy (see 'Assessment' below).
- Successful applicants will move to the minimum of the UPR on 1 September of the following year.
- Unsuccessful applicants can appeal the decision. The appeals process is set out in Appendix III of this pay policy.
10.4 The Assessment:
The teacher will be required to meet the criteria set out in the School Teachers' Pay and Conditions Document, namely that:
- the teacher is highly competent in all elements of the relevant standards; and
- the teacher's achievements and contribution to the school are substantial and sustained.
In this school, this means:
"highly competent":
the teacher's performance is assessed as having excellent depth and breadth of knowledge, skill and understanding of the Standards for Teachers in the particular role they are fulfilling and the context in which they are working. (e.g. performance which is good enough to fulfill wider professional responsibilities, and develop effective professional relations with colleagues, giving them advice and demonstrating to them effective teaching practice and how to make a positive contribution to the wider life and ethos of the school, in order to help them meet the relevant standards and develop their teaching practice).
"substantial":
the teacher's achievements and contribution to the school are significant, not just in raising standards of teaching and learning in their own classroom, or with their own groups of children, but also in making a significant wider contribution to school improvement, which impacts on pupil progress and the effectiveness of staff and colleagues.
(e.g. of real importance, validity or value to the school; play a critical role in the life of the school; provide a role model for teaching and learning; make a distinctive contribution to the raising of pupil standards; take advantage of appropriate opportunities for professional development and use the outcomes effectively to improve pupils' learning).
"sustained"
:
the teacher must have had two consecutive successful Performance Review reports in this school and have made good progress towards their objectives during this period (see exceptions outlined in paragraph 10.2). They will have been expected to have shown that their teaching expertise has grown over the relevant period and is consistently good to outstanding.
Further information, including information on sources of evidence is contained within the school's Performance Management policy.
10.5 The pro forma provided in Appendix VI will be used for recommending movement to the Upper Pay Range to the Staffing Committee.
11. Pay Progression on the Upper Pay Range
11.1 Pay determinations effective from 1st September 2016
The Governing Body will continue to follow the provisions of the School Teachers' Pay & Conditions Document 2014 and procedures outlined in the School Pay Policy covering the period 1st September 2015 – 31st August 2016 to determine September 2016 salary progression.
Progression from the maximum point on the Main Pay Range to the Minimum point on the Upper Pay Range will be dependent upon the Reviewer's judgement of the colleague's progression against Standards for Teachers, fully evidenced and reviewed by the Headteacher. Progression from Minimum point to Mid point, and from Mid to Maximum point will be dependent upon completion of the relevant proforma (Appendix V), fully evidenced and reviewed by the Headteacher.
The pro forma provided in Appendix V will be used for recommending Post Threshold salary assessment to the Staffing Committee.
11.2 Pay determinations effective from 1st September 2016
The Staffing Committee will determine whether there should be any movement on the Upper Pay Range. In making such a determination, it will take into account:
- paragraph 15 of the School Teachers' Pay & Conditions Document 2014;
- the evidence base, which should show that the teacher has had a successful Performance Review and has met or made significant progress towards objectives;
- evidence that the teacher has maintained the criteria set out in paragraph 29 of the School Teachers' Pay & Conditions Document 2014 namely that:
the teacher is highly competent in all elements of the relevant standards; and that the teacher's achievements and contribution to the school are substantial and sustained. The meaning of these criteria is set out in paragraph 30 "The Assessment".
11.3 The Staffing Committee will be advised by the Headteacher in making all such decisions. Pay progression on the Upper Pay Range will be clearly attributable to the performance of the individual teacher. The Staffing Committee will be able to objectively justify its decisions.
11.4 Where it is clear that the evidence shows the teacher has made good progress, i.e. they continue to maintain the criteria set out in paragraph 30 "The Assessment", and have met or made significant progress towards their objectives, the teacher will move to the mid point on the Upper Pay Range; or if already on the mid-point, will move to the maximum point of the Upper Pay Range.
11.5 Where it is clear from the evidence that the teacher's performance is exceptional, in relation to the criteria set out in paragraph 30 "The Assessment', and where the teacher has met or exceeded their objectives, the Staffing Committee will use its flexibility to decide on enhanced progression from the minimum to the maximum of the Upper Pay Range.
11.6 Upper Pay Range effective from 1st September 2015:
Scale to be updated for 2016 when confirmed
The Staffing Committee will use reference points. Therefore the pay scale for Upper Pay Range in this school is:
Minimum point £35,218
Mid-point £36,523
Maximum point £37,871
11.7 The pro forma provided in Appendix VI will be used for recommending pay progression on the Upper Pay Range to the Staffing Committee.
12. Leading Practitioner Posts
The governing body currently has no plans to appoint Leading Practitioners. However, should it in the future do so, the governing body will take account of paragraph 56 of the Document when determining the role of leading practitioner in this school. Additional duties will be set out in the job description of the leading practitioner and will include:
- a leadership role in developing, implementing and evaluating policies and practices in the school that contribute to school improvement;
- the improvement of teaching schools within school [and within the wider school community] which impact significantly on pupil progress;
- improving the effectiveness of staff and colleagues.
12.1 Pay on appointment
The Staffing Committee will determine a pay range for each leading practitioner post in accordance with paragraph 18 of the Document; and paragraphs 44 to 47 of the section 3 guidance.
12.2 Pay determinations with effect from 1 September 2016
The head teacher will agree Performance Review objectives for the leading practitioner.
The Staffing Committee shall have regard to the results of the leading practitioner's Performance Review, including the pay recommendation, when exercising any discretion in relation to their pay, in accordance with paragraph 16 of the Document.
12.3 The Staffing Committee will take account of other evidence. The evidence should show the leading practitioner:
- has met or made significant progress towards their objectives;
- is an exemplar of teaching skills, which should impact significantly on pupil progress, within school and within the wider school community, if relevant;
- has made a substantial impact on the effectiveness of staff and colleagues, including any specific elements of practice that have been highlighted as in need of improvement;
- is highly competent in all aspects of the Standards for Teachers;
- has shown strong leadership in developing, implementing and evaluating policies and practice in their workplace that contribute to school improvement.
- "Highly competent", "substantial" are defined in paragraph 9.4 "The Assessment".
- The Staffing Committee will be advised by the head teacher in making all such decisions.
12.4 The Staffing Committee will determine pay progression such that the amount is clearly attributable to the performance of the leading practitioner. The Staffing Committee will be able to objectively justify its decision.
12.5 Further information, including sources of evidence is contained within the school's Performance Review policy.
13. Unqualified Teachers
13.1 Pay on appointment
There are currently no unqualified teachers employed at Pershore High School, but should this change, the following conditions will apply.
The Staffing Committee will pay any unqualified teacher in accordance with the provisions of the School Teachers' Pay and Conditions Document. The Staffing Committee will determine where a newly appointed unqualified teacher will enter the scale, having regard to any qualifications or experience s/he may have, which they consider to be of value. The Staffing Committee will consider whether it wishes to pay an additional allowance outlined in Appendix II of the Pay Policy.
13.2 Pay determinations effective from 1 September 2016
In order to progress up the unqualified teacher range, unqualified teachers will need to show that they have met or made significant progress towards their objectives.
13.3 If the evidence shows that a teacher has exceptional performance, the governing body will award enhanced pay progression.
13.4 Judgements will be properly rooted in evidence. As unqualified teachers move up the scale, this evidence should show:
- an improvement in teaching skills;
- an increasing impact on wider outcomes for pupils;
- an increasing positive impact on pupil progress;
- improvements in specific elements of practice identified to the teacher;
- an increasing impact on the effectiveness of staff and colleagues.
- an increasing contribution to the work of the school;
13.5 The Staffing Committee will be advised by the head teacher in making all such decisions. Pay progression on the unqualified teacher range will be clearly attributable to the performance of the individual teacher. The Staffing Committee will be able to objectively justify its decisions.
Information on sources of evidence is contained within the school's Performance Review policy.
14. Salaries of Headteacher, Deputy Headteachers, Assistant Headteachers and Advanced Skills Teachers
14.1 The salaries of the Headteacher, Deputy Headteacher(s) and any Assistant Headteacher or Advanced Skills Teacher will be reviewed annually. However, the Governing Body currently has no plans to appoint Advanced Skills Teachers. There will be a procedure and timetable for the annual review which will give the option of formal representation. Written notification will be given to the Headteacher, Deputy Headteacher(s) and Assistant Headteacher(s). As required, written notification will also be given of the performance objectives agreed or set and which will be reviewed as part of the next annual salary determination.
14.2 The individual academy school range (ISR) will reflect the responsibilities of the job in addition to the size of the school, and salaries of headteachers at comparable size schools.
14.3 For any new appointment, the Governing Body must set the ISR within the group range for the academy school. There is no longer the ability to set an ISR outside the group range for the academy school.
The Staffing Committee can exercise its discretionary powers to award a discretionary payment. The total sum of discretionary payments made to a Headteacher in any school year must not exceed 25% of the individual Headteacher's pay point on the leadership group pay spine unless the Governing Body decide to exercise its discretionary powers in wholly exceptional circumstances and exceed the 25% limit. It is likely that, in most cases, the Governing Body would not use the 'wholly exceptional circumstances' discretion.
14.4 For existing Heads the Governing Body when making a fresh determination on the Headteacher's ISR must set the ISR within the group range for the school. There is no longer the ability to set the ISR outside the group range for the school.
14.5 For those Head teachers whose ISR is already outside the group range for the school, there is no requirement to re-adjust the ISR until a new pay determination is made in relation to a change in ISR.
14.6 The Governing Body therefore has two options to consider when determining the Headteacher's ISR for new and existing employees:
The Staffing Committee will consider using its discretion, in wholly exceptional circumstances, to exceed the 25% limit on discretionary payments. However, before agreeing to do so, it will seek the agreement of the Governing Body which in turn will seek external independent advice before providing such agreement.
14.7 The Governing Body will determine the pay ranges of the Deputy Headteacher(s) and any Assistant Headteacher(s) and Advanced Skills Teacher(s) in relation to the duties and responsibilities of those teachers. The Governing Body can review the pay ranges at any time if they consider it necessary to retain a Deputy or Assistant Headteacher.
14.8 The annual determination of salaries will be conducted by the appropriate committee having regard to the results of the most recent Performance Review carried out in accordance with the school's performance management policy and reported to the full Governing Body.
14.9 If the Headteacher, Deputy Headteacher(s) and any Assistant Headteacher(s) have additional responsibilities or change their responsibilities the committee will consider whether there have been corresponding additions to the duties and responsibilities of other staff in the school.
15. Salaries of Support Staff
15.1 On appointment an increment/increments may be awarded at the discretion of the Governing Body when educational qualifications or experience are considered particularly relevant to the post.
15.2 Support Staff whose jobs are regraded will be paid a salary on the new grade which is at least one spinal column point higher than the employee's previous salary.
15.3 The Governing Body will determine the salary for individual support staff on appointment or promotion based on the recommendation of the Headteacher.
15.4 In selecting the salary grade for the job the Headteacher/Governing Body will have regard to the responsibilities of the job outlined in the Job Description, Person Specification and recognised job evaluation scheme with advice from their HR Adviser.
15.5 Additional responsibilities undertaken on a temporary basis at the discretion of the Governing Body (or of the Headteacher acting on the Governing Body's behalf) will be recognised where appropriate by the payment on a higher salary grade for the period in question in accordance with the conditions of service.
15.6 The Governing Body may accelerate the progression up the incremental scale within the range on the grounds of 'special merit or ability' up to a maximum of two additional increments. The reasons for awarding the increments should be clearly discernible.
16. Rights of Employees who are Dissatisfied with a Decision Taken About Pay
16.1 The Governing Body, in determining and publishing its pay policy, aims to ensure that all decisions taken on pay and remuneration are justifiable and fair.
16.2 The Governing Body will provide for:
- a member of staff (including the Deputy Headteacher) to be able to approach the Headteacher informally if he/she has any concerns about his/her salary;
- the Headteacher to make recommendations to the appropriate committee about the salaries of staff;
- the Headteacher, Deputy Headteacher and/or any other member of staff to make written representations to the appropriate committee on their individual salaries;
- appeals to an appeal committee following informal discussion between the member of staff and the Headteacher to clarify reasons for relevant decision about pay and provision of written confirmation if so requested. A model agenda is included at Appendix III.
16.3 Staff may wish to seek the advice of their union/professional association in making representations or an appeal.
17. Pay Appeal Arrangements for Teaching and Support Staff
The arrangements for considering appeals are as follows:
A teacher or member of the support staff may seek a review of any determination in relation to his pay or any other decision taken by the Governing Body (or a committee or individual acting with delegated authority) that affects his/her pay.
The following list, which is not exhaustive, includes the usual reasons for seeking a review of a pay determination;
That the person or committee by whom the decision was made:
(a) incorrectly applied any provision of the Academy's Pay Policy
(b) failed to take proper account of relevant evidence;
(c) took account of irrelevant or inaccurate evidence;
(d) was biased; or
(e) otherwise unlawfully discriminated against the teacher.
The order of proceedings is as follows:
(i) The employee receives written confirmation of the pay determination and where applicable the basis on which the decision was made.
(ii) If the employee is not satisfied, he/she should seek to resolve this by discussing the matter informally with the Headteacher within ten working days of the decision.
(iii) Where this is not possible, or where the employee continues to be dissatisfied, he/she may follow a formal appeal process.
(iv) The employee should set down in writing the grounds for questioning the pay decision and send it to the Committee who made the determination, within ten working days of the notification of the decision being appealed against or of the outcome of the discussion referred to above.
(v) The Committee who made the determination should provide a hearing within ten working days of receipt of the written appeal to consider the appeal and give the employee an opportunity to make representations in person. Following the hearing the employee should be informed in writing of the hearing's decision and the right to appeal.
(vi) Any appeal should be heard by a panel of three Governors who were not involved in the original determination normally within 20 working days of the receipt of the written appeal notification. The employee will be given the opportunity to make representations in person. For any formal hearing or appeal the employee is entitled to be accompanied by a friend/colleague or union representative. Each step and action of this process must be taken without unreasonable delay. The timing and location of the formal meeting must be reasonable. The formal meeting must allow both parties to explain their cases. The decision of the appeal panel will be given in writing, and where the appeal is rejected will include a note of the evidence considered and the reasons for the decision.
The procedures for hearing of appeals against salary determinations are set down in Appendix III.
SCHOOL STAFFING STRUCTURE
Headteacher – Clive Corbett
Deputy Headteachers – Phillip Hanson and Andrew Nockton
Assistant Headteachers – Jason Howell (RSL5) and Zoe Budding (RSL3)
Finance and Business Director – Russell Dalton
Heads of House – Emma Bliss (Armstrong), Matthew Lake (Kingsley), Paul Watson (Magellan)
Deputy Heads of House – Julie Taylor (Armstrong), Vickie Brown (Kingsley), Gayle McPherson (Magellan)
Heads of Department
Co-ordinators
Art
Business
RK
English
Humanities
ICT
SB
Maths
DM
Modern Langs
Perf. Arts
PE
TB
Science
SRC
Sixth Form
Technology
Responsibilities
Assistant Hd of Science
Assistant Hd of PE
Assistant Hd of Sixth
Form
JAM
RSL4 (Core)
RSL4 (Foundation)
SEN
Safeguarding
Data
Examinations
Supply cover
Behaviour Mgt
ITT & induction of staff
Work Related Learning &
Enterprise Education
International Co-ordinator
Gifted &Talented
Eco Club
Activities Week
Community Cohesion
Raising Aspirations
Work Experience
Other voluntary roles
SRA Chairman
SALARIES of TEACHERS – DISCRETIONARY POWERS
EXERCISE OF DISCRETIONARY POWERS
Payments to Relief or Short Notice Teachers
| Unqualified Teachers Allowance | The Governing Body may pay an unqualified teachers' allowance to unqualified teachers where it considers, in the context of its staffing structure that the teacher has – (a) Taken on a sustained additional responsibility which is: (i) Focused on teaching and learning; and (ii) Requires the exercise of a teachers' professional skills and judgement; or (b) Qualifications or experience which bring added value to the role being undertaking. |
|---|---|
| Headteacher | The Headteacher must demonstrate sustained high quality of performance, with particular regard to leadership, management and pupil progress at the school and will be subject to a review of performance against performance objectives before any performance points will be awarded. The 'Application of Leadership Group Pay Progression Criteria - Clarification' will be taken fully into account. Annual pay progression within the range for these posts is not automatic. Any progression will normally be by one point, but the Governing Body will consider movement by two points only in exceptional circumstances. These will be approved the Governors’ Staffing Committee. |
| Deputies and Assistant Heads | Deputies and Assistant Heads must demonstrate sustained high quality of performance in respect of school leadership and management and pupil progress and will be subject to a review of performance against their performance objectives before any performance points will be awarded. The 'Application of Leadership Group Pay Progression Criteria - Clarification' will be taken fully into account. Annual pay progression within the range for this post is not automatic. Any progression will normally be by one point, but the Governing Body will consider movement by two points only in exceptional circumstances. These will be approved the Governors’ Staffing Committee. |
| Leading Practitioners | The Governing Body has determined that Leading Practitioners posts are not currently to be included in the school staffing structure. |
(a) Teachers who work on a day-to-day or other short notice basis have their pay determined in the same way as other teachers as outlined above under - Pay Determination on Appointment.
Teaching and Learning Responsibility Payments (TLRs)
Scales to be updated when confirmed
TLRs will be awarded to the holders of the posts indicated in the attached staffing structure.
The values of the TLRs to be awarded are set out below:
TLRs will be awarded to the following values:
TLR PHS 4 £9,287 to the holder of:
HoD English;
HoD Mathematics;
HoD Science;
HoD Technology;
Heads of House;
SEN Coordinator;
HoD Humanities.]
TLR PHS 3 £7,546 to the holder of:
HoD ICT;
Training Manager;
HoD Performing Arts;
HoD PE;
HoD MFL
Maths KS4
TLR PHS 2 £4,354 to the holder of:
HoS History;
HoS RS;
HoD Business Studies;
HoD Visual Arts
Assistant HoScience
KS4 Achievement English;
Assisant HoTechnology;
Assistant HoPE.
TLR PHS 1 £2,613 to the holder of:
Deputy Heads of House;
HoS Drama;
HoS Psychology;
Teacher with responsibility for Food Technology;
Leadership of A Level Chemistry;
KS3 MFL.
The Governing Body will consider awarding a fixed term temporary payment no less than £500 and no more than £2,500 to teachers for one off externally driven responsibilities.
The criterion and factors for award of TLR payments, and values as outlined in the School Teachers' Pay and Conditions Document, will be taken fully into account.
Recruitment and Retention incentives and benefits
The Governing Body will consider awarding the payment of recruitment awards in special circumstances.
The Governing Body will consider awarding the payment of retention awards in special circumstances.
Other Payments
(a) Continuing professional development
Teachers (including the Headteacher) who volunteer to undertake continuing professional development outside the school day will be entitled to an additional payment. The payment will be calculated by dividing M6 of the School Teachers' Pay Spine by 195 to determine a daily rate of pay and 1265 to determine an hourly rate of pay.
PROCEDURE FOR APPEALS AGAINST SALARY DETERMINATIONS
Model Agenda for Pay Appeals Committee * Meeting
Roles of individuals attending Appeals Meeting:
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
...................................................................................................................................................
1. Introduction of the Pay Appeals Committee members and others present by the Chair and explanation of the purpose of the meeting.
2. Statement of Appeal by the appellant and/or representative (work colleague or trade union representative) including witnesses.
3. Questions by members of the Pay Appeals Committee (and HR Adviser where appropriate).
4. Statement by respondent Chair of Staffing Committee including Headteacher/witnesses.
5. Questions by members of the Pay Appeals Committee (and HR Adviser where appropriate).
6. Concluding statement by appellant or representative.
7. Consideration of Appeal by the Pay Appeals Committee with assistance from HR Adviser, as appropriate. All others withdraw.
8. Return of interested parties.
9. Announcement of decision.
* The Pay Appeals Committee hearing appeals will consider any appeals against decisions taken by the Pay Committee. Any member of the Pay Appeals Committee hearing appeals must not be a member of the Pay Committee.
All evidence relating to the reasons for the decision and relevant to any qualifying period should be available to the parties 5 working days before the meeting.
IN CONFIDENCE
PAY PROGRESSION – MAIN PAY RANGE (01/09/2016)
Name of Teacher: ......................................................................................................................
Department: ...............................................................................................................................
APPRAISAL
Agreed Appraisal
Objective Progress Objective
Objectives
Met
Towards Not
Objective Met
1.
2.
3.
RECOMMENDATION OF REVIEWER
Iconfirm that: …………………………………………..
Either
- has made significant progress towards meeting objectives
- are assessed as meeting therelevant Standards for Teachers
Or
- has met all objectives
- are assessed as fully meeting therelevant Standards for Teachers
In the case of exceptional performance:
- exceeded all objectives
- are assessed as fully meeting the relevant Standards for Teachers
That the teacher’s achievements and contribution to the school are substantial and sustained. The meaning of these criteria is set out in paragraph 10.4 the section of this policy entitled, “The Assessment”.
This judgement has been made with regard to the results of the most recent appraisals.
1. I recommend salary progression on the Main Pay Range
OR
2. I do not recommend salary progression on the Main Pay Range for the following reasons:
Signed: ..............................................................................
Date: ...............................................
(Reviewer)
RECOMMENDATION OF HEADTEACHER TO STAFFING COMMITTEE
1. I support the recommendation for salary progression on the Main Pay Range OR
2. I do not support the recommendation for salary progression on the Main Pay Range for the following reasons:
Signed: ..............................................................................
Date: ...............................................
(Headteacher)
IN CONFIDENCE
POST-THRESHOLD SALARY ASSESSMENT (01/09/2016)
Name of Teacher: ........................................................................................................................
Department: .................................................................................................................................
APPRAISAL
Agreed Appraisal
Objective
Progress Objective
Objectives
Met
Towards Not
Objective Met
1.
2.
3.
RECOMMENDATION OF REVIEWER
I confirm that ………………………………………….. has had two successful consecutive appraisals. These successful appraisals have ensured that the achievements and contribution of the teacher have been substantial and sustained by assessing that the teacher has continued to meet post-threshold standards and grown professionally by developing their teaching experience. This judgement has been made with regard to the results of the most recent appraisals or reviews.
1. His/her contribution to the school has been substantial and sustained and I recommend for post-threshold salary progression OR
2. His/her contribution to the school has not been substantial and sustained and I do not recommend for post-threshold salary progression for the following reasons:
Signed: ...............................................................................
Date: ...............................................
(Reviewer)
RECOMMENDATION OF HEADTEACHER TO GOVERNORS' STAFFING COMMITTEE
1. I support the recommendation for post-threshold salary progression OR
2. I do not support the recommendation for post-threshold salary progression for the following reasons:
Signed: ...............................................................................
Date: ...............................................
(Headteacher)
IN CONFIDENCE
MOVEMENT TO UPPER PAY RANGE (01/09/2016)
Name of Teacher: ........................................................................................................................
Department: .................................................................................................................................
APPRAISAL
Agreed Appraisal
Objective
Progress Objective
Objectives
Met
Towards Not
Objective Met
1.
2.
3.
RECOMMENDATION OF HEADTEACHER TO GOVERNORS' STAFFING COMMITTEE
I confirm that ………………………………………………………………………………..………(name) :
(a) has had two successful consecutive appraisals.
(b) is highly competent in all elements of the relevant Standards for Teachers.
(c) achievements and contribution to the school are substantial and sustained. The meaning of these criteria is set out in paragraph 10.4 of this Pay Policy entitled, “The Assessment”.
This judgement has been made with regard to the results of the most recent appraisals.
1. I recommend movement to the Upper Pay Range OR
2. I do not recommend movement to the Upper Pay Range for the following reasons:
Signed: ...............................................................................
Date: ...............................................
(Headteacher)
IN CONFIDENCE
PAY PROGRESSION – UPPER PAY RANGE (01/09/2016)
Name of Teacher: ......................................................................................................................
Department: ...............................................................................................................................
APPRAISAL
Agreed Appraisal
Objective Progress Objective
Objectives
Met
Towards Not
Objective Met
1.
2.
3.
RECOMMENDATION OF REVIEWER
I confirm that …………………………………………..
- has had two consecutive successful appraisal and has met or made significant progress towards objectives;
- is highly competent in all elements of the relevant Standards for Teachers; and
- that the teacher’s achievements and contribution to the school are substantial and sustained. The meaning of these criteria is set out in the section 10.4 of this policy entitled, “The Assessment”.
This judgement has been made with regard to the results of the most recent appraisals or reviews.
1. I recommend salary progression on the Upper Pay Range OR
2. I do not recommend salary progression on the Upper Pay Range for the following reasons:
Signed: ..............................................................................
Date: ...............................................
(Reviewer)
RECOMMENDATION OF HEADTEACHER TO STAFFING COMMITTEE
1. I support the recommendation for salary progression on the Upper Pay Range OR
2. I do not support the recommendation for salary progression on the Upper Pay Range for the following reasons:
Signed: ..............................................................................
Date: ...............................................
(Headteacher)
IN CONFIDENCE
Assessment Form – Standards for Teachers
When assessing the teachers' performance against each of the Standards for Teachers the appraiser will assess qualified teachers against the standards to a level that is consistent with what should reasonably be expected of a teacher in the relevant role and context within which the teacher is practising and at the relevant stage of their career e.g. new or inexperienced teacher, experienced teacher, teacher on the Upper Pay Range
As a teacher moves up the Main Pay Range, the evidence and assessment should show:
- an increasing positive impact on pupil progress
- improvements in specific elements of practice identified to the teacher, e.g. behaviour management or lesson planning
- an increasing impact on wider outcomes for pupils
- an increasing contribution to the work of the school
- an increasing impact on the effectiveness of staff and colleagues
1. Sets high expectations which inspire
Comments
- establish a safe and stimulating environment for pupil
- demonstrate consistently the positive attitudes
- set goals that stretch and challenge pupils of all backgrounds
2. Promotes good progress and outcomes by pupils
Comments
- be accountable for pupils' attainment, progress and outcomes
- guide pupils to reflect on the progress they have made and their emerging needs
- be aware of pupils' capabilities and their prior knowledge, and plan teaching to build on these
- demonstrate knowledge and understanding of how pupils learn and how this impacts on teaching
- encourage pupils to take a responsible and conscientious attitude to their own work and study.
- demonstrate knowledge and understanding of how pupils learn and how this impacts on teaching
| Exceptional performance | Meet the Standard | Development Needed | Do Not Meet the Standard |
|---|---|---|---|
3. Demonstrates good subject and curriculum knowledge
- have a secure knowledge of the relevant subject(s) and curriculum areas, foster and maintain pupils' interest in the subject, and address misunderstandings
- demonstrate an understanding of and take responsibility for promoting high standards of literacy, articulacy and the correct use of standard English, whatever the teacher's specialist subject
- demonstrate a critical understanding of developments in the subject and curriculum areas, and promote the value of scholarship
- if teaching early reading, demonstrate a clear understanding of systematic synthetic phonics
- if teaching early mathematics, demonstrate a clear understanding of appropriate teaching strategies.
Assessment Rating
My overall assessment of your performance against the
Teachers' Standard 3:
4. Plans and teaches well structured lessons
- impart knowledge and develop understanding through effective use of lesson time
- set homework and plan other out-of-class activities to consolidate and extend the knowledge and understanding pupils have acquired
- promote a love of learning and children's intellectual curiosity
- reflect systematically on the effectiveness of lessons and approaches to teaching
- contribute to the design and provision of an engaging curriculum within the relevant subject area(s).
| Exceptional performance | Meet the Standard | Development Needed | Do Not Meet the Standard |
|---|---|---|---|
5. Adapts teaching to respond to the strengths and needs of all pupils
Comments
- know when and how to differentiate appropriately, using approaches which enable pupils to be taught effectively
- demonstrate an awareness of the physical, social and intellectual development of children, and know how to adapt teaching to support pupils' education at different stages of development
- have a secure understanding of how a range of factors can inhibit pupils' ability to learn, and how best to overcome these
- have a clear understanding of the needs of all pupils, including those with special educational needs; those of high ability; those with English as an additional language; those with disabilities; and be able to use and evaluate distinctive teaching approaches to engage and support them.
33
Exceptional
Meet the performance
Standard
Development
Needed
Appendix VIII (continued)
Comments
Do Not Meet the Standard
Comments
Comments
Appendix VIII (continued)
6. Makes accurate and productive use of assessment
- know and understand how to assess the relevant subject and curriculum areas, including statutory assessment requirements
- use relevant data to monitor progress, set targets, and plan subsequent lessons
- make use of form
- give pupils regular feedback, both orally and through accurate marking, and encourage pupils to respond to the feedback.
| Exceptional performance | Meet the Standard | Development Needed | Do Not Meet the Standard |
|---|---|---|---|
7. Manages behaviour effectively to ensure a good and safe learning environment
Comments
- have clear rules and routines for behaviour in classrooms, and take responsibility for promoting good and courteous behaviour both in classrooms and around the school, in accordance with the school's behaviour policy
- manage classes effectively, using approaches which are appropriate to pupils' needs in order to involve and motivate them
- have high expectations of behaviour, and establish a framework for discipline with a range of strategies, using praise, sanctions and rewards consistently and fairly
Assessment Rating
My overall assessment of your performance against
the Teachers' Standard 7:
8 Fulfills wider professional responsibilities
- make a positive contribution to the wider life and ethos of the school
- deploy support staff effectively
- develop effective professional relationships with colleagues, knowing how and when to draw on advice and specialist support
- take responsibility for improving teaching through appropriate professional development, responding to advice and feedback from colleagues
Assessment Rating
My overall assessment of your performance against the
Teachers' Standard 8:
Exceptional
Meet the performance
Standard
Exceptional
Meet the performance
Standard
Development
Needed
Do Not Meet the Standard
Comments
Do Not Meet the Standard
Comments
Development
Needed
34
Comments
Comments
Personal and Professional Conduct
A teacher is expected to demonstrate consistently high standards of personal and professional conduct. The following statements define the behaviour and attitudes which set the required standard for conduct throughout a teacher's career.
- Teachers uphold public trust in the profession and maintain high standards of ethics and behaviour, within and outside school, by:
- treating pupils with dignity, building relationships rooted in mutual respect, and at all times observing proper boundaries appropriate to a teacher's professional position
- having regard for the need to safeguard pupils' well-being, in accordance with statutory provisions
- showing tolerance of and respect for the rights of others
- not undermining fundamental British values, including democracy, the rule of law, individual liberty and mutual respect, and tolerance of those with different faiths and beliefs
- ensuring that personal beliefs are not expressed in ways which exploit pupils' vulnerability or might lead them to break the law.
- Teachers must have proper and professional regard for the ethos, policies and practices of the school in which they teach, and maintain high standards in their own attendance and punctuality.
- Teachers must have an understanding of, and always act within, the statutory frameworks which set out their professional duties and responsibilities.
Meets the standards for Personal and Professional Conduct
Overall assessment of the teachers' performance against the Standards for Teachers
When assessing the overall teachers' performance against the Standards for Teachers the appraiser will assess qualified teachers against the standards to a level that is consistent with what should reasonably be expected of a teacher in the relevant role and context within which the teacher is practising and at the relevant stage of their career e.g. new or inexperienced teacher, experienced teacher, teacher on the Upper Pay Range
As a teacher moves up the Main Pay Range, the evidence and assessment should show:
- an increasing positive impact on pupil progress
- improvements in specific elements of practice identified to the teacher, e.g. behaviour management or lesson planning
- an increasing impact on wider outcomes for pupils
- an increasing contribution to the work of the school
- an increasing impact on the effectiveness of staff and colleagues
Appendix VIII (continued)
The above judgement has been made with regard to the results of the most recent appraisals. Consideration and regard has been given to what can reasonably be expected of a teacher in the relevant role and context within which the teacher is practising and at the relevant stage of their career
Signed: ..............................................................................
Date: ...............................................
(Reviewer)
Signed: ..............................................................................
Date: ...............................................
(Teacher)
OVERVIEW OF RECOMMENDED GRADES FOR TECHNICIANS
(See Guidance on EduLink)
SCIENCE TECHNICIANS
| | Job Title | | Grade | Description of Role |
|---|---|---|---|---|
| Assistant Science Technician | | Scale 2 | | |
| Science Technician | | Scale 3 | | |
| Senior Science Technician | | Scale 5 | | |
| Team Leader Science Technician | | Scale 6 | | |
DESIGN & TECHNOLOGY TECHNICIANS
| | Job Title | | Grade | Description of Role |
|---|---|---|---|---|
| Design & Technology Technician | | Scale 2 | | |
| Design & Technology Technician; Workshop Technician | | Scale 3 | | |
OVERVIEW OF RECOMMENDED GRADES FOR TEACHING ASSISTANTS
(See Guidance on EduLink)
OVERVIEW OF RECOMMENDED GRADES FOR HIGHER LEVEL TEACHING ASSISTANTS AND COVER SUPERVISORS
(See Guidance on EduLink)
Cover Supervisor
* To work under the guidance of teaching/senior staff with individuals/groups, in or out of the classroom. To supervise whole classes occasionally during the short-term absence of teachers. The primary focus will be to maintain good order and to keep pupils on task. Cover Supervisors will need to respond to questions and generally assist pupils to undertake set activities and implement agreed work programmes.
Teaching Assistant Grade 2 (with some Cover Supervision responsibilities)
* To support the classroom teacher with their responsibility for the development and education of children, including those with special physical, emotional and educational needs, by utilising detailed knowledge and specialist skills.
* To work under the guidance of teaching/senior staff, to implement agreed work programmes with individuals/groups, in or out of the classroom. This could include those requiring detailed and specialist knowledge in particular areas and will involve assisting the teacher in the management/preparation of resources.
Staff may also undertake 'Cover Supervision', i.e. supervise whole classes occasionally during the short-term absence of teachers. The primary focus whilst undertaking cover duties will be to maintain good order and to keep pupils on task. Cover Supervisors will need to respond to questions and generally assist pupils to undertake set activities.
Teaching Assistant Grade 3 (with some Cover Supervision responsibilities)
* To work collaboratively with the classroom teacher with their responsibility for the development and education of children, including those with special physical, emotional and educational needs, by utilising detailed knowledge and specialist skills in specialist discipline being fully involved in all stages of the planning cycle.
* To work under the guidance of teaching/senior staff, to implement agreed work programmes with individuals/groups, in or out of the classroom. This could include those requiring detailed and specialist knowledge in particular areas and will involve assisting the teacher in the management/preparation of resources.
Staff may also undertake 'Cover Supervision', i.e. supervise whole classes occasionally during the short-term absence of teachers. The primary focus whilst undertaking cover duties will be to maintain good order and to keep pupils on task with work that has been set. Cover Supervisors will need to respond to questions and generally assist pupils to undertake learning activities.
Higher Level Teaching Assistant
* To complement the professional work of teachers by taking responsibility for agreed learning activities under an agreed system of supervision. This may involve planning, preparing and delivering learning activities for individuals/groups or short term for whole classes and monitoring pupils and assessing, recording and reporting on pupils achievement, progress and development.
* Responsible for the management and development of a specialist area within the school and/or management of other teaching assistants including allocation and monitoring of work, appraisal and training.
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APPENDIX XIV
SALARY GRADES FOR LOCAL GOVERNMENT EMPLOYEES
SCP 01/04/13 01/01/15 Contracted Hourly Rate Casual Hourly Rate
CARETAKERS' LETTINGS AGREEMENT
LETTINGS CUSTODIAN DUTIES
(For the purpose of these notes, the words 'Lettings Custodian' refer to any individual employee who undertakes lettings duties either paid or voluntarily).
A. Before the Letting
A1. The Lettings Custodian must be satisfied that approval for the letting has been given by the Headteacher, for instance, by confirming that the relevant lettings application form has been completed by the hirer.
A2. The Lettings Custodian must also ensure that 'double bookings' are avoided, bringing such incidents to the attention of the Headteacher, as soon as possible.
A3. The accommodation requested must be made available to the hirer, at the time agreed. If chairs have been requested, these too should be made ready for use, unless it has been agreed with the hirer that they will set out and put away the chairs themselves.
A4. The Lettings Custodian should check the accommodation to ensure that there is no damage/theft to the accommodation/equipment prior to the letting taking place.
A5. Unless prior agreement has been reached, hirers will not generally be allowed to enter the premises before the stipulated time. If such agreements have been made, the Lettings Custodian should note the exact time of entry.
B. During the Letting
B1. The Lettings Custodian is not required to remain on site for the duration of the letting, unless prior approval from the Headteacher has been sought.
C. After the Letting
C1. The Lettings Custodian must ensure that the facilities have been left in a clean and tidy state by the hirer, ready for use by the school. Should the premises not be left in a satisfactory state by the hirer, then the Lettings Custodian may claim additional cleaning time, the cost of which will be passed on to the hirer.
C2. The Lettings Custodian should ensure that all lights are switched off, windows/doors locked, the premises are totally vacated and secure (including the activation of security systems, where appropriate) after the letting. The Lettings Custodian should also check the school accommodation/equipment again to ensure that no theft/damage has occurred during the letting.
C3. If the hirer is still on the premises beyond the stipulated expiry time of the letting, the Lettings Custodian may claim up to the actual time the hirer vacated the premises.
C4. The Lettings Custodian must also ensure that the premises were used by the stipulated hirer and that sub-letting of the premises has not occurred.
C5. Claims for payment to Lettings Custodians for lettings' duties must be submitted to the Children's Services Directorate's, Staffing, Salaries and Appointments Section, using Form SWA/LET, on a monthly basis.
D. Accommodation
D1. All rooms/accommodation that have been used by the hirer must be stated on Form SWA/LET (mentioned in C5 herein), unless they are used as a 'corridor', i.e. to gain access from the outside to a particular room.
D2. Schools are entitled to insist that changing rooms are used by clubs whose members change on the site.
D3. If the hirer wishes to use additional accommodation to that previously stipulated, the hirer should be made aware that an additional fee will be charged as a result, and the Lettings Custodian must inform the Headteacher accordingly.
E. Cancellation
E1. The conditions for the Hire of County Council Premises (Condition No. 35), refers to cancellation of bookings and requests that hirers must give at least 3 clear days written notice for the cancellation of a single booking and at least 1 month's written notice for the cancellation of a regular booking.
If a cancellation is made without adequate notice, the Lettings Custodian may claim for the letting as usual and any subsequent costs will be passed on to the hirer. Such incidents must be brought to the attention of the Headteacher immediately.
PAYMENT FOR LETTING CUSTODIAN DUTIES
When the school premises are used outside designated working time and the Caretaker has to carry out additional duties as described in Appendix 6, he/she should be rewarded for the performance of those duties. Payments are indicated on the tables which follow. Such payments are revised from time to time by the County Council, following consultation with the appropriate trade union.
There are two rates of payment, the first based on the number of units of accommodation used in circumstances when the Caretaker has to open and close the premises but is not required to be on duty, and the second where the Caretaker has to be on duty throughout the period of hire. The decision as to whether the Caretaker is required to be on duty during the letting is a matter for the Headteacher. Payments are made either under Table 'A' or Table 'B', with each operating independently.
EITHER (A) PAYMENT TO CARETAKER NOT REQUIRED DURING LETTING (N.B. excluding on-costs)
(Units of accommodation include halls, gymnasiums, classrooms, workshops, playgrounds, playing fields, changing rooms, etc. but exclude toilets, passageways, common areas and car parks.)
OR (B) PAYMENT TO CARETAKER ON DUTY THROUGHOUT LETTING (N.B. excluding on-costs)
APPENDIX XVI
REMUNERATION FOR CLERKS TO THE GOVERNING BODY
To be updated when confirmed
Agreement has been reached on rates of pay for support staff applicable from 1 st April 2013 and the revised hourly rates for Clerk to the Governors are as follows:
| SCP | | Under 5 Years Service | Over 5 Years Service |
|---|---|---|---|
| | SCP | 01/04/13 | 01/04/13 |
| Payment Range 1 (Scale 2) | 10 11 12 13 | £8.32 £8.83 £9.01 £9.26 | £8.50 £9.03 £9.22 £9.46 |
| Payment Range 2 (Scale 3) | 14 15 16 17 | £9.43 £9.62 £9.85 £10.09 | £9.64 £9.84 £10.07 £10.31 |
| Payment Range 3 (Scale 4) | 18 19 20 21 | £10.29 £10.67 £11.06 £11.46 | £10.52 £10.91 £11.31 £11.72 |
In line with the revised pay and grading structure following Job Evaluation (JE) - Single Status Review, payment will no longer be made on fixed points. Normal incremental progression will take place within the payment ranges shown above with effect from 1st April 2013.
|
Trade-off between Service Granularity and User Privacy in Smart Meter Operation
Junggab Son ∗ , Donghyun Kim ∗ , Sejin Lee ‡ , Heekuck Oh †§ , Alade Tokuta ∗ , and Hayk Melikyan ∗ , ∗ Department of Mathematics and Physics, North Carolina Central University, Durham, NC 27707, USA E-mail: {json, donghyun.kim, atokuta, firstname.lastname@example.org
‡
† Department of Computer Science and Engineering, Hanyang University, ERICA Campus, South Korea E-mail: email@example.com
Department of Mechanical and Automotive Engineering, Kongju National University, South Korea
E-mail: firstname.lastname@example.org
§
Corresponding Author.
Abstract—The term "smart grid" refers to the next generation power supply system. A smart meter, an essential component of the grid system, is installed at each housing unit and acts as an agent for the unit. While the smart meter is a key enabler of great opportunities and conveniences in smart grid, it is susceptible to various cyber-security attacks, especially privacy invasion from electricity providers. Trusted third party (TTP) and homomorphic encryption are two favorite tools to deal with this issue in the literature. Unfortunately, the use of TTP does not completely eliminate the privacy risk. On the other hand, the use of homomorphic encryption makes it harder for the providers to support various services whose demand can be highly diversified. In this paper, we introduce a drastically new approach to deal with the consumer privacy issue in smart grid. Our key idea is let each consumer to determine the frequency of the measurement report. In this way, each consumer can responsibly make a tradeoff between the level of privacy preservation with the quality of the services it will receive.
cost effectively. It is known that the unit price of electricity generated by a renewable energy source during night time is much cheaper than the counterpart generated by fossil fuel during peak day time. Therefore, a customer can save lots of money by setting a dishwasher at home up so that it will be operated during late night. On the other hand, an EP can monitor the electricity usage of each consumer and notify the consumer if any abnormal usage pattern of electricity is detected.
Index Terms—Smart grid, smart meter, user privacy, service granularity.
I. INTRODUCTION
A smart grid refers an automated modernized version of the old electrical power supply network. The grid collects real-time information about its status as well as the behavior of power suppliers and consumers connected to the grid and uses the information to improve the overall reliability, efficiency, sustainability, and the economics of the distribution and production of electricity [1]. One salient feature of the smart grid compared to the conventional power supply network is the existence of a two-way real-time communication network connecting the electricity providers (EP s) and the consumers. Using this network, the smart grid is able to improve the existing power supply system as well as provide a rich set of new services, which were previously not available [2], [3]. Many experts believe that the benefit of the smart grid will be magnified in the future as we will more rely on irregular and unpredictable power supplies, especially renewable energy sources such as sunlight and wind.
It is also expected that the advent of the smart grid will benefit each individual. The system can provide a real-time quote of electricity unit price and such information will help the consumer to adjust their power consumption pattern more
One key enabler of the smart grid is the smart meter (SM) installed at each housing unit to manage the power usage as well as meter the usage and report it to the electricity provider automatically [4]. Unfortunately, many existing studies show the smart meter can be a security breach susceptible to be attacked or misused, which raises a great security and privacy concern over the whole smart grid. As a result, many efforts are made to improve the security and reliability of the smart meter and related communication protocols. In the earlier days, most researches focused on protecting SM from various physical attacks, especially, SM manipulation launched by a customer to reduce the bill and by an eavesdropper who wants to invade the privacy of the customer. Applying a tamper proof memory (TPM) is used to be one promising way to defend SM against such attacks.
Unfortunately, it is recently found that even with TPM at each SM , the privacy of a customer cannot be protected from the EP s who can observe the real-time electricity usage of the customer, which is useful to commit various crimes. Due to the reason, a data aggregator (DA) based approach is introduced in the literature. In this approach, the SM of each household regularly generates two different types of messages. In detail, the SM generates a message with a metering data encrypted by the symmetric key of the SM (shared with the EP ) and sends it to the EP for billing purpose less frequently (e.g. one time per month). Since the frequency of the meter information is very low, the provider cannot invade the privacy of the customer seriously. At the same time, the SM creates a message with a real-time metering data encrypted by a secret key shared with DA and sends it to DA with much higher frequency. Then, DA combines the messages from the area and sends one single merged metering message to the EP . As a result, the EP cannot obtain the information about each individual customer, but can obtain the real-time electricity usage of the group which can be still useful to improve the efficiency of the power supply system.
However, some recent report pointed out the possibility of information leakage from at DA and proposed to use a TPM for the DA [5]. While this can protect the attack from outside, this approach cannot prevent privacy intrusion by the EP since the DA is merely a hardware under the control of the EP . For instance, the EP can obtain the real-time meterage (meter reading) from the DA when the DA is merging the metering information from each household. Also, the cost of a TPM is very high, which makes this approach minimally attractive. To solve this issue, several approaches utilizing a homomorphic encryption have been proposed [6]. In this strategy, each SM only sends a message including a real-time metering information encrypted by a homomorphic encryption key to the DA, the DA aggregates the messages from the SM s, and forwards the resulting message to the EP throughout a secure channel between them. While this approach can protect the privacy of each user efficiently, it becomes very difficult for the EP to provide an adequate service to meet the unique need of each customer which is a unique feature of smart grid since the EP cannot access the real-time electricity of each customer.
Alternatively, in [18], the authors proposed a solution which uses a trust third party (TTP) as a DA. In this approach, each SM sends the real-time metering information encrypted by the symmetric key shared by each SM and the TTP. Then, the TTP decrypts the message from the SM s, aggregates them, and sends the merged meter information to the EP . At the end of a session, the TTP also sums up the meterage of each individual customer and sends it to the EP along with the pseudonym of the customer for billing. The EP can link the pseudonym with the actual identification of the user, and thus send the bill to the correct customer.
Motivation and Contribution. In this paper, we propose a new secure smart metering framework. Its design is based on our observation that the existing systems assuming each SM with TPM along with the homomorphic encryption scheme in which the DA merges encrypted messages from each household cannot be completely secure. This is because the SM and the DA can be under the control of the EP . Furthermore, the aggregation strategy will diminish one main merit of the smart grid, providing various user-specific services. When it compared with the existing systems, the proposed framework has the following desirable properties.
(a) Less overhead: there is no need of a secure DA equipped with TPM for aggregation. At the same time, there is no need for a TTP to be involved in the transmission of each message from each SM to an EP , since this is somehow excessive and unrealistic.
(b) Less assumption: In some existing systems, a SM with a TPM has been assumed for security. However, in practice, it is still possible for the part of SM which is under the
control of EP not to follow the protocol. For instance, EP can launch various attacks against the customer such as sending meterage more frequently or sending unencrypted data. The proposed work assumes the part of SM under the control of EP is not secure, but is still able to preserve the privacy of the user.
(c) User specific service granularity: the metering the usage of electricity for each household by an EP is possible only after a certain customer specific number of encrypted meterage message is received by the EP . In this way, each customer adjusts the level of service granularity by sacrificing the level of privacy.
(d) Conditional privacy revocation: Our system provides a conditional privacy to the customer and any billing dispute can be resolved by the assist of TTP.
The rest of this paper is organized as follows. Section II defines some terms and presents related work. Some preliminaries are given in Section III. Our main contribution, a new security framework for SM with user adjustable service granularity is presented in Section IV. The security and efficiency analysis of the proposed scheme is in Section V. Finally, we conclude this paper in Section VI.
II. BACKGROUND AND RELATED WORK
Fig. 1 shows the smart grid system and its main components including SM , DA and EP .
* Smart meter (SM ): SM is a metering device attached at each housing unit, and enables the two-way communication between each consumer and the EP . It also make real-time energy metering possible. A customer consumes electricity at home by using various appliances. SM meters the power being used in a real-time manner and provide it to the customer and the EP . Using this data, the customer can actively manage its power consumption. Meanwhile, the EP can charge the cost for the electricity usage as well as provide various services to the customer.
* Data aggregator (DA): In many existing work, DAs are introduced and located between SM and the EP . A DA collects meterage messages from the SMs and forward them to the EP . To protects user privacy, DA
usually aggregates metering data from multiple SM s and forwards the merged data to the EP .
* Electricity provider (EP ): EP consists of distribution substation, electricity distribution network, data network, and a system operation server. It meters electric charge in real-time and determines power supply quantity by analyzing data transmitted through DA. The EP should know the sum of the current electricity consumption of all customers and the sum of electricity consumption values of an individual customer over a given time interval.
A metering data consists of two types, high-frequency and low-frequency metering data [7]. Low-frequency metering data is the quantity of consumed data that is transmitted to the service provider by SM in long time interval. This data is for account management or billing purposes. High-frequency metering data is read by a SM and is transmitted to the service provider often enough. The service provider uses it to determine amount of electricity providing or to analyze a usage patterns depending on time, user, region and so on. Studies on smart grid security mostly focused on SM , which is the core element of smart grid.
The security issues of SM can be classified into three kinds; which are internal attack [8], external attack [9] and privacy protection [10]. Data falsifying by user and data manipulation by EP are internal attacks. In smart grid environment, power consumption data is stored in SM and the information is provided to user through network. If a user attempts to pay electric charge less than it has consumed, user can falsify the data stored in SM by hacking it. Meanwhile, EP levies electric charge based on data transmitted from SM . EP can also manipulate data by transmitting incorrect price information so that user would pay more.
Since SM is installed outside houses in general, it is exposed to potential attacker [9]. An attacker can attack SM in various ways. The most powerful but simple attack is accessing the stored data in SM by physical access. For instance, an attacker can attack the firmware of SM and set up it in a form, which can be controlled by the attacker. An attacker can also obtain meaningful data by detecting and analyzing the electric signal of the memory chip. It is also possible to generate data falsified by internally stored key by having SM infected with malicious code. Because SM location is not safe while it is the key element of the system, studies to make physically safe SM are ongoing. A representative scheme proposed by such studies is installing TPM and handling important data and arithmetic calculation within it.
The living pattern of a household can be learned by analyzing data collected by a SM [11], [12]. It is possible to speculate appliances used in home by knowing power consumptions of home appliances. An SM has lot of information including SM ID, information of home appliance connected to SM and electric charge levying information. If such information would be exposed, it can lead to infringement of user privacy. Since such sensitive data are being handled in SM , the top priority task in SM is the issue of data privacy.
As mentioned before, the leakage of internal information in smart system can be prevented by installing TPM [5], [13], [14]. The privacy infringement by power consumption analysis can be protected by having the data transmitted to EP through DA. SM s send their meterage to the DA depending on given time interval, and then DA aggregates these messages and sends it to EP . Since a meterage that is sent to EP is not individual usage but aggregated usage of group of SM s. Although this method can preserve consumer's privacy from EP , cannot preserve consumer's privacy from DA. The remaining problem is that encrypted data is transmitted to DA to protect transmission section. DA is not a reliable entity, it only combines data. If encrypted data would be transmitted to DA, DA could not aggregate data; therefore, certain measure enabling data aggregation is required. Some previous works use TTP as DA to solve privacy problem of DAs [18]. TTP has the role of aggregating meterages that is encrypted with shared secret key between SM s and TTP. SM s send their meterage to the TTP after encrypting with shared secret key. Then TTP decrypts those messages and send aggregated meterage to the EP . Another role of TTP is to calculate individual meterage for each SM . At the end of session, the TTP sums up a stored meterage for each SM , and sends it to EP for billing process. In point of privacy, it is better method than using just DAs, but is worse in terms of TTP has to manage all of metering data that is sent to EP . It is unrealistic because TTP cannot deploy as much as the number of DA and there is so much metering data that TTP has to aggregate.
Schemes applying a homomorphic encryption have been proposed to resolve this issue [15]–[17]. If homomorphic encryption is used, the calculation result of two ciphertexts is same as the calculation result of two plaintexts. For instance, when there are two data m1 and m2 and corresponding ciphertexts E(m1) and E(m2), if m3 = m1 + m2, then E(m3) = E(m1) + E(m2). SM s send encrypted meterage to protect from various attacks in transmission section. Since homomorphic encryption can aggregate encrypted data without decrypting it, metering operation can protect data leakage in aggregation process of DA. The transmission and aggregation process can be protected in this way.
III. PRELIMINARIES
A. Problem Statement
The real-time electricity usage of each customer collected by SM should not be used against the customer's good and only for the public benefit such as efficient system operation and effective power distribution. Clearly, the usage information should be safely handled because they include information which can infringe user privacy. The existing TPM scheme and homomorphic encryption scheme introduced in Section II can resolve most SM -related security issues. However, still there is an issue that the party who manages SM and metering data is EP . An EP can infringe privacy by manipulating the transmission cycle of low-frequency metering data. Lowfrequency metering data is used for electric charge payment and that include power consumption of certain period. This data would not be aggregated with other metering data and that would be encrypted by user personal key before transmission to EP . Consequently, if the low-frequency metering data cycle decreases, it is possible to guess the appliances being used in real-time by analyzing the data. It is also important not to involve TTP too much frequently into the protocol, e.g. involving them in every message transmission, since it is not practical. Finally, existing strategy implicitly assumes the service granularity of all users are same, which is not necessarily true. An EP can provide a higher quality service if they has real-time information like electricity usage of a customer, which is against the privacy of the customer. Therefore, it is reasonable for each customer to determine the level of trade-off between the level of privacy and the degree of service granularity.
B. System model
Unlike as system model shown in Fig. 1, our system model consist of three different entities; TTP , EP , and SM s.
* Trust third party (TTP): When a session begins, the TTP generates a session secret for each user. The TTP sends this secret value to users with its signature. In addition, the TTP stores session secret to revoke user in case of abnormality.
* Electricity provider (EP): This entity has the same role as system model shown in Fig. 1.
* Smart Meter (SM): We assume that a SM consist of two components. First is SM − TPM , which managed by user. SM − TPM has role of measuring usage and sends encrypted meterage to EP at every time interval that setted by user. SM − TPM applied TPM to protect inappropriate access of EP . Second is SM −Controller, which managed by EP . It has role of verify a meterage that measured by SM − TPM and sends verified meterage to EP .
In addition, the system model in this paper uses only high-frequency metering data; while existing system model uses both high-frequency metering data and low-frequency metering data for data metering. Since the metering data does not need to aggregate, there is no DA in our system model. Instead, user can control a time interval that sending frequency of meterage. Additionally, we assume that all of the external communication from SM is protected by secure channel.
C. Design Goal
The proposed scheme is designed under the consideration of following properties.
* Privacy Preservation: The EP cannot infer user's active devices through analyzing metering data.
* Service granularity: A user can control the level of service granularity and user privacy.
* Conditional anonymity: SM operation must provide conditional anonymity to protect privacy of users while enabling authorities to identify misbehaving SM s. A conditional anonymity in SM operation is similar, but
TABLE I: Notations
| Notation | Description |
|---|---|
| Ui IDi pki, ski t ci−j Ek{m} | User(SM) ID of Ui Public/private key pair of Ui Timestamp meterage (meter reading) of Ui in certain time period j Encrypt m using key k |
it has a crucial difference with conditional anonymity in other environment. In case if illegal action occurs, SM operation scheme can not only trace who made abnormality but also can restore metering data. It makes EP to charge for usage even if user made abnormality to avoid billing payment.
IV. THE NEW SM OPERATION FRAMEWORK SUPPORTING USER-DEFINED SERVICE GRANULARITY CONTROL
In this section, we introduce our new framework to operate SM which allows each user to make the trade-off between the level of user privacy and the degree of service granularity. Table I shows the notations used in this paper.
A. Setup
First of all, TTP, EP and client generate a public/private key pairs (pkt, skt), (pke, ske), (pki, ski), repectively. TTP generates random large prime pi and sends it to Ui with IDi, t and also the signature of those values. pi is used as period secret.
We define session as time interval of meterage which is set by EP , and period as time interval of meterage which is set by user. A period consists of one or more sessions. A user has to send encrypted meterage to the EP at the end of each session, and a user has to send meterage to the EP at the end of each period. EP can obtain users actual meterage after period, while stores encrypted meterage of every session. The encrypted meterage of session carries an important meaning in two ways. It can protect user privacy and enable controlling service granularity by user as well as it can prevent users misbehavior such as loss of money caused by user that does not send period secret. In this case, EP can solve this through receiving period secret of the user from TTP.
B. Metering Data Encryption and Verification
To make service granularity possible, we added SGF (Service Granularity Function) in SM −TPM . A User can control service granularity and user privacy through setting up the period of SGF in SM − TPM . Like with the recent state-ofart schemes, we use TPM for SM s. Therefore, SGF cannot be controlled by EP as well as other attacker.
Fig. 2 illustrates the proposed smart metering operation during a user configured period. At the start of period, SM − TPM generates random large prime qi and computes Ni = pi · qi. This Ni is used for all sessions in a period. After a session ends, SM − TPM sends encrypted meterage to the EP . Since meterage has to be hide for privacy reason and SM − Controller is EP side devices, an effective solution
that satisfies both conditions is needed. Therefore, we use Zero-knoledge Proof [19] to verify meterage is valid without exposure.
SM − TPM computes ai−j = c 2 i−j mod N i . Where, j is session number in a period. Next, It generates random number r and computes R = r 2 mod Ni. Then, SM − TPM sends ai−j, R, Ni to the SM −controller. Here, If SM −controller cannot trust Ni which is generated by Ui, SM − controller can request TTP's signature on Ni. Here, If SM − controller cannot trust Ni which is generated by Ui, SM − controller can request verification of Ni. Then TTP sends verification result as follow: If Nimodpi = 0 return true, else false. Now, SM − controller can trust Ni as revocable session secret.
After receiving the message, SM − controller selects random number e = 0, 1 and sends it back to the SM −TPM . SM − TPM computes u based on e. If e = 0, SM − TPM computes u = r; else if e = 1, SM − TPM computes u = r · ci−j; otherwise return false. SM − TPM sends u to the SM − controller. SM − controller verifies u, based on e. If e = 0, SM − controller compares u 2 = r 2 with R; else if e = 1, SM − controller compares u 2 = r 2 · c 2 i−j with R · ai−j; where R and ai−j was received in previous process. If two values are same, it passes verification process. If not, user made an abnormality. SM − controller repeats this verification process to reduce probability that a user pass the process without actual meterage. Then, SM − TPM sends ID, timestamp, encrypted meterage and its signature to SM − Controller; IDi, t, Epi {ci−j}, (IDi, ||t||Epi {ci−j}) sk i . SM − Controller sends it with verified information; ai−j, tc, Ni. The EP can store this received information.
After user configured period expires, SGF in the SM sends period secret pi to EP . Then EP can calculate the meterage of specific period using pi from stored meterage information. EP decrypts ci−j and computes ai−j = ci−jmodNi. If ai−j is same as stored ai−j, user sent valid meterage; otherwise EP performs user revocation process.
C. Conditional Anonymity
In our scheme, user can hide meterage by ignoring a session secret transmission. In this case, EP can claim user's abnormality to the TTP. The TTP which is also a revocation authority gives notice to user about its abnormality. If user does not respond to TTP's notice, TTP can revoke the user and sends session secret p i to EP to restore a session meterage. Using p i EP can calculate meterage of certain period.
V. ANALYSIS OF PROPOSED SCHEME
A. Security Analysis
In our scheme, we follow the previous works and assume that SM s are based on TPM. Generally SM s are installed outside houses and easily exposed to potential attackers. So SM s must be designed in such a way that it can be secure from various physical attacks. And we assume that symmetric key can be used to protect each transmission section. Additionally in our scheme, there is another security issue that Ui can use illegal session secret instead of received from TTP. We verify that our scheme is secure from this security issue through following proof.
Theorem 1. EP can detect Ui's misbehavior that use illegal session secret instead of received from TTP.
Proof: A period secret is made by TTP. When a user uses an illegal period secret, it cannot pass verification process between SM −Controller and TTP. SM −Controller sends SM − TPM 's period secret to TTP, invalid period secret is hard to pass Nimodpi = 0 and Ni ̸= pi. Therefore, it is hard that user uses illegal period secret instead of pi.
B. Anonymity Analysis
In the proposed scheme, SM consists of SM − TPM and SM − controller. SM − TPM allows only user's access, while SM − controller allows only EP 's access. Temper resist memory is applied to SM − TPM to protect its operation and storage. A user stores session secret which is sent from TTP, meterage, and time interval of session to the SM − TTP . EP cannot operate SM − TPM and obtain any information that is stored in SM − TPM through hacking. Our scheme can modulate a level of user privacy by controlling time interval. EP cannot receive a meterage without fixed time interval. Therefore, our scheme can provide the user desired level of privacy. In addition, we verify our scheme can revoke user in case of abnormality.
Theorem 2. TTP can help EP to revoke abnormal user and restore meterage.
Proof: First, EP has ID of each SMs in the system model. The Ui that did not send session secret for a long time can be target of revocation. Before revocation, TTP warns Ui that it can be revoked. After that, TTP sends stored (IDi, t, pi) sk t to EP . After confirming signature of TTP, EP can restore meterage of Ui. Our protocol based on the difficulty of extracting modular square roots when the factorization of ni is unknown. When TTP sends one of the factorization of ni, EP can easily break the difficulty we used in protocol. Therefore, our scheme can revoke an abnormal user with restore it's meterage.
C. Computational Overhead
Homomorphic encryption scheme used in previous works that are based on public key cryptography [17]. Homomorphic encryption has advantage of protecting data during computation, but has disadvantage of computational overhead. While data aggregation process is not much burden for DA, the encryption process of high frequency metering data can be a burden for SM . SM has role of measuring all the usage inside a house and sending metering data to the EP . It can be advantage to reduce computational complexity of SM . In the proposed scheme, we use modular arithmetic that has less computational overhead than homomorphic encryption. SM needs one modular and zero knowledge proof to send meterage. Therefore our scheme is more realistic than previous schemes which are based on homomorphic encryption. Especially, our scheme has high efficiency when time interval of session is very short.
VI. CONCLUSION
In this paper, we introduce a new SM operation framework in smart grid. To preserve the privacy of each user, our drastically new framework does not have strong assumptions such as completely secure SM and the existence of secure DA. It also does not require the TTP involved in sever communication from each SM to EP . On the other hand, it allows each user to determine how to trade-off between the level of privacy and the degree of service granularity, which has not been considered before. As a result, the proposed framework is ideal for smart meter operation to meet diverse user needs.
ACKNOWLEDGMENT
This research was supported in part by the MSIP (Ministry of Science, ICT and Future Planning), Korea, under the ITRC (Information Technology Research Center) support program (NIPA-2014-H0301-14-1015) supervised by the NIPA(National IT Industry Promotion Agency). This research was supported in part by the MSIP (Ministry of Science, ICT and Future Planning), Korea, under the ITRC (Information
Technology Research Center) support program (NIPA-2014H0301-14-1044) supervised by the NIPA(National IT Industry Promotion Agency). This work was supported in part by the NRF (National Research Foundation of Korea) grant funded by the Korea government MEST (Ministry of Education, Science and Technology) (No. NRF-2012R1A1A2009152). This work was supported in part by the NRF (National Research Foundation of Korea) grant funded by the Korea government MEST (Ministry of Education, Science and Technology) (No. NRF-2012R1A2A2A01046986). This work was supported in part by US National Science Foundation (NSF) CREST No. HRD-0833184 and by US Army Research Office (ARO) No. W911NF-0810510.
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Test tube baby
Shariah ruling about In Vitro Fertilization
As science and technology progress, we human beings gain much ease and comfort. At the same time, various new questions from the Islamic viewpoint are being raised.
In the last few decades, medical science has progressed exponentially. Many new cures and medical techniques have been invented. One among them is in vitro fertilization (IVF). The layman term for this is test tube babies. This medical technique has raised many questions about paternity, Nikah, inheritance, etc. It is necessary for us to know the answers to these questions.
First, we will talk about the scientific aspects of IVF and then describe the Shariah rulings regarding it.
Why IVF is needed
It is given in Language of Medicine by Davy Ellen that from the ovumry of the woman a tube called fallopian tube goes towards the womb. Anywhere between the end of the second week or the beginning of the fourth week, an ovum is released. After intercourse, it is fertilized by sperm that enter the fallopian tube. Then the fertilized ovum travel through the fallopian tube and then the process of embryogenesis starts.
Due to some reasons, the sperm is not able to enter the fallopian tube and here IVF is used.
The diseases can be on the male side or on the female side.
Diseases on the male side
(1) The sperm are potent enough but for some reason, the man is not able to perform intercourse and then IVF is used to fertilize the ovum and later implant it in the womb.
(2) The husband can perform intercourse but does not have enough sperm or if sperm are not potent enough to fertilize the ovum on their own. In this case also, IVF is used.
Diseases on the female side
(1) If there is some problem with ovulation.
(2) If the ovaries are absent. In these cases, the ovum and the sperm are combined outside the body in a laboratory and then planted into the womb of the wife.
(3) If there is a problem with the fallopian tubes' patency and the fertilized ovum cannot enter the womb.
Even apart from this, the age and the general health of the women play a pivotal role in conception. The details of this are present on the authoritative website, www.Webmd.com
To perform IVF, the sperm of the husband and the ovum of the wife are collected. To know the Shariah ruling about this, it is necessary to find out what methods are used for this and what the Shariah says about these methods. Do they involve some thing which is expressly prohibited by the Shariah?
Usually, the semen of the husband is gained by masturbation and the wife is given hormones to increase the ovum production and then they are retrieved using a minor surgery. Later on, the fertilized ovum is put back in the woman by a simple procedure.
Be it before a woman only, but this does involve undressing and nudity. Nudity, without a reason deemed to be valid by the Shariah, is prohibited. Does IVF constitute a valid enough reason for the Shariah to permit this? Are the methods used to collect the sperm and the ovum permissible by the Shariah? First we will talk about these questions.
Shariah ruling about masturbation to gain semen
Usually, masturbation is used to gain the semen of the husband. If the semen can be gained by any other method apart from masturbation, like coitus interruptus, then masturbation will not remain permissible.
In coitus interruptus, the male sexual organ is withdrawn just prior to ejaculation. If it is possible to gain semen through this method, then there is no question at all of masturbation still being permissible.
However, if the husband is not able to perform intercourse, which makes using coitus interruptus impossible, then will masturbation be permissible in light of the Shariah?
Clarifications by the Fuqaha in regard to masturbation
In light of the Holy Quran and the Hadith, the Fuqaha (jurists) have declared masturbation as prohibited and punishable offence. A major reason for this is that semen is wasted through this. Although even in coitus interruptus semen is wasted, but in some special situations, it has been ruled to be permissible with a degree of undesirability and in some other cases, it is permissible without any undesirability at all.
As given in Fatawa A'alamgiri, Vol. 2, Pg. No. 412.
Shariah ruling about IVF and masturbation
The reason why masturbation has been declared forbidden is the wastage of semen, but in this case, it is being gained to be brought into use for conception. Thus, here masturbation is being used for a reason contrary to the reason behind its prohibition. If looked at from this viewpoint, masturbation may be permissible with some degree of undesirability.
'Allama Nujaim Misri (May Allah shower His mercy on him) (deceased 970 Hijri) has written in Al Bahr Ur Raaiq Sharh Kanz Ud Daqaaiq:
Translation: Even out of Ramadhan, if this act is done only for the sake of pleasureseeking, then it is not permissible and if the aim is to lull one's desire, then it is to be hoped there will be no repercussions of this, provided there is no permissible sexual outlet. Also, it is prohibited to seek satisfaction with anybody else's hand apart from one's own wife and there should be no nudity. (Al Bahr Ur Raiq, Vol. 2, Pg. No. 475)
The same is given in Tabyeen Ul Haqaaiq, Vol. 2, Pg. No. 16 and in 'Inaya Sharh Hidayah.
Nudity for the sake of gaining the ovum of the lady or to put them back
There is a degree of nudity involved while gaining the ovum of the lady or while putting the fertilized ovum back. Nudity is expressly prohibited in the Shariah. In this context, if we look at the clarifications made by the jurists, we find more than one instance where the Fuqaha have ruled nudity to be permissible to the extent that it is needed. 'Allama Shamsuddin Sarkhisi (May Allah shower His mercy on him) writes:
Translation: It has been narrated on the authority of Hadhrat Imam Abu Yousuf (May Allah shower His mercy on him) that if a person is extremely weak and through urinary catheterization, administering suppositories and/or enema, the weakness is reduced, then doing this is permissible. This is absolutely correct. This is because weakness is a kind of a disease due to which ultimately the person may end up having serious diseases. (Mabsut, Vol. 10, Pg. No. 163)
This is because treating a disease comes under a valid need. Thus, undressing to the extent required is permissible.
'Allama Alauddin Samarqandi (May Allah shower His mercy on him) (deceased 552 Hijri), the author of Tuhfatul Fuqaha has classified some occasions to be valid needs. Just see what he wrote:
Translation: It is not permissible for a woman to see the area between the navel and the knees of another woman excepting in times of need, like if there is a sore or a wound in this area which has to be administered some medicine. If only a man has this knowledge, then this area should be revealed before that man, he may see the area where the sore, etc. is there and as far as possible should not let his gaze go beyond it. (Tuhfatul Fuqaha, Kitab Ul Hazri Wal Ibaha)
'Allama Alauddin Kasani (May Allah shower His mercy on him) has written the details about this:
Translation: If a woman has a sore, etc. in such a place that seeing that area is not permissible for a man, then it is permissible for another woman to treat it, provided she knows how to treat it. If no woman knows it, someone should learn it and then treat. If there is no woman who knows the treatment or who can learn the treatment and the life of the diseased woman is in danger or there is a danger of difficulty arising from it or danger of such agony which the woman cannot bear, then there is an allowance for a man to treat her. However, that man should only open the area of the sore and as far as possible should try to limit what he sees. This allowance is only on the basis of a reason deemed to be valid by the Shariah, as the prohibitions of the Shariah are countermanded at the time of a need. (Bada'i Us Sana'i, Vol. 4, Pg. No. 299)
If while retrieving the ovum from the wife or while implanting the fertilized ovum, if there can be an arrangement wherein the wife does not have to reveal her private parts before anyone except the husband, then it is not prohibited at all. However, it would still be Makruh (undesirable).
If it involves undressing before anyone else apart from the husband, then as this is being done for the sake of treatment, then as per the aforementioned details, it ought to be allowed. However, there would still be a degree of undesirability involved.
It is evident from the references mentioned from Tuhfatul Fuqaha and Bada'i Us Sana'i that if treatment involves undressing, then one should take the services of female doctors. If no woman knows this treatment, someone should learn it and if there is no one who knows this and no one is able to learn it, then with caution one can utilize the services of male doctors. Undesirability is still present is all these cases.
Shariah ruling about using IVF for conception
All those situations in the IVF method are impermissible in which the sperm of a man are entered into someone's uterus, other than wife, or the sperm and ovum of the husband and wife are developed in someone else's womb.
There is a Hadith in Sunan Abu Dawood:
Translation of Hadith: It is not permissible for anyone who believes in Allah Ta'ala and the Qiyamah that he should water someone else's field i.e. impregnate someone else apart from his own wife. (Sunan Abu Dawood, Kitab Un Nikah, Hadith No. 2160; Musnad Ahmed, Hadith No. 17453)
Safeguarding the ancestry and parentage is of great importance. This is what distinguishes human beings from animals.
For this reason, the Shariah has not permitted the woman to marry immediately after Khula, divorce, annulment of marriage or death of the husband. The Shariah has decreed Iddat (mandatory waiting period) so that if there was any conception from the previous husband, it should play itself out.
The man and woman between whom sexual relations are impermissible, combining their sperm and ovum is also not permissible, regardless of whether it is done in a lab or whether the sperm is directly introduced into the womb of the woman (artificial insemination).
The pure laws of Islam have declared eating/drinking the left-over of a non-Mahram (an unrelated woman with whom marriage is permissible) woman for the fear that the saliva of the woman will be mixed with the saliva of the man and the man may draw pleasure from this. The Shariah has declared the hair of the woman also to be Satar i.e. those body parts which must be covered, so that a non-Mahram man may not see them and draw pleasure from it. The law which has such meticulousness is these matters, how can it allow the sperm and ovum of two unrelated people to be mixed? It will be a severely indecent act and a grave sin.
Juristic clarifications and minutiae - Favor of Fuqaha on the Ummah
Regardless of the prohibitions involved in IVF, the case that the sperm and the ovum of a man and a woman are combined, then the embryo is planted into the womb and there is no intercourse between the man and lady, this has been described by the Fuqaha centuries ago. It is a great favor of theirs on the Ummah. Every Muslim should value the efforts of the Fuqaha and the experts of Islamic law and should be thankful to them.
Minutiae in the canons of Fiqh about situations similar to IVF
In the canons of Fiqh and Fatawa, Fath Ul Qadeer, Al Bahr Ur Raaiq, Fatawa A'alamgiri, Haashiya Ash Shalbi Ala Tabyeen Ul Haqaaiq, Majma Ul Anhur, Al Muheet Al Burhani and Radd Ul Muhtaar Ala Durre Mukhtaar, etc. the following clarifications are mentioned about situations similar to IVF.
It is mentioned in Al Bahr Ur Raiq of 'Allama Ibn Nujaim Misri (May Allah shower His mercy on him):
Translation: The claim that for paternity of a man to be established, it is not necessary that he should have intercourse, sometimes, a woman herself enters the semen of a man in her vagina and conceives, is true, but it happens very rarely. (Al Bahr Ur Raiq, Vol. 4, Pg. No. 263)
A similar clause is present in Fath Ul Qadeer, Pg. No. 315 and Tabyeen Ul Haqaaiq, Pg. No. 276.
The aforementioned clause shows that this case is rare, still if such a situation occurs that the woman enters the semen into her vagina then conception may occur without intercourse as well. In IVF, the sperm and the ovum are combined outside the body and then the embryo is put into the womb.
A similar clause is present in Fatawa A'alamgiri:
Translation: A person had coitus interruptus with his slave girl. She took the semen and stored it somewhere, put it into her vagina and conceived. In this case, in the
opinion of Imam Azam Abu Hanifa (May Allah shower His mercy on him), the parentage of that child will be through that master and the slave girl will be declared his Umme Walad (a mother of his child). (Fatawa A'alamgiri, Vol. 4, Pg. No. 114.
This situation is also described in Radd Ul Muhtaar, Kitab Un Nikah, Bab Ul Iddah and Al Bahr Ur Raiq, Vol. 4, Pg. No. 452)
The same situation has been described by 'Allama Abdur Rahman Bin Muhammad, famously known as Shaykhzada (May Allah shower His mercy on him) in Majma Ul Anhur and by Allama Mahmood Bin Ahmed (May Allah shower His mercy on him) in Al Muheet al Burhani.
As per the clauses and clarifications given by the Imams of the Ummah in the canons of Fiqh and Fatawa, IVF is inherently permissible, but to accomplish it, performance of some prohibited acts is inevitable and as such some cases of it are outright forbidden and some are Makruh (undesirable) with some conditions.
Four cases of combining the sperm and ovum of the husband and the wife
Please go through the 4 cases in which the sperm and the ovum of the wife are combined. Their Shariah ruling will be mentioned after that.
(1) The husband has enough potent sperm, but due to some reason, he is not able to perform intercourse. In this case, the sperm of the husband and the ovum of the wife are combined in the lab and later when the embryo forms, it is implanted in the womb of the wife.
(2) The husband has potent sperm and is able to perform intercourse. However for some reason, the sperm cannot find their way to the fallopian tube. Then IVF is used.
(3) If there is some problem with the fallopian tube of the wife like infection, shrinking, patency problems or the like and because of it the fertilized ovum cannot pass into the womb, then IVF is used.
(4) If there is a problem with the uterus of the wife, then IVF is used.
Details about permissibility of using IVF
These are 4 cases from the medical point of view, otherwise as per Fiqh, these all constitute only 1 case in which due to some problem/disease, the sperm and ovum of the husband and wife are being combined in the laboratory using IVF. Thus, if nothing prohibited is being done, it will not be impermissible. There is limited permissibility for the nudity involved in gaining the semen and the ovum and about using masturbation as has been discussed earlier. However, it is still undesirable and refraining from it is best.
Honesty and integrity of the doctors is indispensable
If the couple cannot conceive and on the advice of a Muslim doctor, they decide to go for IVF, then they should assure themselves that the doctors and everybody else who are involved in this procedure discharge their duties in the most honest manner. The wife's ovum should be fertilized only with the sperm of her husband and not by any stranger's sperm and similarly the sperm of the husband must not be used to fertilize the ovum of any other lady other than the wife.
There are dangers of parentage and ancestry being muddled because of IVF. Thus, if IVF is to be used, there should be a complete system to ensure that this does not happen. The conditional permissibility should be exercised within the limits of those conditions. Complete honesty and integrity should be exercised.
If masturbation or nudity is resorted to unnecessarily or if there is mixing up of sperm and ovum, it will shred the fabric of modesty and destroys the system of parentage and ancestry.
Impermissible uses of IVF
(1) If the husband's sperm are not potent enough or if he has no sperm at all and sperm of some other man (not the husband) are used to fertilize the wife's ovum. This is impermissible as a stranger's semen is being put in the womb of somebody else's wife which is forbidden.
(2) The wife cannot conceive for some reason. The husband's sperm and the wife's ovum are fertilized using IVF and the embryo is planted in another lady's womb. This is also impermissible as the woman in whom the embryo is being implanted is not the man's wife.
(3) There is some problem with the ovary of the wife. The husband's sperm are combined with another lady's ovum and the embryo is implanted in the wife's womb. This is also impermissible as the lady from whom the ovum is being taken is not the wife of the man. It is not permissible for the woman either to give her consent for her ovum to be fertilized by a stranger's sperm. It is neither permissible for the man to combine his sperm with the ovum of a lady who is not his wife.
(4) The husband and wife both cannot conceive. Sperm and ovum of two strangers are combined and implanted in the womb of the lady. This is also impermissible. The reason for their impermissibility is clear that the embryo of two strangers is being implanted in the womb of a lady who is herself a stranger.
(5) The husband does not have potent sperm and the wife has no ovary and physically as well the wife is unable to bear the stress of a pregnancy. Then sperm and ovum of some other man and woman are combined and the embryo is implanted into the womb of the wife or some other woman. This is also impermissible.
(6) The husband has no potent sperm. The wife has ovaries but cannot bear a child. The sperm of stranger and ovum of the wife are combined and implanted into the womb of another wife. This is also obviously forbidden.
(7) The wife is not able to bear the stress of pregnancy. The husband's sperm and wife's ovum are mixed and the embryo is implanted into another wife of the same husband. This is also forbidden. Although both the ladies are wives of the same husband, but when the Shariah has forbidden intercourse with one wife in presence of another, implanting one wife's ovum into another's is all the more forbidden.
In the aforementioned cases, the sperm and ovum of the husband and wife are being implanted in the womb of a third woman whereas the Holy Prophet (Sallallahu alaihi wa sallam) has expressly forbidden it.
Combining the sperm and ovum of strangers is akin to adultery
In the described situation, unrelated (i.e. not of a husband and wife) sperm and ovum are being used, which is impermissible in light of the Hadith. The way sexual relations between unrelated, (i.e. not husband and wife) man and woman and impregnating somebody else's wife constitutes adultery, in the same way mixing the sperm and ovum of a man and woman, who are not husband and wife, has the same ruling with respect to its result. Though on mixing of sperm and ovum in this, the Shariah punishment will not be given, as the punishments given by the Shariah are not given even if there is the slightest of doubt and in this case, physical contact is not found at all, but it has the same ill-effects as adultery. It shreds the fabric of modesty and destroys the system of parentage and ancestry.
Is using IVF changing the creation of Allah?
The creation of Allah cannot be changed at all. As Allah Ta'ala says in Surah Rum:
The nature created by Allah will never be changed. Surah Rum(30:30)
Using IVF is an extraordinary case. This might lead some to think that this is like changing the creation of Almighty Allah or a violation of nature. However this thought is not correct. Changing Allah's creation would be if the features i.e. the face, eyes, nose, ears, etc. are mutilated or disfigured the way it was done in the preIslamic days. It would have been a violation of nature when the scientists were 'creating" something on their own. In this case, what happens is that when due to some disease the embryo cannot be formed inside the body, it is being formed outside in the laboratory using IVF and then implanted into the womb of the wife. This is not against nature as the phases of conception, pregnancy, etc. are the same. Neither is a new way of giving birth to children being invented here. The weakness found in the man and/or woman is being compensated for using an advanced medical technique. However, because of prohibited acts, there is some degree of undesirability in this.
The paternity of an illegitimate child
For establishing the paternity of an illegitimate child, there will be different cases. In permissible cases, the wife and the husband will be considered the mother and father of the child. If the sperm of a stranger is put into somebody else's wife and this pregnant lady is married to somebody else, then this is adultery. In this case, the husband of that lady will be considered the child's father and not the stranger whose sperm was used as this comes in the category of adultery and about adultery, the Holy Prophet (Sallallahu alaihi wa sallam) said:
Translation: The child is of the master of the bed i.e. the husband and for the adulterer, there is the stone. (Sahih Bukhari, Hadith No. 6749; Sahih Muslim Hadith No. 3686)
Even if the pregnant lady is not married to anybody else, even then the stranger whose sperm was used will not be considered the father of the child, but will be considered the child of the mother alone, as given in Sunan Abu Dawood about a child born of adultery:
Translation: The child will not be considered the progeny of the adulterer and neither will he inherit from him. (Sunan Abu Dawood, Hadith No. 2267)
There is a Hadith in Sunan Ibn Majah:
Translation: He is a child born of adultery who will be considered to belong to the mother's family whoever they are. (Sunan Ibn Majah, Hadith No. 2851)
Nikah issues of an illegitimate child
Obviously, the man for whom the paternity is established will be considered the father of the child and he will have guardianship over the child as well. The child will inherit from this man and using this paternal relationship, Nikah rules will be decided i.e. those relations with whom this child may marry and those whom this child is prohibited from marrying.
If the sperm of the husband and the ovum of an entirely unrelated woman (not his wife) are mixed and the embryo is implanted in the womb of this man's wife, then even though it is prohibited and forbidden, this man will be considered the father of the child as he is the one whose sperm were used and also the master of the bed. His wife will be considered to be the mother of the child as she has given birth to the child. Allah Ta'ala has declared those women to be mothers who bear the stress of pregnancy and the agony of delivery, as given in the Holy Quran:
Their mothers are only those who have given them birth. Surah Mujadalah (58:2)
The lady who participated in this birth will not be considered the mother of that child, still caution demands that the child must not marry that lady or her progeny. In other impermissible cases, the ruling will remain the same. Unrelated men and women from whom sperm and ovum has been taken will not be considered the parents, as we now know, but there will be a prohibition of marriage. That child cannot marry that person and cannot marry the elders and the progeny of that man/woman, as in Fiqh Hanafi, Nikah prohibitions come into force even with an adulterous relationship.
We pray to Allah Ta'ala that for the sake of the Holy Prophet (Sallallahu alaihi wa sallam), He grant all Muslims chastity and guide all Muslims to perform Nikah and all other affairs of life as per the Shariah.
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MABUHAY ANG PILIPINO!!! BAGUIO CITY, AND LA TRINIDAD, BENGUET LONG LIVE THE FILIPINO!!!
P Paha aha ahay yy yya aa a ag g gang pala ang pala ang palaban!!! ban!!! City Probes New Structures At Busol
BAGUIO CITY – Mayor Reinaldo Bautista Jr. has ordered an investigation into the alleged new structures being put up at the Busol watershed here.
tershed are embroiled in a court battle over the removal of the illegal structures in the subject forest reservation.
The mayor said he directed the city buildings and architecture office to conduct an inspection at the site and work out the demolition of the structures in January to March next year.
Information on the new structures reportedly reached the Busol Task Force after the survey of the illegal structures was completed by joint forces from the task force, the CBAO and the public order and safety division.
The mayor said that it is unfortunate that some people have the temerity to take advantage of the situation even while the city and the squatters within the wa-
The city was efforts to demolish the structures at the forest watershed last July was snagged after the National Commission on Indig-
Cont. on page 9
Malakas ang loob ng mga Squatters, kakampi kasi ang NCIP!
GUN FREE BAGUIO - Gun slingers are prohibited to enter the city as Mayor Reinaldo Bautista, Jr. and City Police Director Atty. Agripino Javier show off to the local media the "GUN FREE SIGNAGE" under the City Resolution Number 242 Series of 2009./ By Bong Cayabyab
Lawmaker Calls for Probe of GSIS Pension Funds use............p2
POPCOM: 'Teen Sex Awareness Key To Fighting Poverty'............p2
Barangay Dads Asked To Be Vigilant On Protecting Minors......p2
Forest Covers In Benguet Quickly Deteriorating.........p3
PINUPUNA AT PINAPANSIN
Usapang haka-haka sa Pulitika!!! Round 3 Trying Hard, Round 4KAPAL MUKS!!! Erap may pag asa kaya ???
By: Odell "Bombito" Aquino
Mayor Cries Foul To News Release.........p3
PDEA leads observance of Drug Abuse Prevention and Control Week...p12
DIRETSAHAN
LANTARAN PASUGALAN , LANTARAN HUBARAN !!! HOY MGA BINGI, BULAG AT PIPI NA MGA OPISYALES-TAMAAN NA KAYO NG HIYA !!!
By Rudy "Bantay Siyasat" Garcia
Lawmaker Calls for Probe of GSIS Pension Funds use
Opposition Sen. Chiz Escudero yesterday filed a resolution asking the Senate to investigate the use of GSIS funds particularly the funds of retired government employees to address complaints of delays in remittances to pensioners.
Retired Government Employees Pensioners, Inc. (ARGEP, Inc. Phils.) last September 27, 2009.
"The GSIS leadership needs to explain the delays in the remittances of our retired employees, most of whom depend solely on these funds," he said.
The association also requested the GSIS to rescind the policy of postdating pension checks. It noted that this was corrected by the GSIS upon its request but this was later changed by the GSIS when it began to date checks from the 1 st to 8 th day of every month instead of every 1 st day of every month.
tinent and apt at present time" especially since the reported Php1 billion peso release of the GSIS to the national government happened in 2004 — an election year.
"It is but natural and logical to be vigilant as ever on the use of the GSIS funds and to insist on what the law mandates for the use of these funds," he said.
The 40-year old lawmaker acted on a published complaint by the Association of
Escudero said the concerns of the ARGEP, Inc. Phils. are "quite valid, per-
Escudero called on the Senate Committee on Government Corporations and Public Enterprises to conduct the inquiry in aid of legislation into the use of the GSIS funds./Office Of Senator Chiz Escudero
Barangay Dads Asked To Be Vigilant On Protecting Minors
BAGUIO CITY – Barangay officials need to be more vigilant in the implementation of laws designed to protect the youth particularly ordinances setting curfew time to minors and banning the selling of liquor to minors.
in face of the rising number of cases on youth delinquency and violence in the city.
In a resolution broached by Councilor Gloria Ysabel De Vera and authored by all the councilors, the body noted the need for barangay officials to step up efforts in enforcing said laws
"There is a rising number of juvenile delinquents and those youth undergoing risky behaviors such as pre-marital sex, youth violence and other unlawful activities such as brawls and conflicts with other youths and involvement in 'gang wars'," the resolution said noting that these cases are related to
T H E
JUNCTION
Bing Dawang - Editor (on leave) Odell "Bombito" Aquino - OIC
Support Staff: Nelson Tuaño Danilo B. Javier Gerry P. Binwagan John T. Bagayan Orwen Trazo
Regular Columnists: Rudy Garcia Emilio Liwanen Atty. James S. Valeros Atty Batas Mauricio Arturo Boquiren Annabelle Pedronio Jenny Ocampo Andres Grace Bandoy the laxity in the implementation of laws that should have been a deterrent to these crimes.
"There is a need for the barangay officials and the barangay tanods also the barangay constituents to be vigilant in implementing the existing laws of the city so as to ensure the safety and good upbringing of the youth," the resolution said.
To curb the sale of liquor to minors, the body recommended that the barangay of-
Cont. on page 10
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POPCOM: 'Teen Sex Awareness Key To Fighting Poverty' powerment
BAGUIO CITY – In the heels of the brewing controversy surrounding the proposed National Reproductive Health (RH) Bill, Population Commission (PopCom) Cordillera launched an aggressive campaign before 'raging hormones,' apparently to gain leverage in favor of the measure.
versity of the Philippines Population Institute, bolstered Osias' observations adding, "Cordillerabased surveys reveal majority of women become sexually active during adolescence."
The forum dubbed, "Educating the Youth to Fight Poverty" was conducted at the Baguio City National High School (BCNHS) campus last week.
This, they said, will not only strengthen the family as a unit but also optimize care for children who will have more opportunities to be educated, healthy and productive lessening poverty incidence in the country.
PopCom director Tomas Osias said the forum targets adolescents in the high school level since studies show prevalence of sexual experimentations ending in unwanted pregnancies during that stage.
"This," she added, "Leads to the growing number of depression and suicide cases the 3rd leading cause of death among teens."
He also advised students to use their time wisely warning, "Every wrong turn could end one's dream for better life [and a life of poverty for kids born out of wedlock]."
Osias meanwhile highlighted, "Parents should be more active in educating their kids especially about sex and its consequences."
of couples with the information and opportunity to plan and space their children.
Meanwhile, 17-finalists from high schools representing 17-regions to the 2009 Population Quiz (Pop Quiz) were presented at the weekly Kapihan sponsored by the Cordillera Association of Regional Executives at SM City Baguio.
He added, "Four of ten 15year old Filipinos are likely to engage in risky behavior."
Pro-RH bill claim the measure is 'not anti-life but pro-quality life'.
Grace Cruz, director of the Uni-
The forum, proponents aver, will ensure em-
The Pop Quiz sponsored in tandem by PopCom and the Department of Education will be held at the Baguio Convention Center November 19, starting at 8:00am./ Bonnavie Romero (PIO intern)
NOTICE TO OUR DEAR READERS J U E T E N G
(SGD) Odell P. Aquino This paper or any of its official staff members are not receiving any payoffs, bribe(s) and/or any other form of benefits from the illegal numbers game known as JUETENG or from any other forms of illegal gambling presently operating within the City of Baguio and Benguet Province, unlike other MEDIA outfits/entities who are restricted and cannot disseminate to the general public the news and information on Jueteng as they are beholden (their hands are tied and their mouths are gagged) to the Jueteng operators/financiers due to their acceptance of dirty jueteng bribe money. This paper has no restrictions and welcomes any and all information concerning Jueteng operations, its proponents, adherents, protectors etc… more so information concerning the involvement of the members of Media, the Philippine National Police (PNP), the Mayor's Office etc… All information received by this newspaper on the issue of Jueteng is guaranteed to see print immediately upon veri- fication and confirmation.
The Junction- OIC
Mayor Cries Foul To News Release
BAGUIO CITY – Mayor Reinaldo Bautista, Jr. last week decried attacks to his person aired through the media on statements he made as to the sources of garbage and other problems in the city.
is Baguio's call to share its blessings with neighbors for the BLIST concept.
dred tons, which made the mayor wonder where the excess came from.
"Government officials, (and their constituents) from neighboring Benguet towns have never been the subject of my statements," the mayor clarified, "they are my close friends and advisers." The mayor also made reference to Benguet Governor Nestor Fongwan as an ally, specially with the BLISTT concept, bringing the city together with nearest neighbors La Trinidad, Itogon, Sablan, Tuba and Tublay.
It has never been my way to put blame on other people for the city's problems, or mine, he added.
It is in the interplay of words that twisted the whole idea, Mayor Bautista, Jr. said, with reports misquoting him, and cutting the phrases to fit a negative thought of blaming the neighbors for the city's garbage.
Sentiments from Benguet constituents have been aired through the radio, after excerpts of the mayor's flag ceremony message found its way to sensitive ears.
Specifically, mayor made several comments on sources of excess garbage which makes up part of about 300 tons of garbage being collected daily in the city.
Moreso, when it
The mayor may have made reference for city dwellers themselves to help lessen garbage, through segregation, recycling and re-use which was misquoted.
The BLISTT concept was born out of the need to share problems and blessings alike, the mayor said. With the city providing tourists, and the neighboring towns with resources; the city as education center which would trigger development in the neighboring areas; the city as jumping point for tourist off to Cordillera tourist spots.
Accordingly, there was a time when garbage collection totals to a little bit more than a hun-
Said concept would also set the city as a classic example for tourism-oriented businesses, the mayor ended./ juliegfianza
Forest Covers In Benguet Quickly Deteriorating resolution creating
LA TRINIDAD, Benguet – The provincial government is apprehensive of the deteriorating state of forest cover which it fear might be gone sooner than projected.
rently, the province has a total of 172,751 hectares of forestland.
a Quick Response Team (QRT) purposely to contain and hasten the resolution of the escalating problem on forest and watershed destruction in the region.
THE
There Are No Safe Firecrackers Or Fireworks — DOH
The Department of Health (DOH) today strongly advised parents not to allow children to use firecrackers or fireworks whether of the legal or illegal kind.
"These devices are not toys and are very dangerous, especially in the hands of innocent children," Health Secretary Francisco T. Duque III said. "We recommend a ban on the use of these devices in residential areas and encourage local authorities to designate an area where fireworks could be lighted, displayed and handled by professionals or those who are trained in using explosive devices," he added.
Health authorities said that the top 5 firecrackers that caused the most injuries in 2008 were (1) piccolo, (2) kwitis, (3) 5-star, (4) luces and (5) home-made or altered firecrackers.
gal firecracker, continued to be the number one cause of injury during the last holiday season and it did not only cause minor injuries but also severe ones like the ruptured eyeball of a boy in Bicol," Duque disclosed.
legal, continued to sneak in the market and caused two cases of injuries this year. The youngest case was a 9-month old girl from Tondo, Manila who was left unattended in the house by her parents while an elder sibling played
He explained that the public should always be cautious and not to regard the legal fireworks as safe because Kwitis and Luces, both legal fireworks, were No. 2 and No. 4 in the list.
"The seemingly harmless Luces can burn up to 1093 ºC (2000 ºF) or 10 times the boiling point of water," Duque said.
Duque also disclosed that the top 5 Firecrackers causing "Blast Burn with Amputation" were (1) Home-made or Altered Firecrackers, (2) 5-star, (3) camara, (4) rebentador, (5) and whistle bomb.
"Piccolo, an ille- with Watusi. She was brought to the Philippine General Hospital for treatment.
The second case was a 31 year-old male from Rodriguez, Rizal with a history of psychiatric treatment. He allegedly ingested 2 boxes of Watusi. He was brought to East Avenue Medical Center for treatment. Both patients survived.
DOH records show that Watusi, long considered as il-
Health authorities said that there is also a significant increase in the number of stray bullet incidents caused by the indiscriminate firing of guns. These were reported in the two regions in Mindanao with no previous records./PIA
150 OFW Families Avail of OWWA's Calamity Loan, Application Still Open
Benguet Governor Nestor Fongwan, in his report during the Regional Development Council meeting held recently, said denudation of forestland is at the rate of 8,400 hectares per year. Cur-
Fongwan lamented that people cut trees as if they are harvesting cabbages. This is particularly observed in the tri-boundaries of the Benguet, Ifugao and Mt. Province. He presented this to members of the RDC as an urgent issue that need to be addressed.
BAGUIO CITY – More than a hundred Overseas Filipino Worker (OFW) families that were adversely affected by typhoon "Pepeng" have filed applications to the Overseas Workers Welfare Administration's (OWWA) Zero-interest Calamity loan.
applications and have started releasing some loans. She also disclosed that about 100 of the applications they received were from Apayao. The OFW Federations in Apayao is helping in the dissemination and collection of the applications.
for the said calamity loan is continuing, and will be on a "first come, first serve basis," until they have dispense with the P2.2 million fund allocated for the said program.
The RDC has earlier passed a
National Commission on Indigenous People – CAR Regional Director requested the Department of Environment and Natural Resources to submit a report to the RDC on status report of QRT
De Vries also lauded the OFW Federation of Apayao for helping their member avail of the OWWA calamity loan program.
Cont. on page 10
Cont. on page 10
OWWA-CAR Family Welfare Officer Liezl Felix bared that they have already received 150
OWWA-CAR Regional Director Saul De Vries, also confirmed that the receiving of application
OWWA-CAR
We believe that the Golden Rule applies to animals, too. We don't accept the prevailing notion that "people come first" or that "people are more important than animals." Animals feel pain and suffer just as we do, and it is almost always humans making animals suffer and not the other way around. Yet in spite of how cruelly people behave towards animals – not to mention human cruelty to other humans- we are supposed to believe that humans are superior to other animals. If people want to fancy themselves as being of greater moral worth than the other creatures on this earth, we should begin behaving better than they do, and not worse. Let's start treating everyone as we would like to be treated ourselves.
- Public Service Message from Linis Gobyerno
OPINION
Stark Treadmill
Before the covered basketball court's tv, the "tambourine brigade" watched footage of Manny Paquiao trashing MiguelCotto. These kids whack flattened bottle caps to accompany offkey carols. They cadge coins from passers-by.
The Las Vegas fight had little to do with skewed chances that their next Christmas could be better. The 7th National Nutrition Survey and the World Food Summit in Rome dealt with that. "What's that?", they asked.
The 5th and 6th surveys documented savaging of this country's children and breast-feeding mothers. The Food and Nutrition Research Institute's 7th survey concludes: chronic hunger keeps ajar floodgates to TB, blindness from Vitamin A deficiency to anemia.
Our politicians mumble vague promises to end this scourge
EDITORIAL
as 2010 nears. "The poor cannot eat promises," the Rome meeting also heard. Delegates recalled that the 1974 and 1996 summits failed to deliver on State Secretary Henry Kissinger's goal: No man, woman and child will go to bed hungry within a decade.
For the first time in history, over a billion men, women and children lack food, FAO Director General Jacques Diouf said. The 2007 and 2008 food riots, in 22 countries, underscore the danger.
The G8 Summit, which met in L'Aquila , Italy, anted up only half the $40 billion needed to jack up food harvests. More than half of that is not new money, Reuters pointed out.
"Plenty sits still. But hunger is a wanderer "In the 21st century, a major dynamic will be the flow of human capital. President Gloria Macapagal Arroyo stressed: at the Asia-Pacific Economic Cooperation meeting. She didn't need to say driven by need.
Nutrition adequacy here barely budged from cellar-levels of 2003 or 2005. "There are more undernourished children and nutritionally at-risk pregnant and lactating women today" than there were six years ago," the survey found.
Out of every hundred pre-schoolers, 26 are underweight. Another 28 were stunted. And six were thin. "A significant increase in the proportion of underweight (24.6% to 26.2%) and under height (26.3% to 27.9%) among preschoolers was noted."
Scrub the jargon. That means more kids, below 5, are emaciated, shorter, skinnier. The most crucial period, for infants is while they're in the womb, up to age 5. If mothers get adequate pre-natal care, chances improve for babies to mature. Fewer scrunch into dwarfs,
"Many of the things we need can wait," Nobel Laureate Gabriel Mistral wrote. "The child can not wait. Now is the time his bones are being formed, his blood made, his sinews developed. To him, we can not say: tomorrow. His name is today."
PEM or protein energy malnutrition, in fact, sends far too many Filipino pre-school children to premature graves, ADB and World Bank said in their previous study: "Early Child Development." But proportions of Filipino infants who die are larger than in poorer countries like Bangaldesh, Kenya or Tanzania . That is the real–and glossed—over-scandal.
The proportion of "nutritionally at-risk" (i.e. ill-fed) pregnant women hasn't shrunk, the new study reports. In fact, the number inched up (1.7%).
The 6th Survey already found four out of ten, who breastfed then, were anemic. Six out of 10 infants, up to a year old, were–Surprise! Anemic.
By age 3, many infants are stunted, Asian Development Bank notes. This stark proportion dwindles, in five years, down to one or two infants. Some will have died. But irreversible damage will have been inflicted by the survivors.
They're swept, willy-nilly into a grim treadmill: Today's ill-fed will give birth to wizened infants. In turn, they'll mother the next generation of dwarfed babies. "(The small mother's) risk of dying in pregnancy is 10 times greater than a woman of normal height or
DIRETSAHAN
LANTARAN PASUGALAN , LANTARAN HUBARAN !!! HOY MGA BINGI, BULAG AT PIPI NA MGA OPISYALES-TAMAAN NA KAYO NG HIYA !!!
By Rudy "Bantay Siyasat" Garcia
Magandang Balita, tatlong kumpanya, nag-alok ng solusyon sa problema sa basura ng lungsod… gud en beri mats welkam… baka naman abutin ito ng siyam siyam bago ito maaksyunan?... Hele hele muna bago helloo… kasi kelangan munang me mapag"cash"sunduan, hindi kaya?
Masamang balita, nagbanta na magtataas ng singil sa pasahe ang transport group sa Baguio kung hindi mapigil ang pagtaas ng presyo sa petrolyo… kapit na tayo ng mahigpit dahil siguradong lalo tayong maghihigpit ng sinturon… imbes galunggong o tuyo baka asin na lang ang uulamin ko, taas dito, taas doon puro nakakataas ng presyo sa dugo, pweh… buwisheet!!!
ooOoo
Tuloy pa rin daw ang sugalan sa may Fortunatas ng Kayang St. ayon sa aking bubuwit, nilagyan pa raw ito ng telon na nagsisilbing kurtina para hindi disimulado ang mga nagsusugal…"untouchable" siguro ang mayari nito. Sino o sino sino kaya ang mga protector? Alam kaya ito ng Hepe sa Compact I ng BCPO? Pakisagot nga po ito inspector Del Castillo?
ooOoo
Lantaran din daw ang "hubaran" sa mga girlie bars diyan sa panulukan ng upper burgos at magsaysay ave. bukod sa paso na ang kanilang mga
business permit, naghuhubad pa raw ang kanilang mga mananayaw na models.
Ooops, apo Cristio Lagyop ng permits and licensing, ano ba ang ginagawa mo? Mukhang hindi mo yata ito napapansin o baka ayaw mong pansinin, bahkeet?
Atensyon, CIDG – CAR Chief apo Moises Guevarra at POSD Chief Engr. Greg Delijero, bisitahin nyo naman itong nabanggit na lugar.
ooOoo
Bakit kaya naipatayo ang isang istraktura sa may tabora park (Rabbit Sinkhole) ng lower magsaysay na wala man lamang building permit? Ang lupang pinagtayuan daw nito ay pag-aari umano ni councilor Galo Weygan kaya ba sa kabila ng sunod sunod na notice of violation galing sa CBAO ay hindi ito pinapansin?
How true na wala rin daw business permit ang mga establisimento na umuukopa ngayon doon? Alam kaya ito ni Apo Weygan?
Kung alam niya, ano ang kanyang ginawa samantalang alam naman ng karamihan kung gaano sya kaistrikto pagdating sa ganitong mga bayolasyon o baka naman nakikipagsiksikan na rin siya ng siko sa kapwa niya mga konsehal kaya ayon sa report ay hindi inaaksyunan umano sa City Council ang reklamo. Totoo ba ito apo councilor "Da Pastor" Galo
PINUPUNA AT PINAPANSIN
Usapang haka-haka sa Pulitika!!! Round 3 Trying Hard, Round 4- KAPAL MUKS!!!
Erap may pag asa kaya ???
Email: email@example.com
By Odell "Bombito" Aquino
By: Odell "Bombito" Aquino
COMMENTARY
Mukhang nagkaka-linawan at nagkaka-ayuasan na ang mga magkakasama at magakakapartido sa politika. Anjan ang grupo at tambalan nina Bernie "The Walang Sawang" Vergara for Tongressman at Mauricio "Sya Lang ang Magaling at Anak ng Diyos" Domogan for Mayor sa partido ng administrasyon, ang partidong responsable sa kasulukuyan kahirapan ng karamihang Pilipno. Nandiyan din ang grupo ni Lolo Braulio "Jadewell " Yaranon (hindi ako sigurado kung tongressman o yorme ang tatakbuhin ni Lolo Y) at kung sino ang kanyang katambal at kung saan grupong nasiyonal (kung mayroon man) siya naka alyado. Nandiyan din ang grupo ni ERAP kung saan pinangungunahan ni Atty. Edgar Avila for Tongressman at Butch Mandapat for Mayor nuong hindi pa siya na-underground ni Councilor Elaine "Mucho Dinero" Sembrano. Alam niyo naman ang politics Pinoy style sa ating bayan mga dear readers, puros kaliwaan, puros siraan, puros plastikan at trayduran, parang hindi ka pa sanay Apo Butch!!! Mayroon din yung solo flight na Mayor Peter Rey "BASURA/BUSOL/FORBES PARK" Bautista na tatakbo as Tongressman at Councilor; "May Bayag/San Carlos " Aliping na tatakdo as Tongressman. Nandiyan din yung grupo ni Councilor Rocky Thomas "Mr. Transport " Balisong na tatakbo rin as Tongressman. Mayroon din yun grupong walang dangal este marangal, kung saan mula pa noon at hanggang sa ngayon, ang PARTIDO LIBERAL ni Ralph Recto at Vilma Santos este ni Mar Roxas at Noynoy Aquino, puros marangal nga ba?!?!. Ang grupong ito ay pinangungunahan ni Councilor Leandro "IDOL" Yangot for Tongressman at Atty. Jose "JOEMOL" Molintas for Mayor . Sino kaya ang nasa grupo ng Nationalista (NP) si Lolo Y kaya? Eh yung grupo daw ni Kiss "Mr. Hinagpis" Escudero?
Maganda ang magiging magkakatungali. Sa muli, yun dating Yangot -vs- Bautista once again at yun dating Domogan -vsMolintas once again. Sino kaya ang lulusot sa puros magagaling na ito? Teka nga pala, sino kaya itong konsehal na ito na gustong sumapi sa isang partido na ang kanyang pakay lamang ay maging SPY at isumbong sa kanyang lover (na isa rin top official) ang mga magiging kaganapan sa partido , is he a he or is she a she? Hi!Hi!Hi, Buking Ka Na!
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Sa usapang pang Vice Mayor at mga Councilors, napakarami ng mga walang magawa sa kanilang buhay ang tatakbo as Councilors, kasama na rin ang yours truly at inyong lingkod na tatakbo rin once again (round 2 pa lamang mga dar readers). Sabi nila kapag, round 3 na, trying hard na raw at semi-desperado, ngunit kapag round 4 na ay DESPERADO na at SUPER KAPAL MUKS NA . Sinu-sino kaya ang mga mag ra-round 4 na mga DESPERADO AT KAPAL MUKS na tatakbo, meron kaya??? Hi!Hi!Hi. Kung sabagay maraming mga mga KAPAL MUKS at SUGAPA SA KAPANGYARIHAN !!!
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Ayon kay ERAP sa isang national TV interview ay kanyang kinuha bilang kanyang legal defense team para ipagtanggol ang kanyang karapatan na tumakbo muli as President of the Republic ay ang mga sumusunod: Justice Magdangal Elma, former Presidential Legal Counsel of the late President Corazon Aquino; Pacifico Agabin, dean of the University of the Philippines' College of Law; Amado Valdez, dean of the University of the East College of Law; Cagayan de Oro Rep. Rufus Rodriguez, former dean of San Sebastian Law School; George Garcia, elections lawyer; and Aquilino Pimentel III, law professor. At mayroon pang retired Supreme Court Justice at isang Election lawyer. Samakatwid ang mga kinuha ni Erap ay puros magagaling at tanyag na mga abogago este abogado. Bery Gud Erap, Bery Gud Erap. Magaganda ang iyong hakbangin, ngunit tutuldulakn ko na ang resulta ng iyong apila na kung makakarating
THE PEACE COMBATANT
Baguio as garbage city is now a nationwide knowledge
By: Arturo Boquiren
The Philippine Daily Inquirer of 21 November 2009 carried a picture of one of Baguio City's streets with a mountain of garbage. This is happening 100 years after the city's founding.
We should be getting better as we get older as a city but this is not happening in Baguio. We are growing backward.
Now Baguio City is infamous for its garbage. Unfortunately, it is slowly but surely getting a reputation of being the garbage capital of the north.
As pointed out by this column last week, allocating a "mere" 5% of the city's budget for amortization for loans will enable the city to borrow about a billion pesos for modernizing the city's garbage management facilities. May I recommend therefore hat the city considers the suggestion and build a group to study the matter.
Rather than allowing the garbage to be an election issue against them, perhaps the incumbents can turn things around and do some positive action on the matter. Come next centennial or bi-centennial, they will be known instead as leaders who acted on the garbage problem.
Otherwise, they will be remembered instead as city officials who exacerbated the garbage problem or situation during their term of office.
That the garbage problem is solvable is also indicated by the presence of methane gases in one of the garbage dumps of Metro Manila. This indicates the garbage dumps can be a source of fuel.
There is potential that our garbage dumps can be a source of a mountain of cash. Fertilizers can be produced from the organic wastes or kitchen wastes. Recyclables can be gathered from papers, bottles, containers, and the like.
Energy can eventually be produced from methane and other gases as some of the wastes are converted to fertilizers.
Rather than being known nationwide or worldwide as a city of dumps, our city officials must convert the situation to become an opportunity instead for the city to be known instead as a city of action.
Baguio can choose to be known as a city who has taken concrete steps towards achieving an environment-friendly solution to its garbage problem.
One possible scenario for Irisan is the emergence of super infrastructure for recycling, fertilizer production, and energy industries. There are very bright prospects that we can even convert our garbage into a boon rather than a bane for all of us.
Some of the initial energy for the fertilizer, recycling, and other industries (as methane gases may take some time to be produced) from the garbage can come from solar and wind electric generators (subject for feasibility study assessment).
Indeed there are bright prospects that we can convert over a long term our garbage site in Irisan into an industrial hub.
Our city officials can choose to be known as visionaries in the city's centennial year or Baguio or be known forever as the officials who allowed Baguio City to known as the garbage city of the north.
Our city officials can also explore tie-ups with other cities of the world under a city sisterhood arrangement to learn from them some technologies or methods that may be helpful in addressing our garbage problem.
(The author can be contacted through firstname.lastname@example.org, Facebook, and 0927-536-8431)
KAKAMPI MO ANG BATAS
Presidentiables with sagging popularities: time to re-strategize May God's people win in May 2010!
By By: Bat : Bat : Batas Maur as Maur as Mauricio icio By By: Bat : Bat : Batas Maur as Maur as Mauricio icio
COMMENTARY
MAY GOD'S PEOPLE WIN IN MAY 2010! Now, only Brother Eddie Villanueva, the chieftain of Jesus Is Lord Church and the confirmed standard bearer running for the presidency in May 2010 of the Bangon Pilipinas Party, remains without a running mate.
All the other declared presidentiables have running mates by now: former President Joseph Estrada, Makati City Mayor Jejomar Binay; former Defense Secretary Gilbert Teodoro, former Optical Media Bureau chief and actor-TV host Edu Manzano; Sen. Benigno Aquino III, Sen. Mar Roxas; and Sen. Manny Villar, Sen. Loren Legarda.
The stage is therefore set for May 2010. Our wish? May God's people win, for the sake of the candidates, and for the sake of the longsuffering Filipino people. If those who will be elected next year are still not God's people, the Philippines will see difficulties and hardships among its people never before experienced by them.
The reason is that a leader who does not have the true fear and love of God in his heart will only bring more ruin and destruction to his people, especially during these times of great turmoil and widespread economic chaos, and that is what is impending to happen to Filipinos worldwide, if we don't shape up.
-ooo-
LIFE ON EARTH IS A PREPARATION FOR ETERNITY: Here is another inspiring Internet posting, forwarded by Mario Lopez of the Yahoo egroup "RY0607" (the social site of Rotary club presidents who served for Rotary Year 2006-2007, and who are known as "leader presidents"):
"You will enjoy the new insights that Rick Warren has, with his wife now having cancer and him having `wealth' from the book sales. This is an absolutely incredible short interview with Rick Warren, `Purpose Driven Life' author and pastor of Saddleback Church in California.
"In the interview by Paul Bradshaw with Rick Warren, Rick said: People ask me, What is the purpose of life? And I respond: In a nutshell, life is preparation for eternity. We were made to last forever, and God wants us to be with Him in Heaven.
"One day my heart is going to stop, and that will be the end of my body— but not the end of me. I may live 60 to 100 years on earth, but I am going to spend trillions of years in eternity. This is the warm-up act - the dress rehearsal. God wants us to practice on earth what we will do forever in eternity.
-ooo-
WE WERE MADE BY GOD FOR GOD: "We were made by God and for God, and until you figure that out, life isn't going to make sense. Life is a series of problems: Either you are in one now, you're just coming out of one, or you're getting ready to go into another one.
"The reason for this is that God is more interested in your character than your comfort. God is more interested in making your life holy than He is in making your life happy. We can be reasonably happy here on earth, but that's not the goal of life.
"The goal is to grow in character, in Christ likeness. This past year has been the greatest year of my life but also the toughest, with my wife, Kay, getting cancer.
"I used to think that life was hills and valleys - you go through a dark time, then you go to the mountaintop, back and forth. I don't believe that anymore. Rather than life being hills and valleys, I believe that it's kind of like two rails on a railroad track, and at all times you have something good and something bad in your life…"
More of this in succeeding issues. Stay tuned, folks!!!
-ooo-
ASCENSION OF OUR LORD: The "Ascension of our Lord" is the second "Glorious Mystery" in the Holy Rosary of Roman Catholic Christians, and it speaks about the manner by which the Lord Jesus was taken up to heaven after His resurrection.
CORDI NAWI
The Papal Letter on Sunday (20th of a Series)
By By: Emilio Liw : Emilio Liw : Emilio Liwanen anen
Dealing With Civil Heretics
Naturally, even if the governments agree to the papal agenda, there will always be some who will resist the recognition of Roman Catholicism as the "one true religion", abstain from rendering allegiance to the Roman pontiff, and refuse to adopt Sunday as a civil rest day. What is the official position of the Roman Catholic Church toward those who adhere to what the papacy interprets as error? What will she do with Sabbath keepers?
Since the papacy is both a civil and a religious body, having its own country (known as the Vatican City) and its own ambassadors, the organization has a religious-political agenda. The papacy's primary goal is the establishment of "the one true religion which subsists in the Catholic and apostolic Church" in every country of the world, as attested by the Catechism of the Catholic Church.
The Roman Church labels those who do not believe her dogmas as heretics. The Catholic Catechism states, "Heresy is the obstinate post-baptisimal denial of some truth which must be believed with divine and catholic faith, or it is likewise an obstinate doubt concerning the same".
But what about religious liberty? Does not every individual have the right to worship as he or she sees appropriate? Again, the Catholic Catechism responds: "The right to religious liberty is neither a moral license to adhere to error, nor a supposed right to error". Thus, if the Roman pontiff declares that Christians are to "strive to ensure that civil legislation respects their duty to keep Sunday holy", any who oppose the measure are declared "heretics". They are denied the right to religious liberty, because the Catholic church claims that no one has a right to embrace a "supposed… error", or, in other words, to disagree with her.
Freedom Of Religion
What is the Roman Church to do with heretics? Thomas Aquinas (1225-1274), considered both a canon saint and one of the four divine doctors of the Catholic Church, explained what the Roman Church is to do with heretics. "Though heretics must not be tolerated because they deserve it, we must bear with them, till, by a second admonition, remain obstinate in their errors, must not only be excommunicated, but they must be delivered to the secular power to be exterminated."
Although guilty of murder (both the church and the person carrying out its mandates), The Roman Catholic Church offered "indulgences"-forgiveness and freedom from penance-to all who punished and slaughtered heretics. Solomon says that history repeats itself. "That which hath been is now; and that which is to be hath already been." Ecclesiastes 3:15. In the near future, will the papacy label Sabbath-keepers heretics and condemn them to death?
The Roman Catholic Fourth Lateran Council, which met from November 11 th to 30 th , 1215, decreed the same penalty for heretics, namely capital punishment. This ecumenical council, the 12 th of the Roman Catholic church, decreed, "We excommunicate and anathematize every heresy that exalts itself against the holy orthodox and Catholic faith, condemning all heretics, by whatever name they may be known, for though their faces differ, they are tied together by their tails. Such as are condemned are to be delivered over to the existing secular powers to receive due punishment…Catholics who shall assume the cross for the extermination of heretics, shall enjoy the same indulgences, and be protected by the same privileges as are granted to those who go to the help of the Holy Land. We decree further that all those who have dealings with heretics, and especially such as receive, defend and encourage them, shall be excommunicated."
Jesus foretold that His followers would be persecuted and slain. "Yea, the time cometh, that whosoever killeth you will think that he doeth God service. And these things will they do unto you, because they have not known the Father, nor Me." John 16:2,3.
NYC Now Accepting Applicants To 10 Day Visit Japan Program
The National Y o u t h Commission(NYC) is now accepting applications for the 2010 Japan-East Asia Network of Exchange for Students and Youths ( J E N E S Y S ) Programme for student ambassadors and supervisors.
A collaboration among the Japan Information and Culture Center, the Japan International Cooperation Center and the NYC, the 10-day visit Japan Programme aims to promote mutual understanding for a stronger solidarity and closer friendship between the two countries.
1992 and April 1, 1994. An applicant must be of good moral character; currently enrolled in a college or university with a Graded Weight Average (GWA) of 2.25 or 85% equivalent, with no failing marks in the preceding semester; an officer or an active member of a youth organization for at least one year immediately preceding the date of application; knowledgeable of the history, geography, culture and arts, and the current issues on the Philippines, and fairly knowledgeable in those on Japan and other East Asia countries;
learnings about Japan and the Japanese culture gained from the JENESYS Programme.
For supervisors, applicants must be between 30 and 50 years old, of good moral character; physically and mentally fit to travel; experienced in handling, managing, or supervising groups; knowledgeable in ASEAN, Japan, and other international concerns; and preferably speaks the Japanese language.
The JENESYS Programme is open to students between 16 to 18 years old and those between 30 to 50 years old for the supervisor category.
According to Jun Angeles, NYC Area Officer –Northern Luzon, deadline for submission of application to NYC offices is 5:00 p.m. of December 4, 2009.
Applicants for student ambassadors must be Filipino, single, between 16 and 18 years old, or born between April 2,
Applicant must be a first time traveler to Japan and/or have not been a grantee or recipient of any NYC funded international travel or Japanese Government grant and must be willing to be an active NYC and JICC volunteer after the program to continue promote the
Application forms may be downloaded at www.youth.net.ph. For more information, visit the NYCNL Office located at 2/F Forest Inn, Legarda Road, Baguio City or call telephone no. (074) 442-0609./PIA
Silahis Ng Pasko'09 Brings Hope And Joy This December
The traditional Silahis ng Pasko sa Baguio will celebrate its 36 th anniversary this December with series of religious, education, cultural, sports and international tourism-oriented activities prime to radiate the joy and the "spirit of Christmas,: and the Yuletide Season.
kick the month long program. A group of pupils from PHASES Learning Center are also joining the event.
bolic, most original and best overall mardigras groups.
The days' program will be capped with the presentation for the Miss Little Silahis ng Pasko '09 Muses and their escorts to be held at the Malcolm Square at 2pm. Top media persons in the city will compose the crowning entourage.
Over 3,000 CSWDO Day Care children and their parents, Clad in various colorful and symbolic costumes of Christmas design and are ready to showcase their wares on December 1 in a mardigras to
The annual pare n t s - c h i l d r e n mardigras will start on top of Session Road down to Magsaysay Avenue to end at the Melvin Jones Grandstand at the Burnham Park for the grand opening program with City mayor Reinaldo Bautista Jr. and Congressman Mauiricio Domogan principal guests.
Special prizes are at stake for the most colorful, most sym-
Former City councilor and NCCB President Nars Padilla and CSWD Betty Fangasan co-chairpersons of the annual "caring and sharing" Christmas Season project said the much awaited "PMA Cadets Day at the Park"
Joint Circular On The Quarterly Release Of Lgu Mining Shares To Be Fully Implemented Next Year estimated annual volumes and values
BAGUIO CITY – The Department of Environment and Natural Resources (DENR) assured that the local government units (LGU) will soon receive their share from mining taxes following the issuance of a joint circular updating guidelines and procedures on the collection of taxes due the LGUs.
In a Regional Minerals and Development Council (RMDC) meeting held recently, Mines and Geosciences Bureau of DENR Central Office, Director Clarence Baguilat said the RMDC is instrumental in the facilitation of the formulation of the Joint Circular No. 2009-1 of the Department of Finance (DOF), Department of Budget and Management (DBM), Department of the Interior and Local Government (DILG) and the DENR.
Baguilat added that the Mines and Geo-Sciences Bureau (MGB) Central Office will hold an orienta- is another major attraction of the yuletide offering. The PMA –city residents immersion sked which in 1973 will be staged at the Burnham Park on December 6, thanks to Vice Admiral Leonardo Calderon Jr., Superintendent of the Philippine Military Academy.
An elite Company of Cadets will display its razor sharp "silent drill" exhibition at 2:00 o'clock in the afternoon with BEA officials and members, Baguio Balikbayans, OCSWADO Day Care teachers and parents as special guests.
tion on the proper coordination and implementation of the joint circular before the year ends.
of metallic mineral production of mining companies.
He said the implementing guidelines of the joint circular took effect March 31. 2009.
The DOF will coordinate with DBM the estimated mining tax to be collected for the current year following the scheme of sharing for LGUs.
The DBM will release the shares of the LGUs and issue allotment and corresponding cash allocation based on the joint certification issued by the Bureau of Internal Revenue and the Bureau of Treasury of mining tax collections and the schedule of the corresponding shares of the LGUs.
The DILG prepares and submits to the BIR the validated list of actual extraction sites of all nonmetallic mineral products such as sand, gravel and limestone.
The DENR will furnish the BIR the
At 3:00 p.m., the famed PMA Band will hold a band concert at the historic Malcolm Square for the general public.
Padilla and Fangasan said Silahis ng Pasko is "our share in celebration of the Baguio Centennial Year!"
Other salient feature of Silahis ng pasok '09 are: the guest for Baguio lucky Christmas family; Immaculate conception Day feast; special day for special people (differently abled persons), hosted by Texas In-
Based on the provisions of the guidelines, the release of share of taxes will be quarterly and no longer on a yearly basis. According to Baguilat, the LGUs will be receiving their share for the three quarters this year on the ensuing year which is February 2010 while the succeeding share of taxes will be received May next year when it will fully take effect.
The two percent excise tax under section 292 of Republic Act 7160 or the Local Government Code will be 60-40 percent, meaning 60 percent will go to the national government while the 40 percent will go to the LGUs.
The sharing scheme within the local governments is equivalent to 20 percent for the province, 45 percent for the municipality, and 35 percent for the barangay./S.C. Aro/ PIA-Benguet struments Philippines; BCNSH singing and dancing Christmas tree hosted by B A M A P C O M , children's get together fellowship fun alleys hosted by McDonalds' Jollibee and CNS International School, the selection of the Christmas Day and New year's Day babies, the guest for the lucky Baguio Balikbayans and finally the NCCB Kafagway Sports Award Recognition program honoring the most outstanding athletes and sportsmen. (NCCB release)/ PIA
Republic of the Philippines REGIONAL TRIAL COURT BRANCH 9 (FAMILY COURT FOR BENGUET) FIRST JUDICIAL REGION La Trinidad, Benguet
IN THE MATTER OF PETITION FOR THE CHANGE OF STATUS/ CHANGE OF NAME OF MARK C. MANGAOANG FROM MARK M. POMONDON
REPUBLIC OF THE PHILIINES REGIONAl. TRIAL COURT FIRST JUDICIAL REGION
OFFICE OF THE PROVINCIAL SHERIFF La Trinidad, Benguet
BERNARD C.
SAMDAO,
Petitioner-
Mortgagee;
-versus-
ROSITA BALIWAN & ORGAN BALIW-AN,
RespondentMortgagor;
JUDICIAL/LEGAL NOTICE
WITH CORRECTION AND CANCELLATION OF ENTRY,
SPECIAL PROCEEDINGS CASE 09-C-1584
CANCEL all the entries and LEAVE it b l a n k a p p e a r a n d s h o w c a u s e , i f a n y, w h y t h i s p e t i t i o n s h o u l d n o t b e g r a n t e d .
MARK M. DOMONDON, Petitioner,
VERSUS
THE LOCAL CIVIL. REGISTRAR OF BAGUIO CITY and THE
LOCAL CIVIL REGISTRAR OF BURGOS, ILOCOS SUR,
Respondents,
X——X
FORECLOSURE CASE NO: 09EXF1386
FOR
EXTRAJUD1CLAL FORECLOSURE OF REAL MORTGAGE UNDER ACT 3135, as amended:
SHERIFF'S NOTICE OF PUBLIC AUCTION SALE
Upon extra-judicial petition for sale under Act No. 3135 filed by petitionermortgagee, BERNARD C SAMDAO, of legal age Filipino, married and with residential and postal address at Pidaoan. Loakan,
ORDER
Petitioner, through counsel, filed this verified petition praying that after due notice, publication and hearing, the court will order the change of surname and to correct the following in his. Birth Certificate ( Local Civil Registrar No. 3851-I-8I)
1. Last Name:
from DOMONDON to MANGAOANG
2. Date of Mar- riage of Parents :
Baguio City, against SFS. ROSITA BALIW-AN and ORGAN BALIW-AN, both Filipinos, of legal age and with residence and postal address at Ambiong, La Trinidad, Benguet to satisfy the mortgage indebtedness which as of 06 Nov 2009, the date wherein the petition was filed, amounts to ONE HUNDRED FIFTY THOUSAND (P150,000.DO) PESOS, excluding penalties, charges attorney's fees and expenses of foreclosure, the undersigned or his duly authorized deputy will sell at public auction on 17 DECEMBER 2009 at 11:00 o'clock in the morning at the main entrance of the BULWAGAN NG
DPWH requests P25 M for road clearing
The Department Public Works and Highways (DPWH) Cordillera Region requested more than Php 25 million for the payment of removal and clearing of slides along the national roads caused by the recent typhoons.
DPWH Director Roy Manao said that they have forwarded the request for funding to their Central Office and awaiting allocation.
The Abra District Engineering Office (DEO) needs total amount of Php 9 2 8 , 8 0 0 . 0 0 ;
Baguio City, Php 3 , 8 7 5 , 4 4 6 . 0 0 ; Benguet First DEO, Php 7 , 3 8 9 , 8 7 6 , 0 0 ; Benguet Second, D E O P6,325,343.80; Apayao First D E O , Php665,800.00; Apayao Second DEO, Php 2 , 2 0 8 , 3 2 0 . 0 0 ; Ifugao DEO, Php 3 , 8 9 2 , 9 1 0 . 0 0 ;
Let this Order be published at the e x p e n s e o f t h e p e t i t i o n e r i n t h e J u n c t i o n , a n e w s p a p e r o f g e n e r a l c i r c u l a tion in Baguio City and Benguet Provi n c e , o n c e a w e e k , f o r
three(3)con secutive weeks, the first publication to b e m a d e n o t l a t e r than November 15, 2 0 0 9 .
Furnish copieshereoftogetherwith a copy of the petition and its an- subdivision plan. on the SE., along line 56 by Lot 1-M of the subdivision plan. Beginning at a point marked "1" of Lot 11, on plan being S.48 deg, 35'E., 3757.00 M. from triangulation Sta. "NORTH BASE", La Trinidad, Benguet; thence N.40 deg., 56' W., 23.63 m to point 2; thence N. 50 deg., 16'E., 14.78 m. to point 3; thence S.62 deg... 00'E.. 24.43 m. to point 4; thence S. 42 deg., 05'E., 17.62 m. to point 5; thence S. 60 deg., 30'W., 10.0 m. to point 6; thence N. 32 deg, 22'W. 16.20 m to point 7; thence S. 45 deg., 14'W., 15.78 m to point of beginning; containing an area of FIVE HUNDRED AND NINETY THREE (593) SQUARE METERS."...xxx
All sealed bids bying for the speedy release of funding so we can pay the private contractors. I would like to acknowledge them for working out of credit just to clear our roads and make it passable, Manao said.
It can be recalled during the typhoon Pepeng, Baguio City and other parts of the region were iso-
And to cancel the Late Registrat i o n o f M a r k Mangaoang at the Local Civil Regist r a r o f B u r g o s , Ilocos Sur.
WHEREFORE, f i n d i n g t h e p e t i t i o n t o b e s u f f i cient in form and s u b s t a n c e , t h e c o u r t s e t s i t f o r hearing on Februa r y 1 0 , 2 0 0 9 a t 9:00 o'clock in the m o r n i n g b e f o r e t h e S e s s i o n H a l l o f t h i s C o u r t , C a p i t o l , L a Trinidad, Benguet a n d a l l p e r s o n s i n t e r e s t e d m a y
KATARUNGAN, JUSTICE HALL, LA T R I N I D A D , BENGUET to the highest bidder, for cash or manager's check and in Philippine currency, the following property with all its improvements, to wit:
TRANSFER CERTIFICATE OF TITLE No. T-32104
A parcel of land (Lot 1-L, Psd- 1014279, being a portion of Lot 1, PSU127975, L.R.C. REG. NO. ______,) situated at Bo. Ambiong, Mun,. of La Trinidad, Prov. of Benguet. Island of Luzon. Bounded on the SW., along lines 6-7-1-2 by Lot 1-U of the subdivision plan; on the NW., along line 1-0, of the
Kalinga DEO, Php 532,644.85 and Mt. Province DEO , Php 3 , 6 8 4 , 6 6 2 . 0 0 . The amount is computed as of October 2009.
We are lob-
The private contractors who work for the clearing of the roads so it will be passable are not yet paid up to this time, Manao added.
nexes to the Office of the SolicitorGeneral,Makati City; theProvincialPros ecutor of Benguet; t h e C i t y C i v i l R e g i s t r a r o f B a g u i o C i t y ; t h e Junction; the petit i o n e r a n d c o u n s e l .
SO ORDERED.
This 10th day of November 2009 at La Trinidad, B e n g u e t .
November 14 , 21 & 8, 2009 By: (SGD) FRANCIS A. BULIYAT SR. P r e s i d i n g J u d g e must be submitted to the undersigned on the above-stated time and date.
In the event the public auction should not take place on the said date, it shall be held on 14 January 2010 at the same time and place without further notice.
Done this 16th day of November 2009 at La Trinidad, Benguet.
FOR THE PROVINCIAL SHERIFF EX-OFFICIO OF BENGUET
By: (SGD)WHINSTON P. DULAWAN Sheriff IV
Publication dates: November 21, 28 and Dec. 5, 2009
lated for several days due to massive road cuts and landslide.
Our office and other government offices can not do it alone during the clearing operations and without the private sector as our partners, perhaps some of our roads are still closed. Manao said./Joseph B Zambrano/ PIA
DOST focuses programs to assist Small and medium Enterprises those who wants to get a Bureau of Food
BAGUIO CITY – In line with the national government's effort to provide alternative employment and livelihood for the Filipino people, the Department of Science and Technology (DOST) has lined up programs to assist present and would be Small and Medium entrepreneurs or SMEs.
released more than P15 million funds to 56 projects in the different provinces in the region. Up to the third quarter of 2009 alone, more than P3 million has been released, she said.
One major program of the DOST for the SMEs is the Small Enterprise Technology Upgrading Program, otherwise known as SET-UP. DOST Urban Science and Technology (USTC-Baguio) Director Nancy Bantog, informed that this program provides an interest-free soft loan for the upgrading of equipments of SMEs which can provide as high as up to P1 million loan to a registered single or group SME proprietor.
Aside from the SET-UP program, DOST also provides packaging and labeling assistance to SMEs. Bantog said ,a Regional Packaging Graphic Design Contest last held last March. The top three winners are now working for DOST on an on-call basis, to help Cordillera SMEs on their packaging design.
and Drugs (BFAD) licenses and those who want to determine the nutritional facts on their respective products for packaging purposes.
Donaal also announced that they have just recently acquired a lead-content testing machine for their laboratory services, which they hope that can be fully implemented for public service by January of 2010.
DOST also offers Laboratory Service, which aims to help entrepreneurs in terms of micro-biological and chemical analysis, especially, those who are involved in water and food processing business..
DOST-CAR is also providing trainings to SMEs. For now, they are focusing more on req u e s t - d r i v e n trainings to ensure that these are what are really needed by their clients in particular areas.
According to DOST-CAR Science and Research Specialist II Shai SingaClaver, since the start of the program, the agency has already
Science and Research Specialist II Jasmin Lee-Donaal noted that more and more SMEs are availing of their laboratory services, especially
Bantog also confirmed that the DOST, through the Philippine Commission on Industry and Energy Research Development, and in partnership with other government agencies, is now working on a climate change road map./Lito/Dar/ PIA
Ifugao stude vies for national environmental contest
L A G A W E , Ifugao -A high school student here will compete in the national poster making contest on environmental concern.
Levita Camat of the Department of Environment and Natural Resources (DENR) here said that Jamie Malingan of the Ifugao Provincial Science High School will represent the region in the contest dubbed P a n d a i g d i g a n g Kumprehensya ng mga Bata at Kabataan para sa Kalikasan.
With the title "the future is now", Malingan bested other contestants from 11 schools here in a draw and tell contest held on November 17, 2009 at the Division Office of the Department of Education (DEPED) here. Ifugao was chosen for its unique way of preserving the environment which is the muyung system.
2010 which will be participated by the youth aging 12-14 from the different parts of the world.
The said program is a joint activity of the Charter of Human Responsibilities (CHR), DEPED, DENR, National Association of Secondary Schools of the Philippines and UNESCO-Philippines.
If Malingan will win at the national level, he will represent the country in a conference to be held in Brazil on June 5-10,
The program seeks to inculcate into the minds of the young their roles and responsibilities at the local level on the protection of the environ-
Cont. on page 9
THE
Authorities alarmed by rabies upsurge suspected to be ra-
in Tinglayan
TINGLAYAN, Kalinga – Health authorities in the province raised alert on the reported rabies upsurge in Barangay Luplupa, this town, the Provincial Epidemics and Surveillance Unit (PESU) said.
bid, had been biting other dogs in the place before the 12 persons were bitten. To prevent these dogs from biting more victims, residents killed them but failed to bring the heads for rabies test.
According to PESU Officer Jose Pardito Jr, 12 victims of dog bite from the area sought treatment at the animal bite center at the Provincial Health Office (PHO) in Tabuk. All were suspected to be positive of rabies.
Pardito said the case is very alarming since all the 12 cases took place in a period of four days, from November 9 to 13.
From January to October, this year, there were nine cases of dog bites reported in the municipality. The PESU noted that this as an unusual case in the place.
dog bite victim with the dog's liver as antidote to rabies, as was revealed by some of the patients. He stressed this practice has no connection, whatsoever, to fight rabies in the body of the person once he is infected. Pardito urged the public instead to observe if the dog survives or dies within 14 days.
Following this, Pardito immediately requested for the massive vaccination of dogs in Barangay Luplupa, before the virus could infect other dogs.
According to the patients, a dog
Pardito appealed to some elders in Upper Kalinga to refrain from the cultural practice of feeding the
If the dog survives, the patient need not be given anti-rabies vaccine, but if the dog dies, the patient should be brought to the animal bite center at the PHO for treatment, together with the head of the dog so it can be brought for rabies test in Tuguegarao, Cagayan, Pardito said./L.Lopez, PIAKalinga
Kalinga products on display during science fair ing assisted on deBerto said.
TABUK, Kalinga – Local products made here will again be on display on this year's science fair to be held December 2 at Rosales, Pangasinan under the promotional program of the Department of Science and Technology (DOST).
Under DOST's manufacturing, productivity and expansion program, representatives of the Calzado Management Consultancy Firm were in the province last week to check if the 11 firms consulted last year have already adopted the recommendations given them to improve their businesses, Berto said.
"Handicraft, woven manufacturers, and food processors have already signified their intent to participate to the week-long fair", Berto said.
sign, labeling and packaging to make it to Pangsinan. That of Norma's buko pie owned by Norma Gonzales was already released and Yema of Sheila Mae Doclan Romero is on progress.
According to Kalinga Science and Technology Center (KSTC) Provincial Officer Alfonso Berto, government- assisted small and medium enterprises operating in the province particularly those engaged in food processing, handicraft and weaving industry organized a trade caravan to Pangasinan.
He said two products are also be-
Two trainings were also conducted at Taga, Pinukpuk for members of the Mananig Multi-Purpose Cooperative on Taro and Cornic processing. They were trained by local trainers under DOST's training program,
Meanwhile, , a forum will be held on November 23at the Laoagan resort here to determine the training needs of entrepreneurs in the province. It will be in collaboration with DENR and DTI since other resources of manufacturing firms are sourced from the forest and they also need to be registered.
Berto announced that two trainings were approved this year on charcoal bricketing and special effects finishing techniques on wood products but are yet to be scheduled pending the availability of lecturers. He said staff from DOST's Forest Product Research and Development Institute will join speakers from the Department of Trade and Industry and those from the Kalinga-Apayao State College./PIAKalinga
City Probes
...... from page 1
enous Peoples (NCIP) issued temporary restraining orders and injunction in favor of the squatters.
For this, the city filed a petition before the Supreme Court to cite NCIP-CAR hearing officer Brain Masweng for contempt for issuing the TROs despite the Supreme Court decision giving due course to the city's bid to remove the illegal structures.
The Supreme Court in a decision dated February 4, 2009 sustained the city government's bid to demolish structures within the Busol Watershed in 2006 by reversing an earlier decision of the Court of Appeals which upheld the jurisdiction of the NCIP to issue temporary restraining orders and later a preliminary injunction to stop the implementation of the three demolition orders issued by then Mayor Braulio Yaranon.
Masweng last July 28 issued a 72-hour TRO and extended the same for 17 more days on July 31 maintaining that the city government has no power under the NIPAS Act of 1992 "to evict indigenous communities from their present occupancy nor resettle them to another area without their consent.
He also said the owners of the Busol structures "have a clear legal right to be protected against the summary demolition of their houses as the law provides that the Indigenous Cultural Communities and the Indigenous Peoples are presumed to be holders of native titles over their ancestral claims."
Masweng also later granted the petition for writ of preliminary injunction of the occupants of illegal structures within the Busol watershed./aileen p. refuerzo
Forest Covers
...... from page 3
such as the number of cases filed and the resolution of cases.
Ifugao Governor Teodoro Baguilat Jr suggested the best approach in dealing with the mounting problem of deforestation is to talk to the community such that they become stewards of the area.
Talking through experience, Baguilat cited efforts the Social Action and Development Commission (SADC), a non-government organization in Ifugao, which providing alternative source of livelihood to the community which minimized the utilization of forest products. The community themselves protect the mossy forest.
"We cannot just say stop cutting trees as the people also need resources," Baguilat said.
He added the denudation of forest is affecting geological balance which greatly contributed to the calamities being experienced today. "It is not only the DENR to blame but all of us," he pointed out.
Batay-an, on the other hand, said that the government should stop issuing tax declaration to the forested areas.
As provided for in the local government code, the management of community forests is now a devolved function of lo-
NEWS
cal government units which called for the creation of the Environment and Natural Resources Office.
In strengthening the provision of the code and to formally turn-over the management and supervision of community forest, Fongwan believes that a Memorandum of Agreement should be forged between the LGU and the DENR.
RDC Acting Chair and National Economic and Development Authority Regional Director Juan Ngalob said that devolution of such function requires further study./S.C. Aro/PIA-Benguet
150 OFW
...... from page 3
has been going around the provinces in the region to strengthen the Federation of OFWs, through the conduct of organizational management training. An OWWA team headed by Program Chief Evelyn Laranang are in Ifugao to conduct such trainings
The OWWA Calamity loan program offers a two-year to pay, zero-interest, no collateral calamity loan of P10,000, to each qualified family of an active OFW OWWA member in the region, who is adversely affected by typhoon "Pepeng."
Documentary requirements include duly accomplished loan application, certification from the Local Government Unit (office of the Mayor), Barangay Captain, DSWD and/or other relevant offices that applicant is a victim or adversely affected by typhoon "Pepeng," Proof of OWWA membership, proof of relationship to OFW (if applicant is a dependent of OFW member).
For more information or details you can also call them at telephone numbers (074) 4452260, 3003658 or 4452260
Meanwhile, De Vries is inviting OFW families to join OWWA for this year's OFW Family Day celebration slated at the SM City Baguio on December 5. According to De Vries, they are expecting about 500 participants who will be invited through the region's different OFW family circle.
Aside from the regular program for the OFW Family Day, De Vries also disclosed that they are planning to include a Financial Literacy Orientation for the OFW participants, which would be conducted in partnership with Francisco Colayco Foundation, a well known business and entrepreneurial foundation./Lito Dar/PIA
Barangays Dads
...... from page 2
ficials through the barangay tanods conduct random inspection of bars, sari-sari stores and other establishments to ensure that these entities are complying with rules and regulations.
Those found violating laws must be reported to the city policeand the business licensing division of the city through a formal report from the punong barangay. The barangays must also submit a regular monthly report on these establishments to monitor their activities.
On strengthening the curfew ordinance for minors, the barangays must also strictly monitor their youth to ensure that they are home within the 7 p.m. time limit. Monthly reports on this end must also be submitted to the city social welfare and development office./aileen p. refuerzo
Billionaire Manny
...... from page 12
defined by the four major sanctioning boxing bodies, namely the World Boxing Association (WBA) a 1962 spin-off of the National Boxing Association formed in 1921, World Boxing Council (WBC) established in 1963, International Boxing Federation (IBF) established in 1983, and World Boxing Organization (WBO) established in 1988.
It seems that Bob Arum fits the role of Shylock in the Merchant of Venice. Note that the promoter Arum wagged the color of money to Cotto on the condition that he agrees to slug it out with Pacquiao at the catch (agreed maximum) weight of 145 pounds. The former hesitantly consented to shed two pounds of pure muscle. Just imagine how much strength and punching power Cotto lost with that lost poundage.
On the other hand, Pacquiao had the golden opportunity to gain weight, and therefore, more power provided the added poundage is pure muscle. Hence, the necessity of a thoroughly serious physical training and proper nutrition, which Manny is incapable of unless given the reality therapy by his coach, now "Master," Freddie Roach.
The same is true for Pacman's victim Ricky "The Hitman" Hatton. The latter had to give up some muscle pounds to meet their fight catch weight of 140 pounds while Pacman did not have any problem at all. In fact, he was only all of 138 pounds during the weigh-in. And the result? The dehydrated Hatton fell asleep even before hitting the canvass when Pacman uncorked a brutal left hook to his jaw.
So on both instances, Bob Arum got his "pound of flesh."
By the way, Hatton is no pizza. In 2005, the Britisher was named the Ring Magazine Fighter of the Year. Two years later, Hatton was knighted by Queen Elizabeth II as she named the boxer a Member of the Order of the British Empire (MBE).
For fighting Cotto, Pacquiao was assured $13 million, which translates to P 611 million at the exchange rate of 47 pesos to one American dollar. From this amount, you add his share of the Pay Per View revenue which should total at least $100 million. And that's the PPV gross income from the United States alone. Pacman's share of this large pie is a minimum of 30 percent or $30 million. In Philippine pesos, that will be P1,410,000,000. 00 (or in short, P1.410 billion)!
In sum, Manny is entitled to a MINIMUM P2.21 billion for one day in the office.
If you want to belabor the issue, Manny's pay per round is equivalent to P184.2 million or P61.4 million per minute!
In his last two matches (against Oscar de la Hoya and Hatton), The Pacman pocketed at least $30 million.
Manny the billionaire, indeed, has got the money./ Art Jimenez/ PNS
g
Who is
...... from page 12
There were articles about trainings on journalism, cooking, baking, industrial painting, spiritual enrichment, suffrage (albeit among inmates), Cordillera autonomy, and sports.
There were pieces on how to survive jail, hope, and about the pretty warden's golden heart.
Strikingly, though inmates are supposed to be shutout from the outside world, one of 'em even wrote about his grandfather as the 'most outstanding citizen' in his heart.
Alex (name withheld) who wrote about how his granddad said, "In prison, I thought my heart would break, but God has taught me that I am not alone."
Knowing his vote wouldn't really count for Baguio, he wrote, "[In line with the city's centennial… I would like [to nominate my granddad] for Baguio's Most Outstanding Citizen."
Among the many reasons he gave, he penned, "Because he is an outstanding family man who gives equal treatment to his children and grandchildren, including a rebellious grandson."
In Pag-asa, there is order; there is learning; there is interaction; there is governance. Most of all, there is this vice which leads one to wonder – 'who is inside; who is out?"/ Xania Carandang
PDEA leads
...... from page 12
contest (with original lyrics) for high school students in La Trinidad, Benguet; and PDEA – CAR regional office open house.
The activities were participated by different schools, government line-agencies, security agencies, business establishments, local courts/ prosecutors, Local government Units, church and the mass media.
In support to the government's continuous fight against illegal drugs, the PDEA-CAR reported an impressing accomplishment against illegal drugs.
From January 1 up to November 19, PDEACAR, in partnership with the Philippine National Police, LGUs and other law enforcement units have seized more than P700 Million worth of illegal or dangerous drugs (based on Dangerous Drugs Board value).
Of the 146 anti-illegal drug operations conducted this year,there were 95 persons arrested, including 10 in the watchlist, 6 from the wanted list and 25 persons from the target list. Of the 95 persons arrested, 80 cases were already filed in court.
Anti-illegal drugs operations in Cordillera also resulted into the neutralization of four local drug groups.
PDEA-CAR is calling on every citizen and all sectors of society to help in the campaign against illegal drugs. To be the force and be a responsible citizen by reporting any drug violation.
For any report, queries or to those who want to avail of PDEA services, the PDEA – CAR hotlines are 422-5544 or 446-9134./Lito Dar/PIA
NEWS
Editorial
...... from page 4
weight.".
Ill-fed kids are deprived from "10 to 14 percent of their potential intelligence quotient (IQ), the ADB study said. Scientists dub this "cognitive deficits". That is "mental capacity missing a few buttons on the remote control."
Cognitive loss is 10 percent for stunted kids. For iodine-deficient victims, the deficit can crest at four percent. That loss can never be recovered." Up to their often earlier graves, these children will be boxed into lives far below God-given potentials.
Will our kids be scrawnier, shorter, frailer– and less adept –than their Malaysian, Korean or Singaporean counterparts?
Yes, if our officials persist in greed. "Pork embedded in the (public works departments) alone in 2009 amounted to P19.6 billion," Philippine Human Development Report notes. Avarice will deny our kids and their mothers the needed care and resources. One item— clean water—can reduce infant deaths by 23 percent.
Growth in political fortunes, in contrast, dwarf improvement in nutrition. Consider Pampanga Rep Juan Miguel Arroyo's net worth: It bolted from P5 million in 2002 to P99 million last year. Just like Mama.
But "prevalence of underweight" women, who breast-fed, dwindled by less than one percent (13.9% to 13.1%,) Anybody hear their whimpers? Or those from the "Tambourine Brigade"?
"Do you hear the children crying. O my brothers 'Ere sorrows come with the years?/ J.L.Mercado
Diretsahan.......
...... from page 4
Weygan? Pakisagot nga po! Oh ano rin sey mo apo Cristio Lagyop, puntahan mo na biliiiiis!
ooOoo
Hanep, at mismong si Meyor Reinaldo Bautista, Jr. ang unang sumugod sa COMELEC at nagpila ng kanyang kandidatura bilang pagkakongresista ng Baguio, as in bwena mano. Bwenas kaya sya o malas sa kanyang "First Home Base?" ika nga, early bird catches the worm, eh paano kung ang bulate ay galing sa basura, di kaya siya pulutin din sa basurahan… ng Irisan? Sumunod naman na nagpila ng kandidatura ay ang alipin daw ng bayan, si councilor Nicasio Aliping Jr. … aba, puro Junior yata ang ating mga early birds,… tignan nga natin kung sila pa rin ang mangunguna sa surbey? Sa susunod na kolumn ay atin pong ilalathala ang mga kandidatong lokal ng Baguio, at kuwidaw lamang po sa mga hinayupak na politikong walang ginawa kundi mangorap, magnakaw, mangabuso,mag-sipsep, etsetera, etsetera dahil ito na ang tamang pagkakataon na mailabas ang kanilang mga bulok at baho, Didiretsahin ko na po, walang puwang sa Diretsahan ang suhulan, himasan at hindi kami nakikipag-"cash"sunduan sa sinumang Pul-politikong maaring matamaan. PERYOD!
THE
Batas
...... from page 6
Only two of the Gospels contain an account of the ascension. The first account is found in Mark, in its Chapter 16, verses 19 and 20, while the second account is found in Luke, in its Chapter 24, verses 50, 51, 52 and 53.
The Gospels of Matthew and John do not have this story, but the Book of Acts, in its Chapter 1, verses 1 to 11, contain a vivid description of how Jesus was "taken up to heaven."
In Mark, this is how the story is told: "After the Lord Jesus had spoken to them, he was taken up into heaven and he sat at the right hand of God. Then the disciples went out and preached everywhere, and the Lord worked with them and confirmed His word by the signs that accompanied it."In Luke, the ascension is described in this manner: "When he had let them out to the vicinity of Bethany, he lifted up his hands and blessed them. While he was blessing them, he left and them and was taken up into heaven. Then they worshiped him and returned to Jerusalem with great joy. And they stayed continually at the temple, praising God."
In Acts, the promise of Jesus returning after He was taken to heaven, "in the same way you have seen him go into heaven" was made.
-ooo-
BATAS INTERNET RADIO: Please listen to BATAS INTERNET RADIO through four websites: www.batasradio.com, www.kakampimoangbatas.ning.com, www.batasmauricio.com, and www.eradioportal.com. We go on the air 20 hours a day, from 4 am to 12 midnight, Mondays to Fridays.
Pinupuna at Pinapansin
.... from page 5
sa korte suprema ay magiging Kaput!!! Yes Kaput Mga dear readers. Walang pag-asang makalusot, kahit na isang daan libong de kampanilyang abogago este abogado ang kunin mo pa. BAKIT SAYO BA ANG KORTE SUPREMA??? Pero ok lang, tutal naman may substitution pa naman for disqualified candidates, Hi!Hi!Hi!, welcome President Binay!!!
Ifugao stude
.... from page 9
ment. It also aims to create a venue wherein all youth from the different countries all over the world will share experiences on how to preserve the environment through education.
Camat said that the program also would want that climate change be included in the curriculum of the DEPED and to strengthen the activities of the youth organizations which are related to the environment.
Other winners in said contest were Myra Flor of Hingyon National High School, second and third was Abigail Tayaban of Asipulo National High School./Vency D. Bulayungan/PIAIfugao
Billionaire Manny Pacquiao
Manny "The Pacman" Pacquiao used his much vaunted lightning speed and jackhammer power to confuse, demoralize and reduce Miguel Angel Cotto to a pulp in what could rightly considered as the match-of-the- year held at MGM Grand Hotel in Las Vegas yesterday (Manila time). Only the intervention of referee Kenny Bayless 55 seconds away from the 12-round fight's end spared the backpedaling defending welterweight Puerto Rican champion from further corporal punishment and a most likely knockout.
sions, a world record. And there's absolutely no possibility for that record to be broken. Firstly, Pacman's peers in the six-titles, six-divisions column are either retired or near retirement. They are Oscar de la Hoya, Tommy Hearns, Hector Calma, and James Toney. And secondly, the present crop of champions could snatch no more than three additional championships. Ask Alex Vidal.
Pacquiao's had an anesthetic effect on Cotto. They all climbed the ring deathly serious, wideeyed, and dry lipped. This nervousness, nay, fear, slowed their blood flow and numbed their arms and legs. Thus, they became easy targets what with the speed and power of The Pacman.
I leave the details of the annihilation to the sports writers. However, I would just like to share some thoughts on the fight, which should not detract from the impressive win of The Pacman.
Manny, of course, was their exact opposite. He was totally at ease and even acknowledged those he recognized seconds before introducer Michael Buffer boomed his famous "Let's get ready to rumble" line.
With the refereestopped- contest TKO, Pacquiao collected his seventh boxing crown in seven weight divi-
And second, we must remember that Cotto is a natural 147pounder, the maximum weight limit in the welterweight division as
Cont. on page 11
As with his recent opponents in the square ring, Manny
PDEA leads observance of Drug Abuse Prevention and Control Week
BAGUIO CITY – Every third week of November is being celebrated nationwide as Drug Abuse Prevention and Control Week. This year's observance slated from November 1420, adopted the theme, "Kilos Pamayanan: Sa Droga Patuloy Na Lumaban".
The theme briefly enunciates the national leadership's call for the unity of various Filipino communities in the unrelenting fight to eliminate the menace
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Rates posed by drug abuse to society and existence.
Locally, Philippine Drug Enforcement Agency (PDEA-CAR), under the leadership of Police Chief Inspector Edgar Apalla, headed the inter-agency weeklong observance . Activities undertaken included seminars/lectures in schools and security agencies; photo exhibits and film showings; ceremonial destruction of dangerous drugs; gift giving / outreach program; tree planting; setting up of an exclusive desk at the
1 page : P11,000.00 1/2 page: 5,500.00 1/4 page: 2,750.00 foots ad: P750.00 1 col. cm. P65.00
Rate discounts available depending on volume of ad placements Judicial Publication Rates: 80% of commercial advertising rates as per PD 1079 and SC. A.M. No. 01-1-07
Melvin Jones Grandstand basement office for a weeklong public assistance on rehabilitation and treatment; anti-drug solo singing
Cont. on page 11
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THE
Who is in and who is really out?
If freedom and parity are chiefly to be found in democracy, they will be best attained when all persons share in the government to the utmost.
dubbed [the paper] 'The Insider,' pun or no pun intended, [because] it evokes humor… a need that makes us human, whatever side of the wall [we're] at."
Such is the case at the Baguio City Jail (BCJ) where everyone is innocent – or at least claim to be - but confined to drawing sticks on walls to maintain sanity as they await verdicts on their pending criminal cases.
Don't believe it? Try going to the BCJ, otherwise known as 'Barangay Pag-asa' – so-called because if there's one thing common to all of 'em prisoners, it is 'hope'.
They have elected their 'mayor' early this year; provided avenues where they learned various trades where they can earn money from; they have commerce and a production line for Christmas decors –
RESEARCH & STATISTICS
*implementation of research or research job outsourcing •statistics encoding, computation, construction of statistical tables, interpretation, analysis •research design, advise, and training in/out of Baguio •program/project evaluation or appraisal market, business, feasibility, development issue, risks, and policy research.Email: email@example.com or call/text 0928951-5680/Landline (074)-4260178 www.geocities.com/ researchfordev
And indeed, 15pages was all it took for the 'in-house' writers to let come up with catch 22 – which world is inside, which one is out?
One would be surprised to read about inmates raising funds for a toddler and a fellow prisoner. At the inset was a photograph of 8month old Trinalyn Mangisel who had a hole in her heart receiving cash from 'mayor' Salvador Tubedan together with the tod's parents and jail superintendent Rebecca Pawid.
The photo was taken by jail officer Christopher Maldis; the writer, an inmate who preferred to go anonymous.
Cont. on page 11
signs any society would fight to have.
Hell, they even held a concert during Earth Day in there for free.
But what is most astounding is that, of those freedoms which they have but most on the other side of the jail walls thought they didn't have but do, is 'freedom of speech' – the avenue where all the freedoms inmates experience 'inside' is made known in an effort to make people from the outside know "they are not who the regular Juan DL Cruz believes them to be."
History happened June 2009. It was the first time a jail in the entire Philippines ever came out with an 'in-house' publication – "The Insider." And Barangay Pag-asa was it.
Editor and inmate George Dela Cruz said, "We
www.itdynamicsphil.com 09175061005
mobile phones: (0917) 5069123, or you can write to P.O.
Box 1588, 2600 Baguio City e-mail: firstname.lastname@example.org
website: www.linisgobyerno.org
Linis Gobyerno is an anti-graft, corruption prevention and detection office.
|
WABASH COUNTY COUNCIL MEETING
The Wabash County Council met in session on Tuesday, May 26, 2015 in the Commissioner's Meeting Room of the Wabash County Courthouse. Chairman Mike Ridenour called the meeting to order at 5:00 P.M. Seven Council members were present: Ridenour, Kyle Bowman, Randy Curless, Jeff Dawes, Matt Dillon, Claude Markstahler, and Bill Ruppel. Markstahler opened with a word of prayer and Ridenour led in the pledge of allegiance. The proceedings of the meeting were recorded by the County Auditor's office.
The first order of business was to review the minutes of the April 27, 2015 meeting. Curless made a motion to approve the minutes. Dillon seconded the motion; it passed by a vote of 7-0.
Ridenour asked for public comments regarding the meeting agenda. County resident Rob Pearson was present to state his objection to the Regional Cities Initiative and to Wabash County joining the Northeast Indiana Regional Development Authority as proposed and scheduled on the meeting agenda. He stated that during his past involvement with economic development and Chamber of Commerce projects, it was his experience that Wabash County benefits very little from regional partnerships such as the one being proposed. In his experience, the larger cities receive the project funding. He stated that the benefits are not worth the risk of Wabash County tax dollars and the county would be committed to the regional agreement for eight years with little input into what projects receive the funding. He would like to see county economic development funds being spent on local projects only.
Wabash City Mayor, Robert Vanlandingham stated that he initially had many of the same concerns as Mr. Pearson's but has since concluded that this regional partnership is different. He stated that Wabash County should be part of bigger economic projects that could benefit the entire Northeast region and that the RDA proposal has his full support.
President and CEO of Economic Development Group of Wabash County, Keith Gillenwater introduced John Sampson and John Stafford, members of the coordinating team of the Northeast Indiana Regional Development Authority to explain the Regional Cities Initiative and to explain the proposed ordinance to establish the Northeast Indiana Regional Development Authority. Sampson explained that Governor Pence and the State Legislature have concluded that single biggest threat to economic development in Indiana is population stagnation. He stated that Northeast Indiana's population growth is approximately .7% per year but Wabash County's population is declining in all age categories with the exception of the elderly. In the Northeast region, the retirement of the Baby Boomers will create a gap in the workforce of -20,000 workers. He explained that in order to attract and retain greater population,
the State is willing to provide $84 million in funding to support the local quality of place projects designed to make our region a more attractive place to reside.
Mr. Stafford explained that the Northeast Indiana Regional Partnership and Greater Fort Wayne, Inc. are spearheading the process of assembling the Regional Cities proposal. They have formed a Steering Committee to oversee the process. Northeast Indiana will be competing for an initial $42 million in matching funds in the State's 2015-17 budget to implement quality of life projects. The Regional Development Authority would be managed by a five member board, each appointed by consent of the executives of the member counties and municipalities. Board members must have at least five years of professional work experience in one of several fields. Board members may not be elected officials or employees of a member county or municipality and terms last four years with no term limits. There is an eight year minimum membership period. He stated that there is no financial obligation imposed upon the County by merely joining the RDA. The RDA may apply to the new state funded Indiana Regional City Fund for matching grants and loans. The local match may come from any type of revenue not prohibited by law or already committed to other obligations. The level of funding and projects funded are determined by interlocal agreements.
Mr. Sampson stated that by the week of June 15 th , Northeast Indiana needs to gain commitments from counties and eligible cities interested in forming an RDA. A process for electing a board and initial set of bylaws will be proposed by the Northeast Indiana Regional Development Authority. The eleven county slate of proposed projects is due to the Indiana Economic Development Corporation by July 1 st . He proposed that Wabash County become a member of the Northeast Indiana Regional Development Authority along with the following counties: Adams, Allen, DeKalb, Huntington, LaGrange, Noble, Steuben, Wells, and Whitley. The Authority would consist of the entire area located within the legal boundaries of the county of Wabash as well as the territory of the other counties, cities and towns that are or will become members of the Authority. A proposed ordinance was given to all Council members for their review.
Discussion and questions followed. Question: Where does RDA get its funding after the $84 million is gone? Answer: Third-party funding, state or federal grants or no further projects get done if money runs out. It was decided to involve as many counties within the Northeast region as possible to create a bigger initiative. Each county or municipality must honor the terms of each individual project interlocal agreement even if state funding is depleted. Question: What happens if the Northeast Region doesn't get funding? Answer: This is a competitive process but all the more reason to get in at the beginning and have a "say" in the formation of the board, the proposed projects, and other decisions to present the best Regional Cities proposal as possible.
Commissioner Barry Eppley encouraged the Council to join the RDA in order to make an attempt at getting some of the $84 million in State economic development monies. He stated that there is "no obligation to pay or to stay".
Ruppel made a motion to suspend the rules for a 2nd reading of the ordinance and proceed with the official vote. Curless seconded the motion and it passed by a vote of 7/0. Ruppel made a motion to approve Ordinance #2015-85-05 to establish the Northeast Indiana Regional Development Authority pursuant to IC 36-7.6-2-3. Curless seconded the motion. The motion passed by a roll-call vote of 4/3 in favor. Each council member voiced their vote and explained why they voted as they did:
Bowman voted no. He stated that the proposed projects are questionable and he would rather work on projects for Wabash County through the local economic development group.
Dawes voted yes. He stated that he could see no "downside" as long as Wabash County retains the right to choose if we participate in the funding of the projects.
Dillon vote no. He stated that it makes no sense to be on the first track of the funding because the State could change the rules. He also questioned where the RDA funding would come from once the initial $84 million is gone.
Ruppel voted yes. He stated that when new businesses are looking for a location they look for the "quality of life" in a community and so it is important to stay involved in the activity of the entire Northeast region. Wabash County is not required to fund any of the Authority's proposed projects, only the ones that would benefit Wabash County.
Markstahler voted no. He stated that he sees no reason for Wabash County to join a regional authority because we aren't attached to a major city.
Curless voted yes. He stated that he sees no "downside" and that this involves little risk. He wants to see more substantial proposed economic projects than "just bike paths".
Ridenour voted yes. He stated that Wabash County could benefit from being part of the regional authority with better direction of economic development funds.
County Auditor Conrad submitted a proposed ordinance on behalf of County Recorder, Lori Draper who was not present. The ordinance explained that under a service agreement with Fidlar Technologies, the Recorder's office provides remote access to recorded document information to professional researchers and to the general public through Fidlar Technologies software programs. The ordinance would establish user fees for access to the recorded information. Ruppel made a motion to suspend the 2 nd reading of the ordinance and proceed to the official vote. Curless seconded the motion and it passed by a 7-0 vote. Ruppel made a motion to approve Ordinance #2015-8506 establishing the user fees as stated within the ordinance. Curless seconded the motion and it passed by a 7-0 vote.
The next order of business was to address the Additional Appropriation requests. Sheriff Bob Land, representing the General Fund's additional and Dr. David Roe and Dr. Robert Beckett representing the Health Department's additional were present to explain the specific requests.
ADDITIONAL APPROPRIATIONS ORDINANCE #2015-85-07
WHEREAS, it has been determined that it is now necessary to appropriate more money than was appropriated in the annual budget; NOW, THEREFORE:
SEC. 1 Be it ordained by the Wabash County Council of Wabash County, Indiana, that for the expense of said county government and its institutions for the year ending December 31, 2015 the following additional sums of money are hereby transferred and ordered set apart out of the several funds herein named and for the purposes herein specified, subject to the laws governing the same:
COUNTY GENERAL FUND - #1000
Explanation: Requesting the revenue deposited into the General Fund on March 26, 2015 from the sale of the 1994 pick-up truck ($502.00), the 2008 Crown Victoria ($417.22) and the 2004 Ford Explorer ($407.29) be appropriated into the Sheriff's budget, Garage & Motor account to offset expenses. No additional funding required, just appropriating revenue.
Curless made a motion to approve the request. Ruppel seconded the motion and it passed by a vote of 7-0.
CEDIT FUND - #1112
Explanation: This is the remainder of the Animal Shelter appropriation that was not budgeted for 2015.
Dawes made a motion to approve the request. Curless seconded the motion and it passed by a vote of 6-1 with Dillon in opposition.
RAINY DAY FUND #1186
Explanation: To appropriate funds to pay Commissioners' expenses that were not budgeted for 2015.
Dawes made a motion to approve the request. Dillon seconded the motion and it passed by a vote of 7-0.
RIVERBOAT FUND - County share - #1191
Explanation: This is the first quarter payment that was paid in March, 2015 but did not get appropriated.
Ruppel made a motion to approve the request. Curless seconded the motion and it passed by a vote of 7-0.
STRENGTHENING PUBLIC HEALTH FUND - #8850 ACCREDITATION FUND
Explanation: One of the requirements for being accredited is to attend training classes for "Lean 6 Sigma for Public Health Certification". There are also monthly meetings that are attended by the nurse. Currently, accreditation is voluntary but it will be mandatory by 2017 and so certain training courses must be completed by then. Accreditation opens the door to more state funding. Public health issues that concern many counties could benefit from the Regional Development Authority membership.
Ruppel made a motion to approve the request. Dawes seconded the motion and it passed by a 7/0 vote.
Clarification of the county's meal allowance resolution from a previous meeting was discussed Council. Ruppel made a motion to approve Resolution #201585-09 which designates the county employee subsistence (meal) allowance up to $35.00 per day but with no specific amounts designated for each meal. Dillon seconded the motion and it passed by a 7-0 vote.
Gary Henderson, representative of the Lafontaine Town Council was scheduled on the agenda but was not present at the meeting.
Ridenour asked for comments regarding non-agenda items. County resident Jack Ferguson voiced concerns about Wabash County's current zoning ordinance and that, in his opinion, portions of the ordinance are unlawful. County Commissioner Barry Eppley explained that the Planning Director has been working on the revision of the zoning ordinance in order to save costs to the county. County Council member, and Planning Commission member, Randy Curless stated that the new zoning ordinance has been completed and is now ready for public advertisement. He stated that the Commission is scheduled to meet this evening and encouraged Mr. Ferguson to voice his concerns at that meeting.
Council reviewed:
Auditor & Treasurer's financial report for April 2015
Solid Waste Management District Profit & Loss comparison.
With no other business to come before the Council, the meeting was adjourned.
The following individuals also attended the May 26th Council meeting:
*If any names are spelled incorrectly, we apologize.
Chief Deputy Auditor Marcie Shepherd and Deputy Auditor B.J. Grube, County Commissioners Barry Eppley and Scott Givens, Attorney Mark Frantz, Joselyn Whittaker, Ross Deitrich, Alan Tio, Bonnie Corn, Louella Krom, Jack & Sandy Ferguson, Laura Cole, Wabash Plain Dealer reporter Mackenzie Klemann, and The Paper reporter, Emma Sue Rausch, and "The Bash" representative, Tim Arnett.
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Monona County Community Directory
HEALTH:
Burgess Health Center (Hospital) 1600 Diamond St. Onawa, IA 51040
Phone: 712-423-2311
Website: www.burgesshc.org
Burgess Health Center is the only hospital in Monona County. This beautiful facility has 31 private rooms which include medical/surgical and special care rooms as well as birthing suites and outpatient observation rooms. Many specialty outpatient clinics are also available at the hospital. See their website for a list of clinics. The emergency room is staffed 24 hours a day for any medical emergency situation.
Services offered at Burgess Health Center include:
- Cancer Care and Infusion Center
- Cardiac Rehab
- Community Education
- Emergency Services
- Diabetes Education
- Home Health and Hospice
- Laboratory
- Inpatient care
- Medical Alert system
- Obstetrics – Family beginnings
- Mental Health………………………………………..…….712-423-9160
- Pulmonary Rehab
- Physical, Occupational and Speech Therapy
- Radiology
- Specialists
- Real Weigh
Specialty Clinics that require a referral from your family physician:
1) Audiology (hearing)
2) Cardiology (heart)
3) Dermatology (skin)
4) ENT (Ear, Nose and Throat)
Burgess Health Center (continued)
Specialty Clinics that require a referral from your family physician:
5) Gynecology (female reproductive)
6) Nephrology (kidney)
7) Neurosurgery (brain)
8) Oncology (cancer)
9) Ophthalmology (eye)
10) Ortho (bones, joints)
11) Podiatry (foot)
12) Psychiatry (mental health)
13) Pulmonary (lung)
14) Retinal (eye)
15) Rheumatology (arthritis)
16) Urology (kidney, bladder)
Dental Clinics:
Family 1 st Dental 909 Iowa Ave.
Onawa, IA 51040
Phone: 712-433-3937
Midlands Dental 214 East Erie Missouri Valley, IA 51555
Phone: 712-642-4136
Patera Family Dentistry 307 Main Mapleton, IA 51034
Phone: 712-882-1021
Pediatric Dentistry 28 North Main Denison, IA 51442
Phone: 712-263-2111
Siouxland Community Health Center 1021 Nebraska St.
Sioux City, IA 51105
Phone: 712-252-2477
Environmental Health Services:
Monona County Environmental Health 610 Iowa Ave. Onawa, IA 51040
Phone: 712-433-3400
Website: http://mononacountypublichealth.org/Environmental_Health.html
Environmental Health is a branch of Public Health that is concerned with all aspects of the environment that may affect human health. It is the goals of the Monona County Environmental Health office to protect the environment for future generations of Monona County.
Services offered by Monona County Environmental Health include the following:
- Free water tests on new and existing private wells are done Monday through Wednesday from 8:00 a.m. to 10:00 a.m.
- The County will pay up to $400 to plug abandoned wells through the Grants to Counties Program
- Nuisance Complaints
- Any new or existing homes and/or businesses that are not connected to the city sewer system are required to have an onsite wastewater system
- Time of Transfer certified inspector lists are available
- Healthy Homes Initiative
The goal of this initiative is to increase awareness of health and housing issues in Iowa by providing information to the general public. Topics addressed include:
o Lead Poisoning, Asbestos, Secondhand Smoke, Animal Dander, Asthma Triggers, Radon, Bed Bugs, Mold and Mildew, Multiple Chemical Sensitivity, Roach Infestations, Carbon Monoxide and more.
- Rabies
- West Nile Virus
Family Planning Services:
Monona County Public Health 610 Iowa Ave. Onawa, IA 51040
Phone: 712-433-1773
Website: http://mononacountypublichealth.org/Family_Planning_Services.html
Women's and Men's Health Care is a basic service essential for the promotion of optimal family health throughout the life cycle. Clinic services include a physical exam, pap smears, counseling, education, pregnancy testing, nutritional information, and family planning supplies for men and women. In addition, sexually transmitted disease screening, education, and treatment are offered. Referrals to other health care services are completed as needed (such as mammography screening). See website for more details.
Monona County Public Health 610 Iowa Ave.
Onawa, IA 51040
Phone: 712-433-1773
Website: www.mononacountypublichealth.org
Services include:
- Acute disease prevention and emergency response
- Childhood Lead Poisoning Prevention Program
- Child Health Program
- Emergency Preparedness
- Family Planning Services/Women's & Men's Health Clinic
- Environmental Health & Zoning including permit application forms
- Immunization/Lead Screening Clinics
- Learning For Life Parenting Program
- I-Smile Program
- Maternal Health Program or Pregnancy Education
Home Health Agencies:
Burgess Home Health and Hospice 1600 Diamond St. Onawa, IA 51040
Phone: 712-423-2311
Website: www.burgesshc.org/homehealth/homehealth.htm
Heights Home Health 114 North 4 th St., Suite C Mapleton, IA 51034
Phone: 712-881-7144
Website: www.pionet.net/~maplhgts/heights/index.htm
Nursing Homes:
Elmwood Care Centre 222 N 15 th St. Onawa, IA 51040
Phone: 712-423-2510
Website: www.elmwoodatonawa.com
Elmwood Care Centre is a 100-bed Medicare/Medicaid certified skilled nursing facility. Some of the amenities include an 8-foot bird aviary, full service beauty shop, an enclosed courtyard, two dining rooms and an activity room. Premiere Estates is an attached 24-unit assisted living quarters providing independent living with the security, privacy and the feeling of home. Other services include 24 hour skilled nursing care, respite care, specialized dietary service, wound care management, pain management, IV therapy, physical therapy, occupational therapy, and speech therapy.
Nursing Homes: (continued)
Maple Heights Nursing Home 2 Sunrise Ave. Mapleton, IA 51034
Phone: 712-881-1680
Website: www.pionet.net/~maplhgts
Maple Heights is a 72-bed state and federally licensed nursing facility that is Medicare and Medicaid certified. The primary function is to provide a safe place for people who need nursing care to help with daily activities as prescribed by each individual's physicians for short recuperative periods as well as long term.
Pleasant View Care Center 200 Shannon Dr. Whiting, IA 51063
Phone: 712-458-2417
Pleasant View Care Center is a Medicare/Medicaid certified facility and provides the following: Nursing home care, assisted living, senior community and is a Skilled Nursing Facility (SNF). Pleasant View Care Center caters to both short and long-term patient care. "It is primarily engaged in providing skilled nursing care and related services for residents who require medical or nursing care; or rehabilitation services for the rehabilitation of injured, disabled, or sick persons." Please call for more information.
Optometrists (Eye Care Clinics):
Vision Care Clinic, P.C. 412 main St. Mapleton, IA 51034
Phone: 712-882-2020
Vision Care Clinic, P.C. 721 10 th St. Onawa, IA 51040
Phone: 712-423-2737
Pharmacies:
Maier Family Pharmacy 411 Main St. Mapleton, IA 51034
Phone: 712-881-1033
Stangel Pharmacy
821 Iowa Ave.
Onawa, IA 51040
Phone: 712-423-1131
Pharmacies: (continued)
Whiting Family Pharmacy 723 Whittier St. Whiting, IA 51063
Phone: 712-458-2500
Physicians:
Burgess Family Clinic – Mapleton 111 S 5 th St. Mapleton, IA 51034
Phone: 712-882-2234
General practice doctors of osteopathy: Alan Schenne, D.O. and Jennifer Schenne, D.O., Nelinda Rhode, ARNP, DeRae Schroeder, DNP, ARNP, Jamie Brummond, ARNP
Family Medicine Clinic, P.C. 1614 Diamond St. Pl. Onawa, IA 51040
Phone: 712-423-1525
General practice physicians: Paul Dudley, M.D., Tracy Kahl, D.O., Shannon Kennedy, M.D., Brandon Kovar, M.D., Allison Kovar (Stangel), M.D., Rhonda Miller, PA-C, Katie Moore, ARNP, Gail Moser, PA-C, Kevin Kollbaum, PA-C, Jennifer Stodden, PA-C,
John L. Garred, Jr. & Sr. 153 Blair Whiting, IA 51063
Phone: 712-455-2431
General surgeons: J. L. Garred, Jr. & Sr.
Horn Physician's Clinic – Mapleton 412 Main St. Mapleton, IA 51034
Phone: 712-881-4676
General practice doctor of osteopathy: Curtis Hesse, D.O. and Jackie Crampton, ARNP
Poison Control Center: 401 Douglas St. Sioux City, IA 51101
Phone: National Emergency Hotline: 800-222-1222
Phone: During Business Hours: Administration: 712-279-3710
Website: http://www.iowapoison.org/about-us/
The Iowa Poison Control Center (IPCC) provides free 24-hour immediate treatment advice for poison emergencies through a national toll-free telephone hotline, 1-800-2221222. We also provide information about poisons and poison prevention. The IPCC can help you with questions about household products, drugs (prescription, over-thecounter, herbal, illegal, or animal medicines), chemicals at work or in the environment, snake bites, spider bites, and plant and mushroom poisonings. Services are available for the hearing impaired and non-English speaking. The ISPCC is the official poison control center for the State of Iowa and is one of 55 nationally accredited poison centers in the nation.
MENTAL HEALTH:
Burgess Mental Health 1600 Diamond St. Onawa, IA 51040
Phone: 712-423-9160
Website: www.burgesshc.org/services/mental.htm
Provides therapy and counseling to individuals, families, and groups. Psychiatric evaluation and medication monitoring are also provided. See website for more details.
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WELCOME TO BLACK HAWK
The administration, faculty, and staff welcome you to Black Hawk High School. It is our sincere hope that you have a rewarding, challenging, and successful school year. Please be aware that the expectations that we have for you both academically and behaviorally are high. The expectations that you have for yourself should be equally as high. In order for you to meet these sets of expectations and for us to have a safe and positive school environment it is essential that you both know and follow the guidelines established by this handbook and your teachers.
The policies established in this handbook are designed to enhance the ability of students to learn and teachers to teach. Use this handbook as a reference to the policies and procedures that we will follow this year. Take the time to familiarize yourself with the information contained in this handbook. It is your responsibility to know the policies and the consequences if those policies are violated. There are changes from previous years, make sure you are aware of what they are.
If you have any questions or concerns regarding these policies or your rights and responsibilities as a student please feel free to consult the principal, guidance counselor, or your teachers.
The administration, faculty, and staff will do everything within our power to make your school experience a positive one. It is up to you to make the most of the opportunities that are provided for you. I look forward to getting to know all of you. I'm excited about being your principal and look forward to this year with a great deal of enthusiasm and optimism. Have a great year and make this the most rewarding of your school career.
GENERAL INFORMATION
MISSION STATEMENT
The primary responsibility and mission for the professional staff and students at Black Hawk High school is a commitment to the understanding that all Black Hawk High students can and will learn and that instruction is the most significant activity within the school.
Black Hawk High School has promoted the belief that "everybody is somebody". Recent research in education confirms that a strong commitment to learning and setting high expectations for students within a positive school climate ensures that the needs of every student can be met. Black Hawk School's goal, then, is to find the most appropriate ways to ensure that each student is given the opportunity to learn to the maximum of his or her ability.
Through staff development and action plans, the mission of Black Hawk High School has incorporated the following characteristics of effective schools as determined through major research studies:
1. Positive school climate.
2. Clear and focused school mission.
3. Strong instructional leadership.
4. High expectations for success.
5. Opportunity to learn—effective instruction.
6. Frequent monitoring of student progress.
7. Parental and community understanding and support.
FACULTY AND ADMINISTRATION
2021 - 2022
Teacher:
Position:
Amweg, Eric
Band
Burke, Michael
Social Studies
Bredeson, Sheila
Language Arts
Campbell, Dan
READING
Crotty, Kerri
School Counselor
Erickson, Eric
Science
Ellefson, Kurt
Phy. Ed.
Firgens, Joshua
Business
Flanagan, Mike
English
Haynes, Kim
Choir
Herbst, Marlene
Paraprofessional
Kammes, Tara
Art
Kinney, David
Spanish
Macomber, Lexis Special Education
Petitjean, Anthony
Social Studies
Ruegsegger, Carol Paraprofessional
Rupnow, Tammy
Bookkeeper
Schiferl, Jennifer
Office Staff
Signer, Tiffany
Mathematics
Signer, Travis
Science
Rothenbuler, Talia
Paraprofessional
Pickett, Melissa
Office Staff
Wolff, Rachel
Mathematics
Zimmerman, Beth
Office Staff
th
6 Grade
Mr. Signer
Mrs. Signer th
7 Grade
Mr. Amweg
Mr. Burke
Freshmen
Mr. Erickson
CLASS ADVISORS 2021 - 2022
8 th Grade
Mrs. Bredeson
Ms. Macomber
Mr. Campbell
Sophomores
Tech. Ed. Teacher
Mr. Kinney
Mrs. Kohlstedt
BELL SCHEDULES
STUDENT EXPECTATIONS
Students enrolled in the School District of Black Hawk are expected to:
1. Attend school and scheduled classes on a daily basis unless ill or excused by school officials.
2. Take advantage of all available resources and learning opportunities presented to them and develop and learn to the best of their abilities.
3. Select courses with the purpose of achieving meaningful goals.
4. Complete assigned work within the time designated.
5. Challenge their intellect and not just work for grades.
6. Give the best possible performance in all testing situations.
7. Obey all rules, directives, and district policies, which are communicated either verbally or in writing.
8. Participate in school-sponsored events and activities.
9. Accept help from their classmates and be willing to help others when they can.
10. Register complaints and concerns with those who have the most direct responsibility to address them.
NONDISCRIMINATION POLICY
It is the policy of Black Hawk Board of Education that no person shall, on the basis of sex, race, national origin, ancestry, creed, pregnancy, marital or parental status, sexual orientation, physical, mental, emotional, or learning disability or handicap be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity or in employment.
Any student questions concerning Title VI, which prohibits discrimination on the basis of race, color, and national origin; Title IX which prohibits discrimination on the basis of sex; or Section 504, which prohibits discrimination on the basis of handicap, should be directed to: William Chambers, Ed.D, Superintendent, 202 E. Center Street, South Wayne, WI 53587 or call 608-439-5371
RELEASE OF PUBLIC DIRECTORY INFORMATION
Wisconsin statutes provide that schools or school districts may legally release the following: a pupil's name, address, telephone listing, date and place of birth, major field of study, participation in officially recognized activities and sports, weight and height of members of athletic teams, dates of attendance, photographs (The School District Black Hawk will consider videotapes the same as photographs), degrees and awards received, and the name of the school most recently previously attended by the pupil.
Such information may be withheld if the district is advised by the parent, legal guardian, or eligible student (18 years of age or older) to do so. If information is not to be released, the parent, legal guardian, or eligible student must sign the district's Request to Withhold Directory Data form at the school office. If the school has not received the request form to withhold information within 14 days of the publication of the fall newsletter, then we are to assume that directory data may be released if requested.
Student Records and Confidentiality, Refer to Policies 350 and 350.1.
FINANCIAL OBLIGATIONS
Each student is required to pay a general fee for books and materials that are issued. The fee covers consumable materials and book rental.
It is the student's responsibility to return books in the same condition as received. The user will be assessed according to misuse of books. Additional fees may be required in certain courses and for specific purposes.
Students are responsible for all materials, equipment, and/or facilities assigned to them or provided for their use. Abuse or loss of these items will result in the student's or parent's payment for the items lost or damaged and possible school disciplinary action. Students must pay the fees or any fines by the end of the semester.
BLACK HAWK SCHOOL DISTRICT FEES
Student Fees:
UNPAID STUDENT MEAL CHARGES
IT IS THE GOAL OF THE SCHOOL DISTRICT OF BLACK HAWK TO ENSURE ALLCHILDREN RECEIVE PROPER NOURISHMENT.
IN ORDER FOR THEM TO FULLY CONCENTRATE ON LEARNING. THE DISTRICT BELIEVES THIS IS A SHARED RESPONSIBILITY THAT CAN ONLY BE ACCOMPLISHED THROUGH STRONG PARTNERSHIPS WITH FAMILIES AND CLEAR COMMUNICATION
REGARDING FOOD SERVICE POLICIES. THOSE FAMILIES WHO PARTICIPATE IN THE SCHOOL DISTRICT OF BLACK HAWK FOOD SERVICE PROGRAM ARE SUBJECT TO THE FOLLOWING POLICIES AND PROCEDURES ESTABLISHED BY THE BOARD OF EDUCATION:
PAYMENT POLICY
THE FOOD SERVICE PROGRAM IS A PREPAYMENT PROGRAM. FAMILIES ARE EXPECTED TO HAVE A POSITIVE BALANCE IN THEIR FOOD SERVICE ACCOUNT THROUGHOUT THE SCHOOL YEAR. ACCOUNT BALANCES AND INFORMATION ABOUT PURCHASES MADE ON ACCOUNTS CAN BE OBTAINED THROUGH THE DISTRICT WEBSITE SKYWARD FAMILY ACCESS TAB OR BY CALLING THE DISTRICT OFFICE.
DEPOSITS FOR THE FOOD SERVICE ACCOUNT CAN BE MADE BY SENDING THE PAYMENT TO THE SCHOOL OFFICE.
EXCESS FUNDS OR UNPAID MEAL CHARGES AT THE END OF THE SCHOOL YEAR WILL BE CARRIED OVER INTO THE FOLLOWING SCHOOL YEAR.
NEGATIVE BALANCES
1. AS A COURTESY, FAMILIES WILL BE NOTIFIED WHEN THEIR FOOD SERVICE ACCOUNT REACHES A POSITIVE $5.00.
THIS NOTICE WILL BE SENT THROUGH AN AUTOMATED EMAIL OR PHONE/TEXT MESSAGE GENERATED BY THE SKYWARD ADMINISTRATIVE SOFTWARE PROGRAM ONCE PER WEEK.
2. FAMILIES WITH NEGATIVE BALANCES IN THEIR FOOD SERVICE ACCOUNT WILL BE NOTIFIED BY AN AUTOMATED EMAIL OR PHONE/TEXT MESSAGE SENT THROUGH SKYWARD ONCE PER WEEK. THIS WILL CONTINUE UNTIL THERE IS A
POSITIVE BALANCE IN THE ACCOUNT. ATTEMPTS WILL BE MADE BY THE FOOD SERVICE DIRECTOR OR HIS/HER AUTHORIZED DESIGNEE TO CONTACT PARENTS/ GUARDIANS BY PHONE, MAIL OR BY OTHER MEANS OF
COMMUNICATION IN AN ATTEMPT TO MAKE ARRANGEMENTS FOR PAYMENT.
3. STUDENTS WHOSE FAMILY FOOD SERVICE ACCOUNTS SHOW A NEGATIVE BALANCE UP TO -$20.00 WILL ONLY BE SERVED A REIMBURSABLE MEAL AND WILL NOT BE ALLOWED TO PURCHASE A LA CARTE ITEMS. UNPAID STUDENT MEAL CHARGES CONT.
4. I
F THE FOOD SERVICE ACCOUNT IS RESTORED TO ZERO,
STUDENTS MAY
CONTINUE TO PURCHASE REIMBURSABLE
MEALS UP TO
-$20.00.
5. WHEN A FAMILY FOOD SERVICE NEGATIVE ACCOUNT BALANCE FALLS BELOW -$20.00, ALL PURCHASES WILL BE DENIED. A COURTESY MEAL OF ALTERNATIVE OFFERINGS WILL BE PROVIDED FOR THREE DAYS AT NO CHARGE. AFTER THE THREE DAYS, IF THE ACCOUNT BALANCE HAS NOT BEEN PAID OR A PAYMENT PLAN AGREED UPON, THE FAMILY FOOD SERVICE ACCOUNT WILL BE DISABLED AND NO FURTHER PURCHASES (BREAKFAST, LUNCH, MILK OR A LA CARTE) WILL BE ALLOWED. PARENTS/GUARDIANS WILL NEED TO SEND A COLD LUNCH WITH THEIR CHILDREN UNTIL THE OUTSTANDING BALANCE HAS BEEN PAID.
6. I
N ACCORDANCE WITH
U
NITED
S
TATES
D
EPARTMENT OF
A
GRICULTURE
REGULATIONS,
STUDENTS WHO HAVE HAD
THEIR FOOD SERVICE ACCOUNT DEACTIVATED MAY CONTINUE TO PURCHASE
MEALS OR MILK BY PRESENTING CASH FOR
THE MEAL OR MILK PURCHASE IN LINE AT THE TIME OF SERVICE.
*A
ATTENDANCE PROCEDURES
T THE TIME OF PRINTING
-
COVID
-19
GUIDELINES WERE NOT APPLIED
COMPULSORY SCHOOL ATTENDANCE
In accordance with WI State Law: all children between six (6) and eighteen (18) years of age must attend school full time until the end of the term, quarter, or semester in which they become eighteen (18) years of age, unless they have a legal excuse, fall under one of the exceptions in the State Statutes, or have graduated from high school.
AGE OF MAJORITY ATTENDANCE POLICY
18-yr. Old students still living with their parents are subject to the same rules and attendance guidelines as all other students, and must continue to provide written parent permission for all school-related activities.
Independent 18-yr old students not living with their parents must provide written notice from their parent/guardian stating that the student will be taking over their educational decisions and that the parents are withdrawing their participation in all educational matters of the student. These students are then responsible to call in absences and abide by all attendance guidelines and school policies.
SCHOOL ATTENDANCE REGULATIONS
A student may be excused for up to ten (10) days during the school year if the parent/guardian calls the attendance office, and the student makes up the missed school work.
EXCUSED ABSENCES require parent/guardian verification. The school office must be notified by 8:30 a.m. on the day of an absence, or as emergency situations develop during the day. Failure to appropriately notify the office will result in the absence being recorded as an UNEXCUSED absence.
Examples of excused absences include:
* Illness
* Death in the family
15
* School sponsored trips
* Medical, dental, or other valid professional appointments. (Every effort should be made to schedule appointments outside of the school day.)
PRE-EXCUSED ABSENCES require prior approval from the building principal. The absence will be excused at the discretion of the principal based upon the student's attendance and academic record. The parent/guardian must initially call the school's attendance line/office personnel to explain the reason for the upcoming absence. The student will then be given a pre-excused absence form to be signed by his/her teachers. If the absence is to be for longer than a day, the form must be returned to the office at least one (1) day before the scheduled absence.
Examples of pre-excused absences may include, but not necessarily restricted to:
* Family trips/vacations
* Attendance at special events of educational value
* Approved school activities during class time
* Special circumstances that show good cause (i.e. college visits, occupational interviews)
* Driver's license test (up to 1/2 day allowed)
* Court appearances or other legal procedures
* Religious holidays
* State tournament events only by players of the sport, or by student spectators only when Black Hawk athletes/teams are participants. *Note, underclassmen attendance does count towards excused absence count.
*
PRE-EXCUSED FORMS
A completed pre-excused form must be turned into the high school office prior to any field trip, family vacation, or other leave that is known in advance. Failure to turn in a completed form may result in denial of attendance on the field trip or loss of waiver. This form does not have to be completed for appointments
COLLEGE VISITS: Black Hawk High School encourages juniors and seniors to visit a college of their choice. Juniors may take one visitation day during the school year. Seniors may take two visitation days during either semester of their senior year.
The college visitation days are official absences from school and require parental excuse prior to the visit.
Unexcused absences - Students whose absence does not fall under the reasons listed above shall be considered unexcused.
*Absences that are called in by a parent beyond the designated 10 days will be recorded as unexcused, unless accompanied by a note from a medical professional stipulating the cause of the absence, or where pre-excused.
Unexcused Absences Will Result in Time Being Made Up, or Other Disciplinary Measures As Determined By The School Principal
MAKEUP WORK POLICY
The student has one day plus the number of days absent to make up the work missed without penalty for excused absences. Failure to turn in work by that time will result in a failing grade for that work.
TRUANCY POLICY
I. Policy
It is the philosophy of Black Hawk Schools to cooperate with Lafayette County Juvenile Intake, Lafayette County Human Services, and the legal system to promote integration between family, school, and community for the academic and social advancement of school aged youth.
II. Procedure
A. Definition:
1. "Habitual Truant" shall mean a pupil who is absent from school without an acceptable excuse from the following:
A. Part or all of 5 or more days on which school is held during a school semester.
1. Students truant from school for fewer than five (5) days during any school semester shall be dealt with by the school and/or referred to law enforcement for a truancy citation. Intervention tools shall include establishing a truancy record and notification of the truant's parents of their student's truancy problem by letter.
2. If the truancy persists, the appropriate school officials (administrator, school psychologist, school guidance counselor, special education teacher, school attendance officer) may begin preparing proceeding against the truant to fulfill requirement of Section 118.15. The school will notify the parents and the Juvenile Court Intake worker that they are beginning this process and will institute and document the following steps.
A. Meet or attempt to meet with the child's parents or guardian to discuss the child's truancy.
B. Provide an opportunity for educational counseling to the student to determine whether a change in the child's program would resolve the truancy problem.
C. Evaluate the pupil to determine whether learning problems may be a cause of the truancy, and if so, take remedial steps.
D. Conduct an evaluation to determine whether social problems may be a cause of the truancy, and if so, take appropriate action or make appropriate referrals.
E.
The Juvenile Court Intake Worker will send out a letter to the family.
3. This process may result in the following options:
A. Resolution of the problem.
B. Notifying the City Police or Sheriff's Department of the truant and/or habitual truant and request that the student and/or parent be cited for a County Ordinance Violation.
C. Notifying the Juvenile Court Intake Worker of the habitual truant and requesting the Juvenile Court Intake Worker to start services to the child and family. If the services are unsuccessful, the process of a JIPS petition under 938 (6) will be initiated. The Juvenile Court Intake
Worker is responsible to keep the school informed of the process.
ANNOUNCEMENTS
Announcements will be read by 8:05 A.M. daily. Information should be brief and to the point, have a teacher's signature, and be submitted no later than 7:55 A.M. Announcements will be on the school bulletin board.
STANDARDS OF GROOMING AND DRESS
The primary responsibility for a student's attire resides with the student and parents or guardians. The Black Hawk School District is responsible for seeing that student attire does not interfere with the health or safety of any student, and that student attire does not contribute to a hostile or intimidating atmosphere for any student.
1. Students Must Wear:*
* Shirt.
* Bottom:pants/sweatpants/shorts/skirt/dress/leggings
* Shoes; activity-specific shoes requirements are permitted (for example for sports)
* High-school courses thatinclude attire as part of thecurriculum (for example, professionalism, public speaking, vocational classes, etc. )
2. Students May Wear:
* Fitted pants, including leggings, yoga pants, and "skinny jeans".
* Pajamas
* Rippedjeans, as long as underwear is not exposed.
* Tank tops,including spaghetti straps, halter tops, and "tube" (strapless) tops ; as long as underwear is not exposed, chest area not exposed via cutoff t-shirts, nor student navel area exposed.
* Athletic attire
* Hoods may be worn, as long as ears are visibly exposed. Teachers have the right to ask students to place hoods down in class.
3. Students Cannot Wear:
* Head-ware, such as ball caps, "cat ears", stocking
caps, etc. These may be removed for bullying purposes, which can lead to fighting.
* Violent language or images.
* Imagesor language depicting drugs or alcohol (or any illegal item or activity) or the use of same.
* Hate speech, profanity, pornography, or potential to incite violence.
* Imagesor language that creates a hostile or intimidating environment based on any protected class.
* Visible underwear. Visible waistbands or straps on undergarments worn under other clothing are not a violation.
* Bathing suits or other clothing that exposes areas of bare chest, rear ends, or navel areas.
* Helmets or headgear that obscuresthe face (except as a religious observance).
*Sunglasses
*Full length coats
CODE OF STUDENTS' RIGHTS AND RESPONSIBILITIES
EQUAL OPPORTUNITY
The Black Hawk School District follows a policy of fairness and equal opportunity for all students, male and female. Both boys and girls can enroll in all classes and can expect to be treated equally in these courses. All students are given a chance to participate in athletic programs. Girls and boys are disciplined in the same way for the same offense. All students are encouraged to develop their talents in whatever area in which they have an interest - art, cooking, sewing, typing, welding, and photography - to name just a few.
A student's exercise of rights and privileges in the school setting should be protected at all times. No right, however, is absolute. The freedom to exercise one's rights cease when that exercise unduly infringes upon the rights of others. The purpose of this code then is to not only protect the right of the individual but to protect the rights of the student body.
CODE OF STUDENTS' RIGHTS
1. Each student has a right to an education.
2. Each student has the right to be free from assault or intimidation.
3. Each student has the right to utilize school facilities and programs according to established school regulations and procedures.
4. Each student has the right to hold property free from theft or damage.
5. Each student has the right to seek and obtain help regarding drugs or alcohol.
6. All students have the right to file a grievance as per policy 440.1.
7. Each student has the right to form, hold, and express opinions and beliefs so long as the expression does not disrupt the normal operation of the school.
8. Each student has the right not to be pre-judged for an alleged
violation of this code and has the right to present his/her version before any judgment is made.
9. Each student has the right to have access to all the rules to which he/she is subject.
10. Each student has the right to appeal an application of the code of student rights and responsibilities through the grievance procedure.
11. Class/instructor expectations regarding academic
requirements, tardiness, discipline, will be presented in writing to the student in each class.
CODE OF STUDENT RESPONSIBILITIES
1. Each student will attend school and scheduled classes unless ill or excused by school officials.
2. Each student will report to classes on time and be prepared for class.
3. Each student will take advantage of available resources and learning opportunities presented to him/her and develop and learn to the best of his/her abilities.
4. Each student will complete assigned work within the time designated and will give the best possible performance in all testing situations.
5. Each student will accept help from classmates and be willing to help others when they can.
6. Each student will participate in school sponsored events and activities.
7. Each student will obey all rules, directives, and district policies which are communicated either verbally or in writing.
8. Each student who has complaints and concerns will register these concerns with those who have the most direct responsibility to address them.
9. Each student is expected to care for school items checked out to them. Textbooks must be covered.
Depending upon the nature of the violation, students who fail to comply with the above responsibilities are subject to:
* Verbal or written reprimand, and or/detention/suspension, and/or restricted privileges. Consequences are issued and parents are notified.
* For serious or continuing offenses, suspension with parent conference for re-admission. Restitution must be made for any damage committed.
* For severe and/or repetitious acts, removal from school by expulsion.
* If the case warrants, legal authorities will be notified
DISCIPLINE
In our society, individuals learn that they alone are responsible for their behavior. There are times when the inappropriate behavior of students requires disciplinary action as a consequence. The purpose of the consequence is to convince the student that it is in their best interest to change their inappropriate behavior into appropriate behavior.
It is the responsibility of the Board of Education or their designee to determine the degree of consequence used in order to accomplish this end. The seriousness of or the continuation of inappropriate behavior may result in a more severe consequences. Failure to follow the conditions of the consequence may result in more severe consequences.
UNACCEPTABLE BEHAVIOR
Disciplinary action may be taken as a result of any behavior which is disruptive to the educational environment or which violates the rights of others. The following acts are unacceptable and subject to disciplinary action.
The following rules and guidelines have been established for all curricular and co-curricular activities in order to create a favorable educational environment.
Black Hawk uses progressive discipline, called the BH Step System. The Step System defines behaviors that are antagonistic of student code of conduct expectations. The following areas are identified for student code of conduct:
A. School Attendance
1. Unexcused absences
2. Unauthorized leaving of campus
3. In-school Truancy
4.
B. Student/Student Relationships
1. Threatening or Intimidating Acts
2. Disrespect
3. Shake Downs/Extortion
4. Fighting
5. Scuffle
6. Fight - blows thrown (equal)
7. Physical attack - (unequal)
8. Property Damage
9. Theft
10. Horseplay
11. Endangering the health or safety of any student by any means.
C. Student/Staff Relationships
1. Insubordination
2. Threatening or Intimidating Acts
3. Physical Attack
4. Disrespect
5. Disrespect or damage to staff property
6. Theft
7. Failure to serve a teacher issued detention
D. School Property
1. Vandalism: Destruction or Defacing
2. Abuse of technology / printed material
3. Theft
4. Littering
E. Protection of the Public Safety
1. Detonation or possession of firecrackers/nuisance devices.
2. False alarms: fire - bomb threats
3. Unauthorized use of flammable devices.
4. Arson
5. Improper Use of Motor Vehicles
6. Reckless Driving
7. Parking in unauthorized areas
8. Entering parked cars during school day.
9. Possession of a Weapon
10. Threats Involving A Weapon
11. Use of A Weapon
F. Alcohol, Vaping Equipment, And Drugs
1. Possession
2. Use of
3. Selling or transmitting to others
4. Smokeless Tobacco
G. Other Infractions
1. Removal of class for violation of classroom behavioral rules.
2. Disruption of School Events, Games, Assemblies
3. Cheating
4. Dress Code Violations
PROTOCOL FOR DISCIPLINARY ACTION
1. STUDENT CONFERENCE
Conferences will be conducted with students regarding disciplinary matters to ensure due process. Each student faced with a disciplinary action will be informed of the facts and the nature of the conduct which has been challenged and will be given an opportunity to explain his/her version of the facts or conduct prior to the implementation of discipline if at all possible.
2. PARENT CONTACT
A student's parent may be contacted by telephone or mail in addition to a student conference. The intent of the contact is to inform the parent of the violation, and to elicit parent support for correcting the unacceptable behavior.
3. PLACEMENT WITHIN STEP SYSTEM
The placement on a step is dependent upon the nature of the violation. It is possible to be placed at the final Step 9 designation, and be expelled from school for a single incident. After 15 school days without further infractions, the student will be removed from the Step System.
Step 1 - Conference and notification of parent
Step 2 - Detention: 15 minutes to 4 hours
Step 3 - ½ day in-school suspension
Step 4 - 1 day in-school suspension
Step 5 - 2 day in-school suspension. Parents must come into school for a conference.
Step 6 - 3 day in-school suspension. Parents must come into school for a conference.
Step 7 - 3 to 5 day in-school suspension or out of school suspension depending upon the nature of the violation. Parents must come into school for a conference, written behavior contract.
Step 8 - 5 day out of school suspension mandatory. Parent conference to determine future educational options. Other agencies may become involved.
Step 9 - 10 day out of school suspension, expulsion pending. Expulsion hearing before the Board of Education.
BUS CONDUCT
Riding the School Bus
Students are under the authority of the driver while being transported. Refusal to obey rules or orders of the driver will make a child liable to be reported to school officials and perhaps to be denied transportation privileges.
Students may ride a bus to another person's home only if there is room on the bus and if there is a note from the parents. Arrangements must be made prior to the day of the change and the note from the parents must be shown to the child's teacher and the bus driver.
Conduct on the bus is as much a part of proper behavior as conduct in school. The instructions of the bus driver must be followed promptly without question. He/she is the sole person responsible for the control of the bus and the safe transportation of many students at one time, in all kinds of weather and road conditions.
Students are to remember that riding the bus is a privilege and they should conduct themselves accordingly. Assigned seats may be required if problems arise. Continued misbehavior will result in suspension from the bus. Question related to operations of the busses may be referred to the bus transportation director at 439-5371.
BULLYING /HARASSMENT
The Black Hawk School District is committed to making our school a safe and caring place for all students. We will treat each other with respect, and we will have a zero tolerance of bullying or harassment in any form in our school. Our district defines bullying as follows:
Definition
Bullying is deliberate or intentional behavior using words or actions, intended to cause fear, intimidation or harm and are a repeated pattern of behavior.
Bullying behavior can be:
1. Physical (e.g. assault, hitting or punching, kicking, theft, threatening behavior)
2. Verbal (e.g. threatening or intimidating language, teasing or name-calling, racist remarks)
3. Indirect (e.g. spreading cruel rumors, intimidation through gestures, social exclusion and sending insulting messages or pictures by mobile phone or using the internet – also known as cyber bullying)
Prohibition
Bullying behavior is prohibited in all schools, buildings, property and educational environments, including any property or vehicle owned, leased or used by the school district. This includes public transportation regularly used by students to go to and from school. Educational environments include, but are not limited to,
every activity under school supervision.
STAFF WILL DO THE FOLLOWING TO PREVENT BULLYING AND TO HELP STUDENTS FEEL SAFE IN OUR SCHOOL:
- Watch for signs of harassment/bullying and stop it when it occurs
- Closely supervise students in all areas of the school (hallways, bathrooms, bus line, cafeteria, parking lot). This includes the playground at the elementary school
- Respond quickly and sensitively to bullying reports
- Look into all reported bullying incidents
- Take seriously parents' concerns about bullying
- Assign consequences for bullying based on the district's discipline code
- Provide the option to the person being bullied to confront the person doing the bullying if he/she wishes to do so
- Provide immediate consequences for retaliation against students who report bullying
STUDENTS WILL DO THE FOLLOWING TO PREVENT BULLYING:
- Refuse to bully others.
- Treat each other respectfully at all times.
- Refuse to let others be bullied.
- Report bullying. At a minimum, file anonymous report incident in the Student Concerns folder within the office.
- Refuse to watch, laugh, or join in when someone is being bullied.
- Understand that bullying behaviors carry negative consequences and that retaliation will not be tolerated.
POSSIBLE CONSEQUENCES OF HARASSMENT OR BULLYING
- Lunch time in the office
- Initial bullying report is filed with warning to cease behavior.
- Placement within the progressive discipline step system.
- Recommendation for expulsion
- Police referral
STEPS TO REPORT BULLYING
1. Confide in an adult to assist you in determining your options.
2. Access a Bullying Incident form from the school website, or office.
3. Schedule a conference with the principal. You may bring support with you to scheduled conference.
4. Principal will inform you of communication with alleged bully. However, results of discipline will only be discussed with alleged bully and his/her family or guardian.
5. Student must remain diligent in reporting repeated incidents or recruitment of other students to mimic the behavior.
WEAPONS ON SCHOOL PREMISES
Philosophy
The Board of Education of the School District of Black Hawk believes that all students are entitled to attend a school free from bodily harm or endangerment.
The building administrator may allow hunting items in the building for purposes of demonstration, educational presentation, or safety classes. This approval must be in writing and granted prior to the device being brought to the school. The device shall be maintained in the possession of the administrator or person(s) designated by the administrator, except during the actual demonstration or presentation.
Archery equipment for physical education classes is permitted and must be used only under the supervision of the physical education teacher. Guns may be allowed on school property for hunter safety classes with proper notification of school officials.
Any school employee who is aware of such possession must report the information to the District Administrator, Principal or Counselor as soon as possible.
Legal Reference: Wisconsin Statutes
120.13 (1), 939.22 (1), 941.235, 948.605, 948.61
Approved: January 9, 1995
Revised: July 10, 1995
Revised: August 14, 1995
SEARCH AND SEIZURE LAWS (STUDENT PRIVACY)
* The Fourth Amendment restricts public school officials, but to a lesser degree than are the police. The Fourth Amendment does not apply to private or parochial school officials.
* School officials may search students and their belongings with "reasonable suspicion."
* The police may also search with "reasonable suspicion" (as opposed to their usual "probable cause" standard) if they are working at the request of and in conjunction with, school officials.
*Court Cases with Supreme Court decisions
New Jersey v. T.L.O., 469 U.S. 325 (1985) State v. Angelia D.B., 211 Wis. 2d 140, 564 N.W.2d 682 (1997)
ALCOHOL TESTING OF STUDENTS
A school board employee or a law enforcement officer, authorized by the school board or appointee, may require a public school student to provide one or more samples of his/her breath for the purpose of determining the presence of alcohol whenever the authorized employee, agent or officer has reasonable suspicion that the student is under the influence of alcohol while on school premises, in a motor vehicle owned, rented by, or consigned to a school; or while participating in a school-sponsored activity.
The authorized employee, agent or officer must use a breath screening device approved by the Department of Transportation for the purpose of determining the presence of alcohol in a person's breath.
If a student refuses to submit to breath testing to determine the presence of alcohol in the student's breath, the same discipline procedure is used.
The administration may take the following steps after the alcohol breath testing of students:
* Contact police
* Contact parents
* Suspension
* Contact Drug and Alcohol Assistance Team
* Expulsion
The results of the breath test or the fact that a student refused to submit to breath testing may be used in any hearing or proceeding regarding the discipline, suspension, or expulsion of a student due to alcohol use.
GANG RELATED ACTIVITY
Black Hawk School is considered to be and will strive to continue to be a gang free area. Disruption and intimidation caused by gang posturing and/or gang symbols on materials, jewelry, or clothing will not be tolerated. Any gang related items will be confiscated and turned over to the school's police liaison officer.
CELL PHONES – MP3 PLAYERS – PERSONAL MUSIC DEVICES
ELECTRONIC DEVICES MUST BE KEPT IN THE LOCKER
High School students may use devices during lunch period and transition time checks.
* Improper usage will result in device confiscation.
st
1 offense – Confiscation of device. Student conference.
2 nd offense – Confiscation of device, parent pick-up.
3
rd
offense – Confiscation of device, loss of second semester
waiver, detention assigned. Device must be turned into the office for period of time designated by administration.
* There will be no phone use or Internet-capable devices used in study hall for any task which is not an official class assignment. Video games are not allowed in study halls or class time. Teachers may allow the last 10 minutes of study hall at their discretion for rewarding of proper studying behaviors. Music devices during class or study halls are at the discretion of the teacher and must be only during independent work time.
* Receiving and sending texts, unauthorized picture/video taking, and use of social media sites during the instructional day is prohibited.
* No phones or picture taking devices are allowed to be out or on in the locker room or bathroom areas.
* Refusal to submit to staff's request for phone confiscation will result in automatic office disciplinary protocols.
* Headphones MUST be completely removed from the ears during instructional time and hallway transitions.
* Students will be in violation of electronic device use, if they are caught taking pictures of other students without permission of that student.
HALL PASSES AND HALL TRAFFIC
Courtesy should be exercised when passing through hallways and stairwells. Traffic should move between periods during scheduled passing times. Please note the following: no running in hallways or in the stairwells, no students are allowed in non-designated hallways during lunch break, and no students in the halls during class time without a pass.
After 4:15 P.M., students should not be in the building unless they are participating in an organized activity. If waiting for an after-school event, students need to be in a classroom or in the upper commons. Athletes are not to be practicing in hallways unless supervised by their
coach.
Student and faculty cooperation is requested for the success of the system. Students who fail to cooperate or abuse pass/permit privileges will be denied pass/permit privileges in the future. Students should not be given permits to areas not supervised by a staff member. All students arriving to school late MUST go to the office to obtain a class admittance pass. Admittance pass must be shown to ALL teachers.
Study Halls
Study halls are a necessary component of a student's schedule, IF the study hall is used for academic purposes. Socializing in study halls is not acceptable practice. If you don't need a study hall for academic purposes, don't take one. Students are expected to be quiet and on task for a minimum of the first 32 minutes of study hall.
NO ELECTRONIC DEVICES are allowed in the study hall without the permission of the study hall supervisor for academic purposes only.
BH Independence Pass Program
Purposes and Guidelines. The independence pass program is intended to reward those students whose citizenship and academic grade reflects a mature, and self-driven attitude.
1. An increased level of responsibility for sophomores, juniors and seniors in their use of a free period. It is intended that this program will help students develop a higher level of self-discipline through an extension of freedom and responsibility for the decisions regarding their own unscheduled time.
2. An opportunity to find positive avenues for career exploration during periods of unscheduled time which will afford individual student benefits.
3. Offer the opportunity for the student to use the different educational resources available in the community.
4. A program established as a privilege, not as a right.
5. During unscheduled time, to a maximum of one period per day, students who participate in the IP Program are given the freedom to:
a. Be self-directing in the use of unscheduled time.
b. Go directly to their planned destination.
c. Not report to study hall for attendance purposes after their initial contact each semester with the study hall supervisor.
d. Use the LMC and other resource centers.
e. Access the guidance center resources without passes.
f. Use computers made available for student use in the collaboration room or upper commons.
g. Use the Upper Commons area during IP time.
h. May use personal electronic devices, if following acceptable use policy, and no violations accrued using the device.
Participating students are expected to show corresponding responsibility by:
1. Showing the IP to the study hall supervisor immediately upon earning the privilege.
2. Setting an example for other students, particularly with regard to behavior patterns in a school and community atmosphere.
3. Following all general school regulations as specified in the student handbook.
4. Using good judgment in conducting themselves in the community and following all ordinances and regulations.
5. Using each area in an appropriate manner.
The Qualifying Criteria for earning the Independence Pass are as follows:
1. Citizenship (Responsibility) grades will be given every three weeks by the student's teachers. The program will begin in the month of October.
2. This pass is valid only if the student maintains a 2.0 point Citizenship grade average for responsibility and respect.
3. Students with an IP need to be to their intended destination by the time the bell rings to start class for the next period. Students are not allowed to roam to other classrooms or take up teacher prep time.
4. Student's IP will be revoked for:
a. Unexcused absences
b. Tardies that result in a detention being issued (5 or more in a term)
c. Any Office Discipline Referral, including removal from class for insubordination.
5. The student is responsible to abide by all school policies as listed in the student handbook or the IP may be revoked.
6. A student is not eligible for an IP if he/she receives less than a C- in any course during the grade check period. The student can reapply at the time of a new grade check period, if grades improve.
7. . Students owing fines or fees may not eligible for an IP.
8. The IP may be revoked at any time by any time due to school policy infractions or by parent request.
9. IP will not be available 2nd semester for any student who receives an F inra first semester course.
LOCKERS AND DESKS
A student locker is assigned for student convenience for storage of outer garments and school materials. All lockers and desks are the property of the school and NOT the student's private property. They may be opened and searched by school authorities at any time. This statement is "prior notice" of locker, desk and personal searches on school property, including dog searches. Private items may be searched if the administration has reasonable suspicion to search those items. Any unauthorized items found may be removed.
Students who damage lockers or desks will be held accountable. Locks MUST be used on all lockers. This includes physical education lockers. Keep the locker locked at all times and do not tell the combination to anyone. The school will not be responsible for things stolen or missing from a student's locker. Students are not to leave items unattended in the locker rooms.
The school district assumes no responsibility for things missing from lockers or desks but will assist students in attempts to recover any missing articles. Students are asked not to bring items to school which pose a particular temptation. Students must use only the locker assigned them. After the first day of school ALL locker assignments or changes will be made in the Principal's Office.
BACK-PACKS / BAGS
STUDENTS ARE NOT ALLOWED TO CARRY BACKPACKS AND BAGS AROUND THE HALLWAYS OR COMMON AREAS. THIS IS FOR SECURITY PURPOSES! BAGS AND BACK-PACKS ARE TO BE KEPT IN A LOCKER. TEACHERS WILL NOT ALLOW YOU TO HOLD YOUR BELONGINGS IN THEIR CLASSROOMS.
TRESPASSING
Unauthorized persons in the building or on school grounds will be charged with trespassing.
Students who are on a partial or limited schedule are required to arrive and leave school grounds at the designated times. If the students remain and loiter in school or on the school grounds, they may be charged with trespassing and referred for school discipline.
Students who are suspended out of school are expected to remain at home and will be charged with trespassing, if they are in school or on school grounds in violation of their suspension. (Including before and after school activities).
DISMISSAL FROM CLASS
If a teacher finds it necessary to remove a student from a classroom because of willful and persistent disruptive behavior and/or refusal to obey the teacher in the room, the student is to report immediately to the principals' office.
Teachers will have policies in place for redirection of inappropriate behaviors. If removed from a classroom, automatic detention and possible suspension are applied. See G-1: Removal from class.
If a student is removed from a teacher's classroom to the office three times within a month's timespan, the teacher may request an alternate placement for that student.
Placement Procedures:
The building principal or designee shall place a student who has been removed from a class by a teacher in one of the following alternative educational settings:
1. An appropriate alternative education program approved by the Board. State law defines this as an instructional program approved by the school board that utilizes successful alternative or adaptive school structures and teaching techniques and that is incorporated into existing, traditional classrooms or regularly scheduled curricular programs or that is offered in place of regularly scheduled curricular programs.
2. Another class in the school or another appropriate place in the school. (i.e. the office or time out room)
3. Another instructional setting
4. The class from which the student was removed if, after weighing the interests of the removed student, the other students in the class and the teacher, the principal or designee determines that readmission to the class is the best or only alternative.
When making placement decisions, the building principal or designee shall consider the following factors:
1. The reason the student was removed from the class or the severity of the offense.
2. Limitations of the district such as cost and space.
3. The estimated length of time of the placement.
4. The student's individual needs and interests.
5. Whether or not the student has been removed before.
6. The relationship of the placement to any disciplinary action. (Is a suspension the result of the student's conduct?)
7. Consider the need for an EEN referral.
All placement decisions shall be made consistent with established Board policies and in accordance with state and federal laws and regulations.
The parent/guardian of a minor student shall be notified of a student's placement in an alternative educational setting as outlined below.
GRIEVANCE PROCEDURE
If students do not feel they are being treated fairly, they have the right to discuss their feelings with their teacher, counselor, or administrator. There is a step by step procedure that you can follow to get your concerns heard.
1. The parent/student can request a conference with the faculty member responsible for initiating the disciplinary action.
2. If there is not satisfactory resolution the parent/student may request a conference with the principal. The principal may request the presence of other involved parties.
3. If there is not satisfactory resolution the parent/student may request a conference with the superintendent. The superintendent may request the presence of others involved.
4. If there is not satisfactory resolution the parent/student may request a conference with the Board of Education. The Board of Education may request the presence of others involved. The grievance must be presented to the Board in writing.
ACADEMIC INFORMATION
ACADEMIC HONESTY
It is expected that all schoolwork submitted for the purpose of meeting course or class requirements represent the original efforts of the individual student. It is important that all involved in the educational progress - administration, faculty, students and their families understand their integral role in helping to promote a climate of
academic honesty.
The administration will:
Promote and encourage the staff on an ongoing basis to educate students regarding the district's academic honesty policy. With staff and student input, determine appropriate consequences for policy violations.
The staff will:
* Educate students and offer continued guidance regarding acceptable and unacceptable behavior in areas that shall include, but not be limited to, test taking, research techniques, written work, and use of library and computer resources.
* Encourage the demonstration of knowledge, the honing of research skills, and self-expression in student work.
* Promote circumstances in the classroom that will reinforce academic honor and promote original and focused responses from students.
* Evaluate the effectiveness of their own efforts.
The students will not:
* Plagiarize in written, creative, or oral work.
* Submit work that is not original, copy or "borrow" from another source and give it as one's own work. These are all unacceptable practices.
* Give or receive unauthorized assistance on exams.
* Alter grades or other academic records or give false information or forge.
The parents will:
* Discuss the district's academic honesty policy with their children.
* Promote circumstances that will help to uphold the district's policy.
Cheating means taking credit for work that is not yours. Plagiarism, copying, borrowing, and forging are all forms of cheating.
Consequences for Cheating
Grade
| 1. Cheat on quiz/test | 0* |
|---|---|
| 2. Blatant copying of homework | 0 |
| 3. Those that knowingly allow another student(s) to cheat | 0 |
*Student will also lose their exam waiver for that class if it takes place within the second semester.
**Student will redo the assignment and complete an additional essay on plagiarism in the working world. Failure to comply will result in loss of waiver.
Certain group assignments, projects or any kind of collaborative effort as a group may allow or require different parameters for defining what is really "one's own work" - this is best covered by the teacher and the students before the project is started. Students need to know the ground rules before the work or project is actually started.
Adopted: February 9, 2004
GRADUATION REQUIREMENTS
To meet graduation requirements for the School District of Black Hawk all students must earn a total of 24 credits. The law requires that students must be enrolled in classes or participate in school board approved activities during each class period of each school day throughout their high school year. Each student must earn credits in the following required courses:
English
4.0
Health
.5
Mathematics
4.0
All students are required to obtain 20 hours of community service in order to earn a diploma from the Black Hawk School District. Hours will be accumulated from the summer preceding enrollment at Black Hawk and need to be completed one week prior to scheduled graduation.
Students show proficiency in courses taken by maintaining a grade point average of 2.0 or above.
In addition, all students must perform at a level of proficient on "READY" on three of the five subjects tested on the approved Wisconsin standardized assessment.
PROGRAM CHANGES
Once a student has been scheduled into a course at the beginning of a semester, the student MUST remain in that course for that semester.
Schedules may only be changed the first three- (3) days of a
semester. All schedule changes will be handled through the Guidance Office. Written parental permission must accompany all requests.
Reasons for schedule changes:
Computer error
Balancing of classes
Lacks prerequisite
To make up failed course
Add a course
Level or within department changes (teacher recommendation required)
Scheduling guidelines:
* Schedule changes will not be made because of a job, unless approved by the administration.
* All students must be full time students and will need to be scheduled for period one (1) through eight(8),
41
unless in an approved school to work program. Seniors in good academic standing may serve one period as a student volunteer.
ACADEMIC EXCELLENCE
Academic excellence is strongly encouraged and is recognized in several ways. Distinguished Honors includes students who achieve a 4.0 average. High Honor Roll includes students with a GPA of 3.667 or above, Honor Roll includes students with a GPA of 3.00 - 3.666.
National Honor Society members are chosen annually by a faculty committee. Juniors and seniors are eligible for membership. Students are chosen on the basis of scholarship, character, leadership, and service. General guidelines and application dates will be announced. Honor cords are presented to graduating seniors who have achieved a cumulative GPA of 3.667 or above; calculated at the end of the first seven semesters.
ACADEMIC EXCELLENCE HIGHER EDUCATION SCHOLARSHIP
The 1989-90 biennial budget bill included a provision for establishing Academic Excellence Higher Education Scholarships. The intent of these scholarships is to recognize Wisconsin's high achieving pupils and to provide an incentive to encourage these students to attend eligible Wisconsin institutions.
The Black Hawk Board of Education shall annually by February 25, name the twelfth grade pupil who has the highest weighted grade point average in all subjects as eligible to receive a higher education scholarship. If two or more pupils have the same grade point average, the school board shall select the pupil eligible for the scholarship using the following criteria in the order listed:
1. The eligible student must show evidence of application and acceptance to a participating Wisconsin institution by the beginning date of the eighth semester.
If a tie still exists...
2. The student with the highest composite ACT score available at the beginning date of the eighth semester will be the nominee. If a tie still exists...
3. The student with the most credits in all subjects through seven semesters will be the nominee.
If a tie still exists...
4. A coin flip will be conducted to determine the nominee.
Technical Excellence Scholarships
Technical Excellence Scholarships (TES) are to be awarded by the State of Wisconsin to Wisconsin high school seniors who have the highest demonstrated level of proficiency in technical education subjects.
The new TES scholarship program began awarding scholarships in the 2015-2016 college academic year. The scholarships are only for use at a school within the Wisconsin Technical College System (WTCS) located within the state. The value of the scholarship is up to $2,250 per year, to be applied towards tuition for six semesters.
GRADING SYSTEM
The four-point scale is the universally accepted grading system. It will make plus and minus grades more meaningful to the student, and will allow for a more accurate translation of letter grades to numerical grade point averages.
The following will be used in the School District of Black Hawk Grades 6-12 inclusive:
Weighted Grades Policy
The purpose of weighted grades is to encourage students to enroll in our most rigorous academic courses in order to maximize preparation for their post-secondary education.
Weighted Grade Qualification:
In order to receive the additional weighted points, a student must complete the course with a semester grade of a D- or higher.
I. Definitions:
*AP Courses – Advanced Placement (AP) courses approved through the College Board.
* Dual Credit Courses – Courses offered for credit by an accredited post-secondary institution through an adjunct agreement with Black Hawk High School.
* Honors or Advanced Courses – Courses that have been designated as an advanced course of study due to specific prerequisite course tracks.
II. Formula - The weight from a weighted course will be added to the GPA prior to averaging of the GPA at the conclusion of each semester. We will continue to use a 4.0 GPA scale.
III. Classification of Courses
Tier 1 (no weight) : All courses not specified in Tier 2 or Tier 3.
Tier 2 (0.5 weight per semester)
Courses denoted as Advanced or Honors (H)
2-year Institution Dual Credit Courses – all departments Current Tier 2 Qualified Courses: Advanced Math – Calculus Tier 3 (1.0 weight per semester) AP English - CAPP 4-year Institution Dual Credit Courses or 2 year Institution transfer guarantee Current Tier 3 Qualified Courses: JAMB Courses: English 101 – English 104 – Physics – Pre Calculus – Statistics – Calculus Southwest Technical College 20/2020 coursework in Gear Up , Lab Science, or Nursing. Online or SRTNCY AP coursework ACADEMIC AWARDS All students who are named to the first and second semester honor rolls will be rewarded with the following recognition, using semester grades. Academic Awards cont. (1 year = 2 semesters average)
```
Each semester - a silver medal of achievement for 3.0 - 3.666 Each semester – a gold medal of achievement for 3.667 – 3.999 Each semester – a gold medal of achievement for 4.0 2 years of 3.5 or better - Academic letter for a jacket. 3 years of 3.5 or better - Silver Bar for the letter. 4 years of 3.5 or better - a) Gold Bar for the letter. b) Medal 4 years of 3.9 or better - a) Gold Bar for the letter. b) Medal or a Pin
```
The second and third years need not be in order to obtain the above stated recognition, but must be for a full school year (not semester 2 of 1 year and semester 1 of the following year.) Note: One semester of 3.0 - 3.499 does not lead to achieving a letter.
ACADEMIC SCHOLARSHIPS
Academic scholarships are presented annually to high school seniors who have achieved excellence in studies and co-curricular activities or in overcoming a handicap. These awards are generally given to provide opportunities for further education.
Students should be aware of the possibilities and should strive within their individual capabilities to achieve at the highest possible levels. It's the student's responsibility to see the guidance counselor for applications and more information.
SEMESTER EXAMS
* All courses offered in grades 9-12 will have a semester exam. All students are to take final exams. The exam shall reflect the content of the course being taught.
* The exams will be given during the last week of each semester. Students must remain in the exam room until the end of the exam period.
* Semester exams will account for 15% of the semester grade.
* Teachers shall keep student exams for at least two weeks following the issuance of report cards. A copy of all semester exams and answer keys (where possible) shall be maintained in the high school office for at least two weeks following the issuance of report cards.
SECOND SEMESTER EXAM WAIVER
(Reward for academic performance, and behavior)
Students in grades 9-12 may be waived from taking final exams if the
following criteria apply:
* Less than 2 tardies after you have received a written reprimand from the principal.
* No more than two detentions 2nd semester that are assigned by the principal.
* No suspensions (in or out of school suspensions). 2nd semester.
* A minimum grade point average of a C (2.0) in all coursework during the second semester.
TEACHERS RESERVE THE RIGHT TO REQUIRE STUDENTS TO TAKE THE SEMESTER EXAM IN THEIR CLASS AND WILL PROVIDE THE DETAILS WITHIN THE COURSE SYLLABUS.
STIPULATIONS MAY INCLUDE:
* HOMEWORK ASSIGNMENTS NOT COMPLETED
* FAILURE TO COMPLY WITH CLASS EXPECTATIONS
* POOR CITIZENSHIP PERFORMANCE.
Students who are failing a class at the end of term are required to take final exams in the courses that they are failing, regardless of retention of exam waiver.
ADVISORY PERIOD
All students will be assigned to an advisor and meet with that advisor during an advisory period. The advisory period is designed to:
1. Assist students in exploring career interests and design a career portfolio. Students are prompted to explore job shadow opportunities.
2. implement leadership and character education.
3. allow a venue for teens to discuss key issues affecting their physical and mental health.
4. build camaraderie and develop school spirit.
FAILURE OF A STUDENT TO PARTICIPATE IN ADVISORY, WILL RESULT IN POTENTIAL LOSS OF EXAM WAIVERS, POOR CITIZENSHIP GRADES, LOSS OF EXTRA-CURRICULAR ACTIVITIES.
LIBRARY MEDIA CENTER (LMC)
* The Library Media Center is open from 8:00 A.M. until 3:50 P.M. It is a place to do reference work, recreational reading, and school assignments requiring materials. A quiet atmosphere must be maintained in the Library Media Center. Student conduct must not interfere or infringe upon the rights of others.
* Classroom teachers may send students from their class to the Library Media Center with a pass. Please indicate what the student is expected to do. Students will be expected to stay in the Library Media Center until the end of the hour unless otherwise specified on the pass.
* Students are encouraged to return all materials on time. Students will be charged for lost or damaged materials. Students with overdue materials will not be allowed to sign in to the Library Media Center or check out Library Media Center materials.
The Black Hawk School District (BHSD) Student Acceptable Use Policy
The Internet is a global telecommunications network that is a wealth of data, resources, materials, information, projects, and people. It is an excellent educational tool and will be used on a research basis within the Black Hawk School District.
Acceptable Use
Responsible students:
* may use the computer to research assigned classroom projects.
* may use the computer to send district approved (not personal or private) electronic mail (email) to other users for adopted curricular purposes.
* may submit personal information (name, address, telephone number, etc.) online to access district approved online resources.
* high school students may submit personal information (name, address, telephone number, etc.) online to post-secondary educational institutions (i.e., online colleges, universities, technical colleges, etc.) for the purpose of accessing career and post secondary information and applying for admission.
* will respect and uphold copyright laws and all other applicable local, state and federal laws or regulations.
* will respect the rights and privacy of others by not accessing private files.
* will follow all regulations posted in the computer lab or other room where computers are in use.
* will follow the directions of the adult in charge of the computer lab or other room where computers are in use.
C. Unacceptable Uses
Unacceptable Use
Responsible students shall not:
* connect anybody's personal electronic device to the District's network jacks or wireless access points or assist others in doing the same.
* use the system to illegally transfer software otherwise known as pirating or illegally share copyrighted movies, music and games over Internet "peer to peer" networks or removable storage devices.
* use the computer to send broadcast messages, visit chat rooms, instant messaging, or send or receive hot mail, i.e., use the District's computer connections to establish personal electronic mail (email) accounts or access home email accounts.
* change any computer files that do not belong to the user.
* use the system for commercial buying, selling, trading use.
* use an account other than their own or misrepresent their identity.
* use district Internet capabilities or personal devices to access pornographic material, sexually explicit and/or vulgar images,videos or images of violent acts.
* use district Internet capabilities to access social media websites and file sharing websites.
* create and/or distribute a computer virus.
* use the system to download, transform or install software or files onto the hard drive(s) or network.
* reveal the name, personal addresses or phone numbers of students or staff without parental and district permission.
* deliberately use the computer in such a way that they would disrupt the use of the network by other users.
* deliberately or willfully cause damage to computer equipment or assist others in doing the same.
* deliberately use the district's computers to bypass the filtering software or violate the school's code of conduct or District's educational goals or show others how to do the same.
Consequences
First Offense:The student will be suspended from computer use for two weeks and could receive a school suspension.
Second Offense:The student will be suspended from computer use for one semester and could receive a school suspension.
Third Offense:The student will be suspended from computer use for one year and could receive a school suspension.
Any offense of a very serious nature may result in a longer suspension and could result in a referral for expulsion and/or referral to law enforcement agencies.
D. Your Rights
1. Free Speech
* Your right to free speech, as set forth in the Discipline Code, applies also to your communication on the Internet. The BHSD is considered a limited forum, similar to the school newspaper, and therefore the District may restrict your speech for valid educational reasons. The District will not restrict your speech on the basis of a disagreement with the opinions
you are expressing.
2. Search and Seizure
* You should expect only limited privacy in the contents of your personal files on the District system. The situation is similar to the rights you have in the privacy of your locker.
* Routine maintenance and monitoring of BHSD may lead to discovery that you have violated this Policy, the Discipline Policy, or the law.
* An individual search will be conducted if there is reasonable suspicion that you have violated this Policy, the Discipline Policy, or the law. The investigation will be reasonable and related to the suspected violation.
* Your parents have the right at any time to request to see the contents of your email or shared drive files.
* Black Hawk officials have the right by law to seize your electronic devices for violating appropriate use. Black Hawk officials have the right to search the contents of your device, if it has reasonable suspicion that the device has been used in violation of school policies or laws.
3. Due Process
* The District will cooperate fully with local, state, or federal officials in any investigation related to any illegal activities conducted through BHSD.
* In the event there is a claim that you have violated this Policy or Discipline Policy in your use of BHSD, you will be provided with a written notice of the suspected violation and an opportunity to present an explanation before the principal or his/her designee or you will be provided with notice and opportunity to be heard in the manner set forth in the Discipline Policy.
* If the violation also involves a violation of other provisions of the Discipline Policy, it will be handled in a manner described in the Discipline Policy. Additional restrictions may be placed on your use of your Internet account.
E. Limitation of Liability
The Black Hawk School District makes no guarantee that the functions or the services provided by or through BHSD will be error free or without defect. The Black School District will not be responsible for any damage you may suffer, including but not limited to loss of data or interruptions of services. The Black School District is not responsible for the accuracy or quality of the information obtained through or stored on the system. The Black Hawk School District will not be responsible for financial obligations arising through the unauthorized use of the system.
F. Personal Responsibility
Whenever you do something on a network you leave little "electronic footprint," so the odds of getting caught are really about the same as they are in the real world.
1. You will be held fiscally responsible for damage done to BH technology and equipment.
2. You will be held fiscally responsible for wasteful use of BH equipment and printing supplies.
ACCIDENT AND ILLNESS
Please be sure that any injuries occurring in class or other supervised locations are reported to the teacher in charge and to the administration. An accident report form must be filed. Notice of injury is mandatory. Limited first aid is available and in emergencies the EMT's will be called.
Any ill or injured student should report to the office where a nurse or other personnel can assist him/her and if necessary contact parents. Do not leave without contacting the office and do not miss class due to illness or injury without reporting to the office.
The nurse will be in her office at posted times. At other times a secretary will be available to assist students. No medication may be given to students by staff with the exception of medications registered with the school nurse in the office.
Parents are asked to please notify the school office of any infectious or communicable disease that their student has or that causes them to seek treatment for their student.
By notifying the school, action can be taken to prevent further spread of the infectious or communicable diseases in the school and reduce the chance of a student reconstructing the disease when he/she returns to school.
NO MEDICATION (INCL. OVER COUNTER) SHALL BE STORED IN STUDENT LOCKERS OR ON THEIR PERSON. ALL MEDICATION NEEDS TO BE STORED IN THE NURSE'S STATION. PRESCRIPTION MEDICATION NEEDS TO HAVE THE CONSENT FORM FROM THE PRESCRIBING PHYSICIAN. OVER THE COUNTER ITEMS NEED TO HAVE A WRITTEN NOTE BY THE GUARDIAN.
ALL MEDICATIONS MUST BE IN ORIGINAL PACKAGING.
FIELD TRIPS
* The staff recognizes the educational benefit of timely and well organized field trips. Participation requires that the student miss other classes on the day of the field trip.
* The teacher directing the field trip reserves the right to deny participation to any student based on excessive absences, truancies, or conduct. A staff member may request that a specific student not participate in a field trip..
CLOSED CAMPUS
Black Hawk High School has a closed campus during school hours. Students are expected to remain on campus and in required areas at all times during the school day.
Seniors who have been granted a Warrior Pass, may leave the school grounds during lunchtime and will follow the stipulations of the Warrior Pass agreement.
All vehicles that are driven to school MUST be parked in the student parking area in a parking stall on the school campus.
Non Compliance will result in Suspension for up to three day
Students are expected to be only be in supervised areas when on school grounds during the school day. Failure to remain in the required areas may result in detention and/or suspension being assigned.
Students are not allowed in the parking lot (except to and from Agriculture building) or around vehicles at any time during the school day.
RECREATIONAL VEHICLES/EQUIPMENT POLICY
The Black Hawk School District will abide by the Village of South Wayne and Village of Gratiot's ordinances in regard to the use and possession of skateboards, roller blades, and any other recreational vehicles/equipment deemed inappropriate on school property.
Any disciplinary measures taken will be in accordance with said village ordinance; and further disciplinary action may be taken by the school which could include confiscation of equipment, if there is possession of equipment on school property; parent conference; detention; suspension; referral to police for arrest; or expulsion.
PHYSICAL EDUCATION EXCUSES
Students whose participation in physical education class is limited due to an illness or injury must obtain a note from the doctor stating the extent and the duration of the participation excuse. The doctor's note must be turned in to the office. The office will make a copy of the excuse which should be given to the physical education teacher. Failure to follow this procedure will result in an unexcused absence.
ASSEMBLIES
Assemblies and pep rallies are planned and presented for the cultural growth, academic interest, and entertainment of the student body. Assemblies are extensive of the school day and all students and faculty are expected to attend.
BULLETIN BOARDS
Bulletin boards will be used for information pertaining to school affairs or other subjects designated by a principal. Material posted in the building should have a principal's approval.
FIRE AND DISASTER DRILLS
Each staff member has a specific set of instructions to follow in the event of a fire or disaster. Fire and disaster drill regulations are posted in each classroom. Be sure you have read the directions carefully. It is important that students know the directions and respond calmly and rapidly to the fire or disaster alarm. Students who are the first to leave any exit should hold open the doors until everyone is out. Students should continue walking away from the building until everyone has exited and is at least fifty yards from the building.
SEVERE WEATHER EMERGENCIES
If it becomes necessary to alter school hours due to a weather emergency, this information will be broadcast over WEKZ, WDMP, and Madison TV stations.
GUIDANCE COUNSELOR
The stress and strain of adolescence, the complexity of modern life, and the unsettled nature of world conditions give rise to a host of problems which may weigh heavily on growing teenagers.
Black Hawk High School has a counselor who tries to help the student (1) understand himself/herself, (2) make the most of his/her abilities, and other personal qualities, (3) to learn to make satisfactory adjustments to the different situations that arise in everyday living (4) develop the ability to make his/her own decisions wisely and solve his/her problems independently, and (5) make his/her own contributions to society to the fullest extent possible.
It is important that students realize that this opportunity to talk things
over may help them adjust to and plan their future wisely.
The various phases of students' high school careers that we will discuss with them during their years at Black Hawk include: individual studies (classes, grades, tests, and activities), educational plans (next year's program, possibility of training or college after high school), occupation plans (fields of work or interests), and counseling (help in personal, education, and vocational problem areas).
PROCEDURAL REF: GUIDANCE AND COUNSELING
1. Guidance and counseling services will be provided for all students (K-12). Guidance and counseling activities in grades K-12 shall be performed by a Department of Public Instruction certified guidance and counseling person.
2. Counseling activities in grades K-6 will be a cooperative effort by the guidance counselor, the school psychologist and the classroom teacher.
3. The philosophy of guidance and counseling will be to help all pupils develop more adequate and realistic concepts of themselves and help the pupils become aware of educational and vocational opportunities. Guidance and counseling staff will also work with pupils, staff, parents and administration in seeking to improve the learning climate of the school.
4. The program of guidance and counseling will include providing vocational, education, personal-social information, pupil appraisal, placement, referral, research and follow-up activities.
5. The counselor will be provided with quarters conducive to conferences to a confidential nature. The quarters will be located in an area readily accessible by students, and adequate provisions will be made for the storage and display of all records and materials used by the counselor in carrying out the guidance and counseling program.
6. Equipment and supplies necessary for appropriate guidance and counseling services will be requisitioned and purchased by the district.
7. Guidance personnel will comply with all State and Federal "Student Records Laws".
8. Guidance personnel will participate, as appropriate, on special education (Chapter 89) Multi-Disciplinary Team screening to insure the best possible staffing and will serve the related 3-5 and 18-21 year old handicapped age group.
LOST AND FOUND
The school maintains a lost and found department. See the office.
SCHOOL TELEPHONES
Students may not use the school telephone in main office until after the end of the school day unless the student is ill, injured, or there is an emergency. Prior approval by an office staff or faculty member is necessary.
TRANSPORTATION
Transportation to any school-sponsored event in which the student is participating must be in a school-approved vehicle. Normally, transportation will be by school bus. Parent contact and a note are required for a student to leave with his/her parent. If the child is desired to ride home with non-family adults, a note AND a phone message must be left in the ms/hs office.
VISITORS
The school policy is to accept only those visitors who have legitimate school business to conduct, such as classroom presenters. Parents are always welcome. Students are not allowed to bring visitors to school.
CO-CURRICULAR INFORMATION
Student life in high school is enhanced by getting involved in co-curricular activities. The more a student is involved, the better he/she feels about himself, school, and community. We want students to participate. They should commit themselves to getting involved in at least one activity during the school year. These activities are organized and sponsored for the enjoyment and participation of the entire student body. They are school-sponsored activities. As such, all school rules are in effect and will be enforced.
ATHLETIC POLICIES
Student Attendance on Game Day: Students shall be in attendance at school ALL day on the day of a contest/competition, and at least four hours on the day of a practice. Weekend competitions require attendance guidelines on Friday.
Students may attend a scheduled medical/dental appointment, but advanced notice need be given to the high school office, and a doctor's note presented upon return. Students are required to return to school in a reasonable time frame after the appointment.
Prior approval before the date of absence, and presence of doctor's note must be presented on a game day.
ACTIVITIES CODE
A code of conduct has been adopted by the Black Hawk Board of Education. A copy of the Activities Code will be given to each athlete at the beginning of the sports season. It is the student's responsibility to meet the expectations of the code. The school will enforce the requirements of the Activities Code twelve months of the year. Copies are available for review in the office.
ATHLETIC TEAMS AND EVENTS
Black Hawk is proud of its athletic program and looks forward to the continued growth of its athletic traditions. Athletic events are an important part of high school life, and students are encouraged to participate both as an athlete and as a fan. Students can help ensure everyone's enjoyment of the game by showing courtesy to all around them. All school rules are in effect for those attending athletic events and all other school activities.
INTERSCHOLASTIC ATHLETICS
Fall
Volleyball, Football, Cheerleading
Winter
Women – Basketball, Wrestling
Men – Basketball, Wrestling
Spring
Women - Softball, Track and Field Men - Baseball, Track and Field
Interscholastic Athletic Eligibility
Any student may practice for or participate in interscholastic athletics after placing on file within the school written evidence
attesting to:
A. Parental permission each school year
B. Current physical fitness as determined by a licensed physician not less than every other school year.
C. The acceptance of and understanding of the school's code of conduct on a year round (12 month) basis.
D. Evidence of health/injury insurance.
E. Documented evidence of concussion awareness.
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HERITAGE Vancouver N e w s l e t t e r
YOU'RE A WINNER!
Hillary Haggan and Edie Thompson
A very busy Heritage Vancouver booth.
by Karen Russell
If you visited our booth at the Heritage and Antiques Fair, there's a good chance you were a winner! But if you missed this Fair, not only did you miss a fabulous array of demonstrations, antiques, and exhibits, but you also missed the fun times happening at the Heritage Vancouver booth!
The Fair provided a great venue to launch our new Heritage Vancouver T-shirts designed by John Atkin. The T-shirts have all the style and none of the painful fashion accessories that accompanied the ensembles in Saturday's vintage fashion show. Our spiffy new banner and Heritage Vancouver balloons for the kids were a big hit too.
Inside the booth, an impressive display of photos of Vancouver heritage landmarks was created by Hugh McLean for visitors to test their knowledge on the Name that Building game. Correct entries were eligible for a draw prize and winners were announced to the crowd between the demonstrations taking place on the main stage.
In asking the volunteers what they remembered most about participating at the Heritage Vancouver booth, it was unanimous: a whole lot of fun! For more coverage of the Fair, check out the Heritage Vancouver Foundation's website: www.VancouverHeritageFoundation.org. The Foundation did a remarkable job and we were proud to be a part of the event, which involved over 60 exhibitors. Thanks so much to our volunteers and the Heritage Fair Committee for all their hard work. See you next year!
Heritage Vancouver adopted a new approach to the Fair this year. In a word: interactive. We were hard to miss, with our excellent corner location and our army of enthusiastic volunteers. Passersby were enticed by Art Perret, a born showman, to spin the wheel for a toonie. Almost everyone came away with a prize of some sort – well almost every one. An E for Effort but an L for Loser goes to Don Luxton who gave generously to the cause.
Karen Russell is a Heritage Vancouver Board member (Treasurer) and was a member of the Heritage Fair Committee. She is also a planner at the City of North Vancouver.
Thank you to volunteers: Megan Balmer, Shiela Butt, Toni Dabbs, Marlene Glover, Hillary Haggan, Janet Hansen, Imbi Harding, Wiltrud Martin, Lynne Probyn, Edie Thompson, Peter Vaisbord. Heritage Fair Committee Members: Janet Leduc, Don Luxton, Hugh McLean, Art Perret and Karen Russell.
Also, a big thank you to our sponsors: BC Lions Football, Donald Luxton, Incendio Restaurant, Justice Institute of BC, Michael Kluckner, Raintree Restaurant, Ramano's Macaroni Grill, Vancouver Grizzlies, The Vancouver Aquarium, The Vancouver Museum.
HERITAGE
PRESENTS
Vancouver
The Art of Dying: Behind the Scenes at Mountain View Cemetery Lecture, Wednesday, April 18th, 7:30pm, Vancouver Museum
Once threatened with closure, Mountain View has a new lease on life. Find out what's in store for this great burial ground and get a peek at the modern world of cemeteries. We'll also explore the history and heritage of Mountain View and check out a who's who of its more prominent residents.
Mountain View Cemetery Tour Saturday, April 28th, 1:30pm, Meet at the southwest entrance, 33rd & Fraser
Lorraine Irving from the BC Genealogy Society will lead us through the old section of the cemetery. Hear stories of Vancouver's early pioneers, from Vancouver's first mayor to its first female newspaper editor. Murders, mystery and monuments galore! Space is limited to 20. Call Heritage Vancouver to register 254-9411 $5 for members $10 for non-members
New! Look Back Without Anger:
Heritage Advocacy in Vancouver Our new series of talks will revisit some of the major preservation issues which led to the creation of Heritage Vancouver. Join us as architects, developers, and others involved in projects of the time celebrate the victories and mourn the losses.
First in the series: Where did All That Time Go? Wednesday, May 16th, 7:30 pm, Vancouver Museum
A lighthearted look at the past ten years from the perspective of those who were in the thick of it.
Vancouver Modern
Len Norris's Tiddleycove Modern
by Robert Moffatt
Len Norris house 1220 Queens Avenue, West Vancouver Duncan McNab 1952
Duncan McNab was one of Vancouver's best-known Modernist architects in the heyday of the 1950s, and the house he designed for the legendary Vancouver Sun editorial cartoonist Len Norris and his family is typical of his residential work. Norris's commission of a fairly radical house is perhaps not surprising; his cartoons regularly depicted whimsically exaggerated Modernist houses perilously jutting from near-vertical West Vancouver mountainsides.
For the Norris house, McNab chose post and beam construction capped with a low, asymmetrical front-gable roof and anchored by a large cross-axis chimney. Largely blank walls face the street for privacy, while clerestory windows tucked under the roof overhang provide additional illumination and cross-ventilation. The vertical mahogany siding retains its rich red-brown colour, having escaped the blue-gray or bubblegum-pink paint applied to many Modernist houses in recent years.
Interiors are on three levels, with the master bedroom section a few steps below the main living level for spatial variety and to allow the sloping roof. McNab capitalized on a spectacular view of Burrard Inlet and Vancouver by massing the main living spaces along the rear of the house. Floor-to-ceiling windows opened onto a cantilevered sundeck, later enlarged. Exposed fir ceiling beams, cedar and mahogany wall panelling and classic Danish modern furniture created a warm, cozy atmosphere inside. The lower level contains two children's bedrooms and the obligatory recreation room opening to the ground level.
A graduate of the McGill architecture school, McNab worked at Sharp and Thompson, Berwick Pratt from 1945 to 1948 before forming his own firm in 1952. He completed many houses, principally in West Vancouver and at UBC, and several schools on the North Shore. Other institutional work included the theatre, gymnasium and pool at SFU and a district office on Knight Street for the Vancouver Health Department.
firstname.lastname@example.org
Can Woodward's Save West Hastings?
Who doesn't remember Woodward's? $1.49 day Tuesday! The bargain basement, the Christmas display windows, the famous food floor, the donut machine, store brand peanut butter, the 16 foot-tall revolving W-these are just a few of the memories Woodward's evokes. From 1904, when Charles Woodward moved his department store to the corner of Hastings and Abbott Streets, until its closure in 1993, Woodward's was an integral part of our city and many of our lives. So it was no surprise that the public sat up and took notice when the BC Housing Commission announced its plans for the redevelopment of the building.
for renovations. These buildings are a rich mixture of the architecture and style of the late 1800s and early 1900s but they just don't have the widespread nostalgic value of Woodward's.
The problem is that Woodward's is only one building in the Downtown Eastside, an area that is in serious trouble. Who remembers the Flack Block? Built in 1899 with money from the Klondike gold rush, the most expensive building of its size at the time, it is one of many buildings along Hastings Street suffering from neglect and decay. What about the Ormindale Block? Unfortunately, the architect's original work has been marred by a false front and the loss of a second-storey bay window. Evidence of his style, considered eccentric at the time, can still be seen in the unusual arrangement of arch-and-spandrel windows above small rectangular ones. Perhaps the Ralph Block rings a bell? It was once home to the White Lunch Café—a very popular eatery until its closure in the 1970s. The Province Building was home to Canada's first electronically printed newspaper. Structurally, it has fared a little better than some of the others and has recently received a couple of heritage awards
Hastings Street started as a swamp, 8 feet deep in mud, skunk cabbage, and bullfrogs. The arrival of Woodward's sparked the creation of a vibrant and bustling commercial district. Woodward's is C-listed on the City's Heritage Register, while many other buildings that remain from that era are A and B-listed. The question now is can the nostalgic value of Woodward's be used to save these buildings and transform the new swamp, known as Skid Row, once again.
Credits:
Photographs from Exploring Vancouver, 1974 Edition, UBC Press Woodward's illustration Robin Ward's Vancouver, Harbour Publishing
Province Building
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The U.S.-India Nuclear Deal: Violating Norms, Terminating Futures
Andrew Lichterman and M.V. Ramana*
In September 2008, the U.S. brought a proposal to lift the ban on nuclear trade with India to the Nuclear Suppliers Group (NSG), which sets widely observed export controls on nuclear technology. The NSG‟s agreement to lift the ban constituted yet another blow to an already beleaguered Nuclear Nonproliferation Treaty and global nonproliferation regime. The implications of the deal for the non proliferation regime were misrepresented by many, including by Mohamed ElBaradei, Nobel Peace Prize winner and the Director General of the International Atomic Energy Agency (IAEA), who termed it "a milestone, timely for ongoing efforts to consolidate the non-proliferation regime."
Such an assessment is in complete contradiction to the fact that the exemption granted by the NSG will actually allow India to expand its nuclear arsenal, permitting it to buy fuel for nuclear power reactors on the international market while using scarce domestic uranium in nuclear weapons production. 1 It will further aggravate tensions with Pakistan, which has signaled that it would respond in kind to a more ambitious Indian nuclear weapons program. Thus, the deal could further fuel an arms race between nuclear-armed neighbors that have fought multiple wars.
Advocates of the deal see an increase in India‟s nuclear capabilities as positive. To quote Ashley Tellis of the Carnegie Endowment: "If the United States is serious about advancing its geopolitical objectives in Asia, it would almost by definition help New Delhi develop strategic capabilities such that India's nuclear weaponry and associated delivery systems could deter against the growing and utterly more capable nuclear forces Beijing is likely to possess by 2025. 2 " Such thinking only serves to legitimize the ultimate weapons of mass destruction and encourage the United States to ignore its nuclear disarmament obligations under the Nuclear Non Proliferation Treaty and India to continue its nuclear weapons build-up.
Violations
Like many other assaults on the non-proliferation order, the US-India deal is a violation of both procedure and substance. The basic bargain underlying the NPT is that non-weapon states would get access to nuclear technology in exchange for giving up the possibility of developing nuclear weapons. Implicit in this bargain is that this access would be conditioned on not acquiring nuclear weapons. The nuclear deal is a clear violation of this implicit understanding. Procedurally, if such a deal were to be agreed to at all, it should have been voted on by all the 189 states that are party to the treaty rather than just by a minority of countries, i.e. members of the NSG. By its very constitution, the NSG, consisting mostly of countries that engage in and profit from nuclear commerce, is a biased body, not suited to decide on the future of nonproliferation norms.
1 Zia Mian, A.H. Nayyar, R. Rajaraman and M.V. Ramana, "Fissile Materials in South Asia: The Implications of the U.S.-India Nuclear Deal," International Panel on Fissile Materials Research Report #1, September 2006.
2 Ashley Tellis, "India as a New Global Power: An Action Agenda for the United States," Carnegie Endownment for International Peace, Washington, D. C., 2005.
The attack on the non proliferation regime was led by some of the usual suspects. The prime instigator, as the nuclear supplier party to the deal, was the United States. France, U.K. and Russia joined the fray in the hope of selling billions of dollars worth of nuclear reactors and other accessories. The many NSG states that did oppose the deal were stifled by the United States, which engaged in what Jayantha Dhanapala, former United Nations Under Secretary General for Disarmament Affairs, described as a campaign of "brutal and unconscionable pressure. 3 " There is a sour irony in the NSG making such an exception for India, since the trade cartel was formed largely in response to India exploding a nuclear device in 1974.
In domestic circles too the deal was the outcome of procedures that were only superficially democratic. It was widely alleged that the ruling Congress party in India resorted to bribes to members of the Parliament in exchange for supporting it on the deal. The Bush Adminstration rammed the deal through Congress under the cover of the financial crisis as time wound down in its fall 2008 session. The Senate vote on the deal was overshadowed by the debate on massive bank bailouts that were pending the same day.
The deal also was the last nail on the coffin of the UN Security Council Resolution 1172, passed in response to the 1998 nuclear tests by India and Pakistan. The Resolution outlined a series of demands on both countries, including, calling on them to stop the further development of nuclear weapons, not to deploy their nuclear weapons, to stop developing ballistic missiles, and to stop producing fissile materials for nuclear weapons. The two countries have not complied with any of these demands.
The Larger Picture
Originally announced in July 2005 by President George Bush and Indian Prime Minister Manmohan Singh, the nuclear deal is part of a broader set of agreements centering on increased U.S.-India military cooperation and high-tech trade. U.S. military planners envision India as a possible forward base for operations from South Asia to the Middle East, and perhaps as a junior partner in those operations as well. Arms makers see huge potential profit from increased arms sales, with India being one of the world‟s largest importers of high-tech weapons. U.S.-based multinationals are gearing up for expansion into India, hoping to use the enhanced "security" partnership as a wedge to further open India to foreign investment and sales, not only in nuclear technology and services but in everything from banking to food and agriculture to big box retail stores.
The ambitions of elites in the two countries to strengthen an array of military and economic ties is reflected in the set of initiatives announced by U.S. President Bush And India‟s Prime Minister Singh in July 2005 together with the agreement in principle on nuclear trade and cooperation. 4 Important among these is the establishment of a "CEO Forum" to "harness private sector energy and ideas to deepen the bilateral economic relationship," an agreement for closer cooperation in
3 http://www.ippnw-europe.org/?expand=359&cHash=317853fe50
4 Just a few weeks earlier, the two countries had agreed to a "New Framework for the U.S.--India Defense Relationship. The "New Framework" called for increased military cooperation across a wide range of activities, from joint exercises and intelligence exchanges to increased weapons trade to collaboration in missile defense development. See http://www.indianembassy.org/press_release/2005/June/31.htm
space technology and commercial space activities and a "Knowledge Initiative on Agriculture." The operations of the latter are dominated by a number of agro-businesses and other corporate giants. 5
A significant item on the CEO Forum‟s agenda is to greatly expand the degree to which foreign banking and financial services companies can do business in India. 6 This position was duly echoed by the U.S. government, with a Treasury Department fact sheet stating that the development of the financial sector and trade in financial services will play a key role in promoting private-sector led growth and economic stability in India. Opening the financial sector to foreign participation would make additional long-term financing available for infrastructure development. The development of a greater array of insurance and savings products (including for retirement) would provide for greater income security and reduce the need for high precautionary savings. 7
In light of the spiraling collapse of the U.S. financial sector, the notion that opening India to its particular brand of radically deregulated, short-term profit-driven "financial services" will promote "economic stability" is highly suspect. 8 The assertion that it would serve the interests of any but a wealthy minority in either country is even less believable.
Nonetheless, both the U.S. and Indian governments seem determined to continue along the same path. The joint statement issued during Secretary of State Hillary Clinton‟s July 2009 visit hailed upcoming negotiations on a Bilateral Investment Treaty, and called for a "newly configured CEO Forum" to "harness the ingenuity and entrepreneurship of the private sectors of both countries." 9 The priority that Clinton placed on strengthening connections between U.S. and Indian economic elites can be deduced from the fact that "a power breakfast with bankers
5 The U.S. private sector members of the Agricultural Knowledge Initiative governing board represent Archer Daniels Midland, Monsanto, and Walmart. See http://www.fas.usda.gov/icd/india_knowl_init/board.asp India provides a complementary set of business representatives: ITC, Venkateshwara Hatcheries, and Firoze Masani (a leading cut flower exporter).
6 "US – India Strategic Economic Partnership," US India CEO Forum March 2006, http://www.usindiaceoforum.com/pdf/USIndia.pdf pp.20-22
7 Fact Sheet Department of Treasury Washington, DC March 2, 2006 U.S.-India Economic Dialogue: U.S. - India Financial and Economic Forum http://www.state.gov/p/sca/rls/fs/2006/62494.htm
8 The meltdown in the U.S. financial markets should raise the question of whether a global development path driven by private finance capital is sustainable even for the general run of capitalists. As Willem Buiter, former chief economist of the European Bank for Reconstruction and Development, put it,
"The argument that financial intermediation cannot be entrusted to the private sector can now be extended to include the new, transactions-oriented, capital-markets-based forms of financial capitalism. The risk of a sudden vanishing of both market liquidity for systemically important classes of financial assets and funding liquidity for systemically important firms may well be too serious to allow private enterprises to play. No doubt the socialisation of most financial intermediation would be costly as regards dynamism and innovation, but if the risk of instability is too great and the cost of instability too high, then that may be a cost worth paying." Willem Buiter, "The end of American capitalism (as we knew it)," Open Democracy, September 17, 2008
9 "U.S. India Joint Statement," U.S. Department of State Bureau of Public Affairs, July 20, 2009.
and billionaires" was the first stop on the first visit to India by a high-ranking Obama administration official, even before she met with her official counterparts. 10
Likely Result
The socioeconomic impact of these proposed new arrangements–how they will affect the mass of the populations in India, the United States, and world-wide – has remained almost entirely outside the ambit of discussion of the "nuclear deal. This might not be greatly surprising in the United States, where the debate was primarily over weighing the strategic and non-proliferations benefits and costs. In India, the deal was viewed by the elite, the circle within which much of the domestic debate within India was conducted, as another marker of India‟s emergence as a great power. For these elites, the impact of the emerging U.S.-India relationship on the larger population is of little interest. As political commentators and peace activists, Praful Bidwai and Achin Vanaik point out, in the last couple of decades, the "upper-crust of society, have set their face against the rest, especially the poor. Culturally, economically, and politically, they are closer to Northern elites and their own kin in North America and Europe. Strongly influenced by socialDarwinist ideas, they see the poor as a drag on „their‟ India". 11
The effect of the U.S.--India deal– or deals– will be to bind India to a development path favorable to particular elements in the U.S. political and economic elite, and to their Indian counterparts. In this future, India‟s development will center on production of goods and services that serve global supply chains controlled by multi-national corporations. In addition to consumer goods and export crops that are mass commodities available to many in a few wealthy countries, but are luxury items available only to a fraction of the world‟s population as a whole, there will be further expansion of "service industries" such as back-office corporate operations ranging from call centers to billing and information technology support. Also part of this global circuit of trade and investment are armaments and the capital goods, and engineering and construction services necessary to build new infrastructure to sustain components of these global production chains in "underdeveloped" regions.
This global circuit of trade and investment emphasizes international supply chains for the production of goods and services that only a small minority of the world‟s population can afford. In the United States and a few other wealthy countries, cheap imported consumer goods are available to much of the population, but even in those places the general trend is towards extreme polarization of wealth amidst growing economic insecurity for the majority. Stillpowerful but declining economic centers in the United States and Europe face competition for resources, markets, and investment from new economic power centers in Asia, where the relatively rapid accession to the global capitalist economy of China and India in particular has opened vast new frontiers for both production and sales.
Aggravating these forces tending towards economic uncertainty and potential conflict among major powers are emerging challenges that present all humanity with profound choices in the next few decades. We are approaching the end of the age of cheap fossil fuels and nearing limits
10 Mark Landler, "Seeking Business Allies, Clinton Connects With India‟s Billionaires," The New York Times," (internet edition) Huly 19, 2009.
11 Praful Bidwai and Achin Vanaik, New Nukes: India, Pakistan, and Global Nuclear Disarmament (New York: Interlink Books, 2000), p.136.
to the carrying capacity of the planet. A global economic system that long has depended on an apparently limitless world, and also on a hinterland that is "outside" it both materially and conceptually, also must confront a future where everywhere it turns it soon will find only itself.
The set of U.S.-India agreements of which the nuclear deal was the centerpiece will strengthen the trajectory that the both countries are on today, and will reinforce the kind of global economy that is most favorable to those currently in power. Increased U.S.-India trade and cooperation in high tech weapons, space, and nuclear technology will produce few well-paying jobs for those below the top 20% of either country in income and little that benefits the majority of the population in either country, further increasing wealth disparities and consolidating the power of elites in both states.
The proliferation of global supply chains producing goods and services for the global metropole pushes the majority of the population to the margins as a growing proportion of land and resources are devoted to serving the needs of an ever wealthier few. Development along these lines is encountering resistance from rural populations everywhere that feel its effects in land expropriations, rising inflation, environmental destruction, and disrupted markets for traditional agriculture. This emerging economic order, which systemically generates huge disparities of wealth both within and among nations, is itself a source of conflict. The answer envisioned by the military elites is to throw ever more sophisticated levels of high tech violence at these conflicts. The agreements surrounding the US-India deal will buttress this trend.
The Role of Nuclear Power
Nuclear technology is a prototypic element of this global system and –in the future envisioned by the elites of many countries – is poised to become more important as supplies of fossil fuels are depleted. Producing energy in large, expensive centralized facilities, nuclear power is most useful for serving the emerging production and service centers of the global corporate capitalist metropole, and the consumption needs of the elites who profit from them. It has far less promise, however, for solving the energy needs of the vast majority of India's population, much less so in a way that offers any net environmental gains.
Advocates for the deal argue otherwise. On September 18, 2008, speaking at a hearing convened by the Senate Foreign Relations Committee, William J. Burns, Under Secretary of State for Political Affairs in the Bush Administration, stated, 12 "For the people of rural India, where only 55 percent of households even have access to electricity, the reality of a reliable, uninterrupted source of electricity will improve quality of life for millions, promote economic development, and help to stabilize spiraling food prices".
Nuclear power, as the most expensive form of centralized electricity generation, is an inefficient way to deliver energy to this population living in villages spread out over a vast country side. As distances increase, the losses incurred during the transmission and distribution become higher, eventually making it uneconomical to deliver electricity. Further, as energy analyst Amulya Reddy pointed out, "If the goal (objective to be achieved) for all energy systems is sustainable
12 http://www.carnegieendowment.org/static/npp/reports/burnstestimony20080918.pdf
development, then the goal for rural energy systems is that they must be instruments of sustainable rural development. Rural energy systems, therefore, must advance rural economic growth, that is, they must be economically efficient, need-oriented and equitable, self-reliant and empowering, and environmentally sound". 13 Reddy also emphasized that generating sources be "amenable to local control and enhance it" [i.e., local control and self reliance].
The history of energy planning in India, as elsewhere, also shows that even though large generation projects are often constructed in the name of poverty alleviation and rural development, they are largely focused on meeting the demands of the urban rich. (Note: "Demands" should be differentiated from the normative term "needs.") But even in terms of the urban rich, the reality is that nuclear power in India has been mostly a failure, even more than in other countries. Nuclear plants today generate only three percent of India's electricity and less than one percent of its total energy needs. This is unlikely to grow significantly. 14
Alternative vision
The single most pressing "security" issue of the 21st century will be assuring the essentials of a healthy, dignified life for the billions of people who are left out of a global economy focused on delivering mass consumption items to urban middle classes, luxuries to wealthy elites, and weapons to enforce this inequitable status quo. In the rising global awareness of both looming climate change and limits on oil supplies, there is an opportunity for a different path of both technology development and trade. This path would emphasize environmental sustainability and equity, rather than profits and maximizing consumption. Nuclear energy is neither environmentally sustainable nor socially equitable.
The alternative is to expanding use of decentralized, renewable energy technologies in India also would promote further innovation and bring down prices, encouraging their spread in the U.S. and elsewhere as well. Which exact mix of technologies will and should be determined by a combination of local resource availability, technological adaptability, and democratic principles. This alternative, therefore, is necessarily a vision rather than a rigidly determined path.
Several virtuous, mutually reinforcing cycles can be created in this way: improving energy access; providing employment, and generally broadening the economic potential of areas left out of the current mode of corporate globalization; reducing both greenhouse gas emissions and oil consumption in the United States, and reducing as a consequence the need for access to foreign oil and gas that is a significant factor driving an aggressive U.S. foreign policy world-wide. This kind of approach, furthermore, can more easily be achieved incrementally, with constantly improving decentralized energy technologies being deployed a household, a village, a city at a time, without the kind of massive, one shot capital costs that commit entire regions to a narrow set of technologies and generating facilities for decades at a time.
13 Amulya K N Reddy, "Goals, Strategies and Policies for Rural Energy," Economic and Political Weekly, December 4, 1999.
14 M. V. Ramana and J. Y. Suchitra, "Slow and Stunted: Plutonium Accounting and the Growth of Fast Breeder Reactors," Energy Policy, Forthcoming, doi:10.1016/j.enpol.2009.06.063.
This is what the 21st century could look like. In contrast, building on the U.S. India nuclear deal and expanding nuclear power, both in India as well as other countries, would build another set of institutional ties binding us to the power structures, both technical and political, of the last century, strengthening those who profit from centralized control of energy resources, a society that generates and tolerates great disparities in wealth, and a global weapons trade that further concentrates wealth while raising the risk of catastrophic wars from the local to the global. Nuclear power, nuclear weapons, and arrangements like this deal are all bad risks for ordinary people everywhere, risks that humanity can no longer afford. It is time to chart a different future.
*Andrew Lichterman is a lawyer and policy analyst for the Oakland, California based Western States Legal Foundation. M.V. Ramana is a physicist and Visiting Scholar at the Program in Science, Technology and Environmental Policy and Program on Science, Technology and Global Security, Woodrow Wilson School of Public and International Affairs, Princeton University.
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Chapter One
"Race you to the top."
Theron Wade watched his squad mate and best friend, Sienna Rossi, clap her chalky hands together, sending up a cloud of white dust. They were in the Enclave gym, standing in front of a large climbing wall.
Usually, they'd be out fighting the aliens who'd invaded the Earth a year and a half before. But while their squad was on standby, there'd been no mission that morning, and Sienna had challenged him to some climbing.
She smiled at him. That was Sienna. Always happy and sunny. Even after the invasion and all the destruction and fighting, she was like a ray of sunshine. He still remembered the first day he'd seen her among the panicked and shell-shocked survivors milling around at Blue Mountain Base. She'd been calming crying kids and touching people's shoulders.
Today, she had her curly, dark hair clasped at the back of her neck, and her curvy little body covered in black leggings and a purple tank top.
Theron grunted, slapping some chalk on his own hands. He wasn't supposed to be concerned with what she was wearing, or what was beneath her clothes.
Sienna faced the climbing wall, crouching a little and stretching her neck from side to side. "Loser owes the winner ice cream." Her nose wrinkled. "I know you'll want chocolate ice cream with nothing on it, but when I win, Big T, you'll owe me an ice-cream sundae. With the works. Whipped cream, chocolate syrup, and sprinkles."
Sienna and her damn sprinkles. She was addicted to them. He was listening to her words, but his gaze was drawn to her body again. Her tight workout gear highlighted her curves, and when she bent over to stretch, he had a perfect view of her ass.
He jerked his gaze away. "How do you stay in shape when you're always eating chocolate and ice cream?"
She wiggled her curvy butt and grinned at him, clipping the safety line on the wall onto her belt. "I've got a good metabolism, and I train hard." She reached over and clipped his line on. "Ready?"
He nodded, but before he focused, she shot away, climbing up the wall like a spider.
Theron cursed and followed her. She was the best climber on their squad. Fast, nimble, and fearless.
"La miglior difesa è l'attacco," she called back.
He loved it when she spoke Italian with that lyrical accent. She spouted enough of her mother's and grandmother's sayings that he'd started to pick up a little of the language. "The best defense is a good attack?"
```
"Si!"
```
She was well ahead of him as he scaled the wall. She moved steadily, finding each hold and pulling herself upward.
"You'll have to move faster than that!" She laughed down at him.
The sound speared into him. He glanced up, and again his gaze went straight to the perfect curve of her ass. He imagined peeling that stretchy fabric off her, uncovering smooth, bronze skin. He imagined his big hands palming those curves.
Theron's foot slipped. He muttered a curse and regained his footing. He heard her laugh once more. He continued moving upward, but ahead of him, Sienna crowed with glee as she reached the top.
"I win!" She grinned down at him, her face flushed. Just how she looked in his nighttime fantasies when he'd finished fucking her.
Blowing out a harsh breath, Theron paused beside her.
He didn't remember when he'd started wanting her. Most days it felt like forever.
"Now, I'm going to test out these little babies." She pulled out a pair of black gloves. He saw the palms of them were shiny as she pulled them on.
"What are they?" he asked.
"Experimental climbing gloves. Noah Kim and his team made them for me." She lifted her gloved hands and wiggled her fingers. "I've nicknamed them gecko gloves. They have synthetic adhesion, that mimics how a gecko sticks to a wall." She reached down and unclipped her safety line.
Theron's heart kicked his ribs. "Sienna." Noah and his team of genius geeks were good, but it was still a long fall.
"It's fine." She pressed her palms to the smooth wall between handholds…and stuck there like a gecko. She flashed him another smile and started climbing down.
Yeah, he wanted Sienna. But he couldn't touch her.
There were so many reasons why. She was his squad mate, his best friend, and on top of all that, she was sweet and kind and light, and he…wasn't.
Theron knew himself pretty well. He wasn't a talkative, easygoing man, and he had…darker tastes. Tastes that would leave sweet Sienna horrified. No, he wouldn't be good for her. She needed a nice, regular guy who'd do everything she wanted and make her smile.
"Theron?"
He looked down and realized she'd reached the bottom. She was watching him, her brown eyes narrowed.
He grunted, reached for his belt, and let out his safety line. He zipped down to the ground.
"Are you okay?" She pressed a hand to his arm. "You've been edgy lately."
"It's been quiet." He shrugged a shoulder. "Aliens are laying low since the last confrontation, and it's been too long since I had a good fight."
She nodded, but didn't look convinced. She walked over to their things, stripped off her gloves, grabbed a towel, and mopped her face. "We need to find a way to stop this oura device."
He grabbed his own towel, and blotted the perspiration away. She wasn't wrong. The oura was an alien globe the Gizzida had developed that could control human minds. They'd both seen it used on their friends during the last alien attack. The squads had managed to bring one of the functioning gold globes in, and he knew the geeks in the tech squad were doing their best to figure out how it worked, and find a way to nullify the globe's effects.
"What we need is to find this secret weapon of theirs," he countered.
The oura was a problem, but they had an even bigger one. The squads had very vague intel that the aliens had invented some sort of secret weapon. A weapon capable of wiping out the last surviving pockets of humanity.
There weren't that many humans left. Survivors had huddled together in places like the Enclave, and other military bases around the world. They were fighting to survive, and they were fighting back. Theron had dedicated himself completely to his squad, and to fighting the Gizzida.
His way of making up for fucking up. His muscles locked, darkness rising in his chest. For not saving his family, or his fellow Army Rangers.
"God, I wish we knew what it was," she said.
Her voice snapped him out of his black thoughts. He moved over to a small fridge by the wall and grabbed a couple of bottles of water. He tossed her one.
He needed to focus on his job, but first, he needed to blow off some steam. He decided he'd head back to his quarters and pound his punching bag for an hour or five. Then he'd shower and jerk off. He'd imagine his hand sinking into Sienna's curls and holding her still as he fucked her mouth.
Shit. He wasn't touching Sienna. There was no way he was going to ruin their friendship, or their working relationship.
She was too important to him.
***
Sienna slung her towel around her neck and watched Theron.
Her squad mate was huge, over six-and-a-half feet tall, with broad shoulders and muscular arms. He could bench press her. She knew because they'd tried it once, in front of the rest of their squad, laughing with them.
Theron didn't say a lot and tended to stay in the background. But once you got a good look at his rugged face and steady hazel eyes, he caught your attention. He had this way of looking at you like he was cataloguing everything about you—inside and out. She watched him rub the towel over brown hair that was neither long nor short.
She could imagine him as a big, quiet teen, running herd on his foster brothers and sisters. He'd told her bits and pieces about being adopted at five, and all the other kids his parents had fostered. Sienna knew that steady, solid Theron would have been the perfect protective big brother.
His gaze flicked her way, and she caught a glimpse of the starburst gold in the green before he quickly looked away.
She frowned. Her friend wasn't acting like his usual self. To most people in the Enclave, he probably looked no different than normal. But she sensed a fine tension vibrating in him, the stiff way he held himself. For a big man, Theron was usually pretty graceful.
He tipped his water bottle back and her gaze zoomed in on his throat, watching as the muscles worked. His damp gray T-shirt clung to his perfectly formed muscles.
Sienna felt a curl of heat through her belly. It was official. She was lusting after her best friend.
And she knew he wanted to fuck her brains out.
She let out a shuddering breath and took a cooling sip of her own water. She was still reeling from that revelation. And he didn't know that she knew.
It had happened during the Enclave Christmas party a few days ago. Theron had stormed out of the gathering, and she'd followed his grumpy, antisocial ass back to his quarters, planning to drag him back to the celebration.
Instead, she found herself standing at the door to his room, watching as he pulled a large—a very large and very hard—cock out of his trousers and stroked himself.
She'd been frozen, watching those long pulls, desire flaring in her hard and fast. She'd instantly gone damp between her thighs, and when Theron had come, he'd called out her name.
Sienna blew out a breath. She'd stood there trembling, turned on, and shocked that this was her friend. Shocked that she'd wanted to slide to her knees in front of him and take him inside her mouth, and drink every drop of what he had to offer.
"The aliens will attack soon," Theron said, startling her out of her dirty musings, his voice a deep rumble.
She nodded, trying to refocus on their conversation. "General Holmes and Niko have every drone in the air, searching for any sign of the oura, or clues about this mysterious weapon." She hoped to hell Theron couldn't tell that her voice was huskier than usual.
He gave a single nod. His face reminded her of granite—tough and unshakable. Looking at him now, she couldn't tell that this was the man who'd called her name as he'd orgasmed.
Maybe the night of the party had been an aberration? He'd never said anything, or gave her any indication he was attracted to her. Sienna was used to guys showing interest.
She sighed and set her water down. Usually nice guys. She was pretty and cute, and she'd never had to work hard to get a boyfriend. But the attraction never lasted. The guys she'd been with, especially since the invasion, couldn't seem to make sense of her. Pretty woman and soldier. They just couldn't accept her as both.
It was the story of her life. So she liked nice things and could also handle a carbine. She liked colored sprinkles on her ice cream, and could also kill a man in about thirty different ways.
She'd confused her family, too. Her big, sprawling Italian family had been all about togetherness, babies, and food. Everyone had known everyone else's business. Her mother had wanted Sienna to take over the family restaurant in Rome. Her older sister had three kids and another on the way, and her younger sister had just gotten engaged, when the aliens had attacked.
Intense sadness hit Sienna like a ballistic round. God, her sweet nieces and nephews. Her family. Rome had been heavily bombarded during the early waves of the invasion. As far as Sienna knew, her entire family had perished.
It had taken her a long time to accept the fact that they were all gone, now. The pain was a hard ball in her chest that never quite went away. But her squad had helped. All the members of Squad Nine had become her family. They'd helped fill the gaping hole inside her.
And that included Theron.
She remembered that day he'd staggered into Blue Mountain Base. He'd fought through several raptor patrols just to make it there. He'd been covered in blood, and he'd looked so alone, so broken. She now knew he'd lost his family that horrible day.
Theron was the first person she could just sit with and either talk and talk, or enjoy companionable silence…and it always felt right.
But as she looked up at him—the man she'd depended on and trusted with her life for the last eighteen months—she realized she needed something more from him.
Except for the two of them, the gym was empty, and Sienna decided it was time for her to finally test the waters. She yanked her tank top over her head.
A sharp hiss of breath. "What are you doing?"
She grabbed a towel, blotting at her chest. "I'm hot and sweaty."
He was staring at her. No, he was staring at the sexy black whisper of lace she wore. She cocked her hip. "What do you think of the lingerie?"
"Put your top back on."
She pouted at him. "Don't you like it? It was a mysterious gift from a Secret Santa. You should see the panties." Liking the shocked panic on his face, she hooked her thumb in the waistband of her sports leggings.
A big hand clamped on hers. "Sienna." A warning tone.
She looked up and froze. The gold in his hazel eyes had intensified, and his face was taut and strained. A rush of heat flooded her belly.
"Most guys think I'm into pastel lace—pink, baby-blue, seafoam—but someone thought this suited me better. What do you think?"
He just stared at her.
"Theron?" she murmured.
He inched closer, heat pouring off his big body. She felt the coiled tension in him, like he was about to explode into action. Like he was about to yank her into his chest and finally touch her.
All of a sudden, the gym doors flew open, and Mackenna Carides strode in.
The second-in-command of their squad was even shorter than Sienna, but every inch of her was tightly packed muscle. Mac had no trouble putting any of the male soldiers on their ass during training.
"Roth wants everyone in the squad locker room," Mac said. "Now."
Theron backed away from Sienna. "We have a mission?"
Sienna sighed and grabbed her tank, yanking it back over her head. "Did the drones find something?"
Mac nodded. "Apparently. I don't have all the details yet. Five minutes." The dark-haired woman strode for the door. "I have to drag Cam out of the pool. See you there."
Sienna straightened her tank. Theron had turned away from her, gathering his things, pretending nothing had happened.
She stared at his wide, muscled back. There was something between them, something he was ignoring, and something she couldn't resist.
It was time she decided exactly what she wanted to do about Theron Wade. She just wasn't sure what the hell that was yet.
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Outline of a course in organizations
Luiz Carlos Bresser-Pereira
International Teacher's Program, Graduate School of Business Administration, Harvard University. Cambridge: MA, June, 1961.
This is not a complete outline of a course in organizations. It is just the first draft of the lectures that will be given in this course. The course planned as a 15 week course with three one-hour classes a week. It is a junior course. Cases will be discussed in two of the classes. I did not concern myself with choosing the cases to be discussed because I do not know which cases are already available in my School. I did not have time to complete this outline. The tittles of the lectures for which I was not able to write or type an outline will be found at the end of this syllabus.
I – THE BROAD ISSUES
1. INTRODUCTION TO THE COURSE
Procedural matters
15 weeks course, 3 classes a week:
class 1: lecture (this syllabus)
class 2: case
class 3: case and or discussion of student reports
Objectives of the course
Why to teach this course:
1. To enable you to understand better the social character of the enterprise: how a social structure survives and achieve its ends. So, we hope, you will be able to contribute more effectively to the efficiency and profitability of the enterprise.
2. To make you more aware of the role you and your enterprise have in the economic and social development of the country.
The 1. is an individual goal.
The 2. is a social goal.
This class will not be a class on ethics. It will deal with the description and interpretation of a particular type of social system: the modern organization, and particularly the business enterprise.
But the old theoretical basis of the "laissez faire" is dead.
You have to have a social goal and understanding of the world that surrounds you, besides your own individual goals.
The broad alternatives the world presents today.
The role of Brazil. The challenge she faces. The challenge you face. Why "you"?
The need to be pragmatic. The danger of being pragmatic. The need to believe. But believe in what? The conditions to believe.
Short summary of the contents of the course
A few words about the case method
2. THE INDIVIDUAL (elements of psychology)
Behavior as goal directed: a model of behavior
Needs – Goals – Values – Stimulus – Memories – Behavior – Goal fulfillment – Frustration – Aggression – Regression – Fixation – Anxiety – Neurosis; also: Incentives – Beliefs. – Feelings and Emotions – (a short review)
Model:
Classification of needs
Physical needs
Social needs
The two basic incentives:
Money (as a means)
Love (sex)
3. ORGANIZATION: A MODERN PHENOMENON
The types of social systems through out history:
- The family and the clan; primitive societies
- The slavery system
- The patriarcalism
- The feudalism
- The bureaucracies
- The business enterprise of today
The importance and role of large scale organizations in modern society. The decadency of the family. The distinction between spontaneous and planned (Barnard) organizations.
Rationalism: the trend to rationalization in world's history.
The modern organization as an answer to this trend
Industrialization and development in communications in the basis of the modern organization.
The general idea: control over the natural and social environment.
4. THE CONCEPT OF ORGANIZATION
Definition: Organization is a social system where the division of work is "rationally" undertaken.
The key element in the definition is the word "rationality". What is rational in this context?
We could define rationality as consistency between goals and means to achieve them. But his is not sufficient. Rationality has a historical and cultural connotation. Some fine distinctions. Come back to the class about types of organization throughout history.
A synonym to organization: bureaucracy.
The basic characteristics of bureaucracy (go to Max Weber, Merton and Simon in order to develop this subject).
Impersonality, emphasis on form, formal norms, formal positions, hierarchy, records, specialization.
The bureaucrat: has a career, is a professional administrator, is an employee, is an expert.
The reason for the dominance of bureaucracies in modern times: it is more efficient. But, as we will see later, the rationality of bureaucracies have a limit. Men are only partially controlled. There is a basic freedom in the individual, that does not allow us to predict entirely his behavior. And without prediction there is not control.
Anyway, the basic lesson:
organizations are attempts to rationalize cooperative effort.
5. ORGANIZATION AS A SOCIAL SYSTEM
Social system: a group of individuals (two or more), who make a whole different of the addition of its parts.
System = network, inter-relations, interdependencies.
The purpose of the social system: to adapt (control) the individuals to the environment.
A cooperative system (Barnard, for more development)
Individuals have limitations:
1. Physical limitations (in time, in space, in sheer strength)
2. Cognitive limitations
The environment present limitations:
1. the existing technology
2. the natural environment
3. the existing social systems
4. the "other" individuals
5. the value and belief system; the norms
In order to survive, men are always trying to change or to maintain the facts of its natural and social environment. He needs to overcome his personal limitations, and the constraints that the total environment presents to him.
Cooperation is a way of overcoming limitations. So cooperation is the basis of a social system.
But personal satisfaction is the goal of each one.
Besides, the results of cooperation are limited.
So, conflict arises. And some times, as in the case of individualism or in the case of bargain, conflict is institutionalize.
The types of social systems:
1. Geographical basis:
the world society; the Brazilian nation; the State; the City; the rural community; the tribe.
2. Division of work basis:
The UN, the Federal Government, the State and City Governments; its divisions and departments; the churches, the associations (clubs, professional associations, unions, etc.), institutions as museums, schools, hospitals, etc.; the business enterprise; the small groups (entirely in formal). All the social systems in this subdivision, with exception of the last one, may be considered today as organizations.
The basic model for understanding the dynamics of a social system (based on the assumption that men cooperate in order to overcome the limitations imposed by the environment):
1. The technology (the tools, the methods of production)
2. The social structure (hierarchy, authority, ownership, control, power existing in each social system.
3. The value and belief system (believes include the scientific and non scientific knowledge; ideologies; the religion). We may call it the moral order.
4. Supernatural order (sacred symbols, rites) – the control of the unknown, of the uncontrollable (See Warner)
The interdependence of these four systems or orders. The technology as the first conditioning. The reflex of the other systems in the technology. The basic order, the biological order was not forgotten. It does not belong to this model, (but is assumed), because it is not a "creation" of man.
6. THEORIES OF ORGANIZATIONS
What we presented as the concept of organization is already a theory - Max Weber's theory about bureaucracy. It is, however, just a description and interpretation. The work of a sociologist, who was not interested in making "recommendations" about how to control organizations.
The "scientific management" approach
also called the traditional approach, the principles of management approach.
An approach of engineers, an approach of practical men willing to rationalize executive behavior in organizations.
Taylor and Fayol, the two basic figures.
Some basic hypothesis:
- management is a science. Principles can be easily derived. Hypotheses should be tested, specially the ones related with efficiency of work.
- there is one best way of getting a job done; the objective of scientific management is to find this way and to enforce it.
- man is motivated essentially by money (the economic man).
- management will plan carefully the job to be done
The principles of management (see Fayol)
- authority should equate responsibility
- the organization is structured according to the scalar principle
- unity of command
- unity of objective
- centralization
- span of control should be small
Some criticisms:
- the theory is based on an incomplete model of man—the economic man, whose basic goal is money, who has complete knowledge of all alternatives).
- man is reduced to a machine; no respect for man.
- the theory is normative (should), and its norms are not result of research. The idea of probability is forgotten. It is a summation of common places, of proverbs, of rationalizations taken from the top of the mind.
- it is anti-democratic (pfiffner)
We do not agree with some of this criticism. The contribution of this group to the theory of organizations was very important, inspire of its simplifications.
The Behavioral approach
tries to take in consideration the complexity of man.
It was introduced by sociologists and psychologists.
Mary Parker Follet, a pioneer.
The Hawthorne Studies, the reak begining
Elton Mayo and his group.
The two basic studies.
The contribution:
- a challenge to the physical, engineering approach.
- an organization is a social system, besides a rational structure.
The limitations:
- based on an idealistic view of human nature, an exaggerated reaction against the former ideas; result: naïveté, unwillingness of recognizing basic conflicts;
- lack of concern for the technological and structural (formal organization) determinants of behavior;
- excessive de-emphasis on money as incentive;
- correlation between morale and productivity;
- recommendation of the "soft" approach as a panacea.
After the Hawthorne Studies, psychologists and sociologists became more interested in the organizations.
The small group called special attention: Kurt Lewin (group dynamics), the Michigan Group.
Some sociologists (Merton, Selznick) studied the unanticipated effects of bureaucratization;
Simon developed a theory based on decision-making and on the distinction of programmed and non-programmed decision making.
To the behavioral approach was added the mathematical or quantitative approach, with the appearance of the computer and the broad use of statistics and operations research.
Cybernetics makes its appearance: a theory of communications through computers which leads to deep changes in the organizational systems.
The behavioral and quantitative approach is fluid; it is in the process of formulation.
The traditional approach is well structured; a tight body of theory. It is easier because it was based in a simplified theory of man.
As theorists of the formal organization, the traditional approach was not yet surpassed. Its contribution is positive. Even if we discard their simplism about the individual (they forgot the love incentive) they dido not take in consideration that the organizations a social system), many of their ideas still stand as valid.
To the theory of the formal organization, however, it is necessary to add the theory of the informal organization; and then to make a synthesis. This in the job of the behavioral approach. It is not necessary to deny everything that was said before.
7. THEORIES ABOUT HUMAN NATURE
Underlying the theories we have being discussing there are theories about human nature.
Douglas McGregor presents two theories, the second being the one he supports; he enumerates their basic assumptions;
1. The traditional view of direction and control:
"1.The average human being has an inherent dislike and will avoid work it if he can.
2. Because of this human characteristic of dislike of work, people must be coerced, controlled, directed, and threatened with punishment..."
3. The average human being prefer to be directed, wishes to avoid responsibility, has relatively little ambition, wants security above all".
2. The integration of Individual and Organizational Goals
1. The expenditure of physical effort is a natural as play or rest.
2. External control and the threat of punishment are not the only means of bringing about effort toward organizational objectives. Man will exercise self-direction and self control in service of objectives to which he is committed.
3. Commitment to objectives is a function of the rewards associated with their achievements.
4. The average human being learns under proper conditions, not only to accept but also to seek responsibility.
5. The capacity to exercise a relatively high degree of imagination, ingenuity, and creativity in the solution of organizational problem is widely, not narrowly, not narrowly distributed in the population.
6. Under conditions of modern industrial lives the intellectual potentialities of the average human being are only partially utilized.
The first theory is unacceptable, especially in the way McGregor put it. What kind of work, what kind of responsibility man does not accept? Why motivation has to be done just through negation, threat? Even Taylor's theory does not conform to such theory, although it is nearer.
The second theory seems nice; actually it is rose, incomplete and dangerous. Mans is not essentially good. This "essentially" is meaningless; what is good or what is bad depends on what culture. Man will work toward objectives, will accept responsibility, will not need coercion under some conditions.
The problem is: do these conditions exist in organizations and particularly in business enterprises? If they do not exist, is it possible to establish them, or are there areas where conflict is inherent to the present structure of the enterprises?
The basic condition is need satisfaction, but are not needs different for the member of organization (depending on the structure), are not the attached values different, and does not from this difference arise conflicts that only force or bargain can solve?
The four types of solution of conflict: force, paternalism, bargain, integration.
8. THE INDIVIDUAL AND THE SOCIAL ENVIRONMENT
Needs are a function of the biological characteristics of the man and of the pressures (value and belief system) existing in the social environment.
By the way (digression): the need value relationship: from need, value, from value, need, from need value...
Needs are satisfied on the social environment. The individual depends on the social groups to which he belongs to the satisfaction of his needs, to the achievement of his goals.
So, the individual is conditioned by the environment. The existence of inherited personality characteristics, a problem to be discussed.
The development of the personality is a learning process. Society is the teacher: it will teach the value and belief system it adopts.
A graphic model of learning and personality development:
The individual has to conform to his group, to his society. That is a condition for survival. The individual who does not conform to the norms will be punished direct and indirectly. Serious disadjustments may develop.
But this does not mean that society or even organizations within societies will conform as a whole. Some norms will tend to be common to the whole Brazilian society, or to the whole Matarazzo enterprises, but society is structured: it is horizontally structured—many groups, social systems at the same level of power and prestige--, and vertically structures—social systems or even sections of social systems which do not constitute in a social system in itself with different degrees of power and prestige.
We are more interested in the vertical structuration:
In the whole society, the social classes.
In the organizations, the several ranks, from top management to the workers.
These sub groups will have different value and belief systems.
The individual will want to know where it fits in the social structure. He will want hi role, and behave accordingly.
So, the vertical structure of social systems, including organizations, will be a major some of differences in perception about the world as well as of different actual needs, and values.
Sometimes conflict arises not as result of a real conflict of interests, but as a result of poor communications. Different groups give to words different meanings. A semantic problem. Besides, distrust may build as a result of previous conflicts, and communications are hindered. There is, however, a temptation to attribute conflicts in organizations to defects in communication only, not to irreconcilable interests. (A chapter about communications (Leavitt) would be good here).
II - THE FORMAL ORGANIZATION
1. DIVISION OF WORK
We already know that the basics of an organization as well as of all other social systems are cooperative effort. But what makes cooperative work more efficient?
The principle of division of work: work is more efficient when divided.
Why?
- the knowledge and skill of a person is limited: the advantages of specialization:
- one person cannot at the same time at two places
- one person cannot perform a function without stopping for rest, etc.
Just think what would happen to the world if division of work desapeared.
There are limitations on the division of work
- biological limitations, making unwise to divide some basic movements of the body;
- psychological limitations, as the division of work takes some of the pride and the interest of the worker, as it takes from him the sense of goal achievement (the solution defended by some: job enlargement);
- technological limitations, as the existing machines will determine the division of work;
- time limitations as is frequently unwise too divide a job so that the individual jobs are not anymore full-time jobs.
The division of work is a function of the size of the organization; the larger the organization, the more developed will tend to be the division of work (related to the idea of a full-time job).
While in other social systems the division of work may be quite established at random, or better, without planning, although following some general laws, in organizations division of work is rational, purposeful, carefully planned and executed.
Departamentation
Criteria to organize (horizontally):
To organize means to divide the work and to group the resultant activities. This grouping may be made according to the following criteria:
1. by purpose (objective)
a. by function (broad similarity in work)
b. by process (narrow similarity in steps of the work)
c. by product or service
d. by customer
2. by location (the same work is done in different loc.)
3. by time (shifts)
These criteria help to understand the departmentalization of organizations, but do not provide a formula to group activities.
We are nearer to this formula when we speak about the
Sub-Goals in departmentalization (Newman, 132):
1. To take advantage of specialization (general rule)
2. Facilitate control (basic rule)
3. Aid in coordination (basic rule also)
4. Secure adequate attention (Drucker's activity analysis)
5. Recognize local (human) conditions
6. Reduce expenses (self-evident, underlying)
2. HIERARCHY AND LEADERSHIP
The criteria earlier discussed (purpose, location) to group activities organizing them are horizontal criteria.
Organizations are also vertically structured.
The general idea is: to assign purpose, to regulate, co-ordinate and to control action it is necessary direction, it is necessary that decision-taking be concentrated. This is already a problem on communications, besides being a problem on division of work and specialization (only a few people have the skill to command).
Why it is a problem of communication?
Because communication would become the limiting factor if we want that all people participate in each decision.
Therefore, these two basic reasons (division of work and communication) make the leader necessary.
How he is chosen is another problem.
In social systems in general it may be a question of tradition (blood ties specially);
It may be a question of sheer power (physical power, military power);
It may be a question of control of the means(material and also spiritual) to satisfy the needs of the followers (in the business enterprise, in the beginning, the control of the material means(capital) will be the only determinant of leadership;
It may be a question of skill or knowledge;
It may delegate legally.
We may generalize that leadership comes from the control of the means to satisfy the needs of the followers, if we take these means in a very broad sense.
The need of a hierarchy, the need of decision makers and executers leads to the so called "scalar principle", which refers to the vertical divisions of authority.
When social systems chose their leaders mainly according to the two last criteria (expertness and legal authority) combined, we can call this social system an organization, since we may say that there is "rationality" behind the choice.
From the scalar principle, from the vertical division of authority we can derive the levels of management:
- corporate level – the broader long term goals and policies control only by feedback
- top management – policies, goals, command in general issues control mainly through feed-back
- middle management – day-to-day performance-control through feed back and supervision – as staff help in the establishment of policies
- supervisory level—day to day contact with workers-control mainly through supervision (direct See Pfiffner, 134)
- Workers
Notice that, to distinguish these levels I use two concepts of control: by feed-back and by supervision. (On this subject se Course 840, notes on class, Jones)
3. LINE ORGANIZATION
The constraint of communications
If you add the scalar principle (vertical division of authority) to the principle of unity of command, you have a line organization (the alternative, as we will see later is the functional organization).
Line organization is the organization in which there is only one line of authority between superior and subordinate, or, in other words, in which the principle of unity of command has been followed.
The traditional theorists in organization considered this principle as others principles of organizations necessary. A condition for the effectiveness of the organization was its conformisms with such principles. This is naturally a two narrow view of organizations and of the human being. Many of these principles, however, have a double quality. First, we may say that the principle of unity of command is likely to make organization more efficient, although the several nuances of the definition of command (should or should not the power of staff be called command: we will discuss this subject later). Duality of command, when it means two bosses for the same activity, leads to chaos; when it means different bosses for different functions, it may work. Second, the concept "unity of command", as the concept "span of control" and others, although not followed as principles, help in describing organizations.
The result of the line organization is the pyramid. When you see an organization chart, you see that it follows the general form of a pyramid – a few leaders and many followers orderly structured, so that a group of men report only to one boss. The result is that, as you go from top to bottom the number of individuals increases.
Communications
are a key constraint, conditioning the form of this organization.
When you draw an organization chart, what do that lines connecting boxes mean?
a) they mean superior subordinate relationship, and also
b) communications
The form of pyramid of organizations, with vertical lines connecting positions, means that formal communications follow as a rule a vertical direction in formal organizations. It is very infrequent to see a horizontal line or a transversal line, since it would endanger the principle of unity of command. As a matter of fact we will see that other than vertical communications do occur in organizations and are essential to its survival.
Communications are an all important factor in organizations. After you divide jobs according to the principle of division of work, you have to group them. It this moment communications become a major limiting factor. How many persons can a leader coordinate, command, and control, and control directly? This is a problem that we will discuss later, when we speak about span of control related to centralization and decentralization. But one thing we can already say: coordination, command and control will be achieved through communications. The means of communication will determine to a large extent the structure of the enterprise.
We already saw that communication is one of the constraints that make a leader necessary. We see now that it also determines now many persons and how can he exert leadership.
Why so much importance to communications?
- We already said that a social system is a system of inter-actions among men. Well, communications are almost synonym of inter-actions, the last being a little broader, in one way, a little narrower in another.
4. AUTHORITY AND LEADERSHIP
We have been speaking about authority, leadership and power. It is time to give a short definition of these three concepts:
Power is the capacity of controlling some part of the environment, of the social as well as of the material environment.
Leadership is the capacity of controlling (till a certain extent, naturally) the social environment, the behavior of people.
Authority is the legal right (the origin of this right since it is formal) may be as variable as possible) of control the behavior of people.
Naturally authority implies some degree of leadership. The assignment of authority to a person has no meaning if it is based in a formal norm or law that nobody is obeying. But you can have authority over people in a determined area without having leadership. This happens when people just refuses to accept the authority.
In organizations what you can delegate is authority, not leadership.
You cannot delegate leadership from top to the bottom; you may delegate leadership from bottom to top. The followers "delegate" leadership to the leader in the leader in the moment they accept to have their behavior directed by him.
But you can delegate authority, through an order or law.
This theory was exposed by Barnard. He made however, confusion between leadership and authority: he equated the two concepts.
This theory that the basis of leadership is the acceptance of it by the followers presents a big danger:
It gives the concept of "acceptance" by the follower a two broad meaning. According to this definition, the slave, the prisoner constrained to work is "accepting" leadership. Men working under the threat of being fired, and having no other opportunity) outside, are "accepting" leadership.
On the other hand this theory has a great quality: it stresses that there are degree of leadership, and that this degree of leadership depend on the degree of acceptance.
The acceptance, naturally, will be a function of the amount of reward or threat of punishment. We know, however, as many researches proved, that you are able to achieve a much larger degree of acceptance, of willingness to cooperate, through positive reward, than through negative threat.
However, the larger the distance between leaders and follower, the larger the difference between goals, the more likely the conflict in the achievement of these goals (conflict derived from the scarcity of rewards produced by the social system, occurring when the rewards are going to be distributed).
In these circumstances, the larger the distance between leaders and followers, the more likely that conflicts will be solved through force or bargain.
Leadership by force is more likely to occur (and also is more likely to succeed) when, when the difference on power (here defined as control over the means to satisfy needs) is very large.
Leadership through paternalism - when this difference is not so big.
Leadership by bargain, when power is almost even. The only may to control power is another power to count react. The history of nations, as well as the history of each individual organization are giving us lots of evidences of this fact. Legalism, good intentions do not substitute power.
Machiavel gained so much repercussion in the world because during a long period leadership through force was the more likely to succeed.
Today this is still true in many areas.
The human relations theorists, however, are gaining so much acceptance because in many areas (and particularly in the area of the business enterprises) power became almost even between manager and workers.
Now, bargain is a costly way of solving conflicts. Then the idea of solving conflicts by integration arises.
Returning to the idea of authority, which is essential in the theory of organizations.
The only occasion where authority, besides leadership, is delegated by the follower is in the case of elections.
In the other occasions, authority is delegated by from has power: the owners, who control the capital (means).
Authority and law are very similar concepts, as leadership and norm.
5. CENTRALIZATION VS. DECENTRALIZATION
This issue is directly related to the constraints imposed by communications (for coord. and control).
Two related problems:
1) How many levels of authority should an organization have? From this problem two generalizations can be made:
- the bigger the span of control, the more decentralized will tend to be the organization;
- the more the control is executed through feed-back, the more decentralized is the organization; the more control isexerted through supervision, the more centralized is the organization.
2. Where should decision be located?
- the lower the level of authority where decisions are made, the more decentralized is the organization.
These three variables, span of control, type of control and location are generally interrelated. One is function of the other. But one may be more stressed than the other.
Decentralization does not need to be at all levels.
You can have decentralization at top management level (associated companies, divisions);
or at the worker's level (more workers per supervisor).
Recently decentralization became a gospel in the U.S. It was considered by theorists as well as executives as a panacea. It became a way of life, an ideology associated with the idea of democracy.
The decentralization about which Alfred P. Sloan from General Motors and Ralph J. Cordiner from General Eletric are speaking about, the decentralization that many large scale organizations in the U.S. are undertaking is essentially decentralization at top management level.
Originally it is not a result of an ideology, but of sheer need.
Growing operational complexity brought growing decentralization.
(See Alfred D. Chandler, Jr., in the Business History Reviews, 1956,2)
This movement begun after World War I.
Three levels were established:
1. a top executive office establishes policies, goals and controls by results;
2. a high staff of specialists coordinate and supervise more closely the work of the autonomous units, but which has no authority over operations;
3. operations are handled with discretion by autonomous operating units.
"Decentralization brought problems of control, which were solved according to a pattern closely related to the nature of the business:
1. Those firms whose activities cross established industry lines have tended to product decentralization; (chemical, electrical);
2. Companies producing a relatively restricted line have decentralized on a functional or geographical basis (automotive, oil, rubber, steel) (decentralization in the steel industry, very smell);
3. Marketing oriented firms have tended to decentralize on a geographic basis (chain stores, food industry)."
The basic conflict: control x freedom
But it is misleading to identify freedom with decentralization. Decentralization, when undertaken by the top (as usually happens) is a way to get more control, not less control.
"The problem, wrote Donaldson Brown of General Motors in 1927, "is to combine the economical advantages of modern business, with as little sacrifice as possible of that intimate control development ability that is the characteristic of the well managed small business "(Chandler)
When decentralization occurs, direct control gives place to indirect control. This happens because there is a conflict between direct control and:
- size (due to difficulty of communications);
- willingness to cooperate (the idea of participation and self-direction)
- high intellectual level of executives supervised
- lack of standard for comparison (when centralization is total)
(The first conflict is by far the more important.).
At which level should decisions be taken? RULES:
1. The more significant the decision (consequences for the goals or the organization, interdependence, long range effects and its irreversibility)...
2. The less speed necessary...
3. The more difficult is the decision, requiring more capacity from the decisionmaker...
4. The less amount of knowledge about the specific issue is required...
5. The less time (cost of time) required to make the decision...
6. The less routinized the decision...
….the decision should be made higher in the hierarchy. How high is a problem about which no generalizations are possible.
Span of control
The traditional theory says that the span of control should be small. The "small" is relative: 3-20; better: 6-8.
Why? There is a limit in the number of persons that can be efficiently supervised:
- Physical limitation: a person cannot be in two places at the same time, neither take two or more actions in the same time;
- cognitive limitations: to control it is necessary to know.
But, if you held the span of control small, you get too
- you have too much noise in vertical communications
- it is expensive (too many line executives)
- communications are more slow
- moral is not so good: less people has opportunity to participate in decision- making, to develop self reliance and self initiative, to have contact with top executives.
This was observed in the Sears case: the span of control was increased so much that executives could not exercise close control over managers; good morale resulted.
Besides, each situation is particular:
1. certain situations require control through supervision, other through feedback;
1.a. the means of communication available;
2. routine situations require less control;
3. the higher the responsibility of the person supervised, the less the need of control;
4. the physical location of the persons supervised in relation to the supervisor varies;
Conclusion: no principle
A research was made among Ohio manufacturing companies (Pfifner, 157): (averages)
- operative supervision: 16.7 persons
- executive supervision: 6 persons
With the advent of the computer
there is a prospect of large transformations.
Trends to:
- centralization
- elimination of middle-management (Leavitt, Pfifner).
6. ADJECTIVE FUNCTIONS
Organizations have adjective and substantive functions. The distinction between then will depend on the goals of the organization.
Substantive functions (direct) achieve directly the basic goals of the organization.
Ex.: in a manufacturing enterprise; production, marketing, finance.
Ex.: in a warehouse organization: warehousing, marketing, finance.
Ex.: in a club of bridge: to promote the play of bridge among members.
Ex.: army: to prepare soldiers to war and to maintenance of order; to execute these two functions.
Adjective functions (indirect)
are the functions that contribute indirectly, through the substantive functions, to the achievement of the goals of the enterprise (org.).
1. staff functions
2. services
1. STAFF FUNCTIONS
An organization add staff functions in order to overcome the limitations of the span of control of the executives.
Staff people extend the personality of the executive:
1. saving his time (sheer time)
2. completing his knowledge
Example: the president of Brazil, and the presidency.
The essence of the concept of staff is the idea of advice. Staff has no line authority (at least theoretically).
Origin and development of staff:
It seems that the first time that staff was utilized purposefully was in the army of Frederic the Great of Prussia.
(By the way, why is the theory of organization so frequently limited with the organization of armies? Because it was one of the first large scale organizations developed in modern times).
As organizations grow in size, there is an increasing need for staff people. The reason:
when organizations are small, the staff functions are responsibility of the line executives; the executive has to be a specialist in many areas;
when organizations grow, it is possible to make a specialty a full time job; in this moment the organization hires a staff person (a design engineer, a chemist, a lawyer, a statistician, a psychologist, an accountant) which will be able to do the job more skillfully or more cheaply (in the case of a general assistant) than hiring a new line executive. Besides, hiring a new line executive could lead to the need of dividing a function (production manager, for instance) which should not be divided.
So, the basic idea of staff is to make full use of the specialist.
In the modern large scale enterprises of the U.S., if we divide the people in line executives, staff and workers, the second one is probably the one that is growing more rapidly. The reason why staff people are necessary in larger number than executives was already stated. On the other hand, with the advance in technology, the number of workers does not increase too much (in the U.S., from 1949 to 1957 the rate of growth for nonproduction workers was 15 times as great as for those in direct production (Pfiffner, 126), while staff people become necessary as production (not number of workers) increase (with exception of personnel staff).
The role of staff
If we, roughly divide human work in
- thinking, and
- action or, better, execution
staff work will be classified as thinking work. The result of his work will be presented in written or verbal form (what is a kind of action, but not of execution). The executive will take action.
1. Fact finding (research, assembling elements for decision);
2. Planning and organizing(intrinsically related) laying out production, scheduling, fixing responsibility, planning expansion, budgeting, writing policies, goals, standards, etc.)
3. Communication (explaining and interpreting orders, discussing proposed ideas, preparing written orders, promoting exchange of information between line people, developing enthusiasm among line members);
4. Controlling (comparing standards with achievements).
Types of staff
1. General staff – the assistant is the prototype; in business organizations we can consider general staff the budgeting staff, accounting, administrative planning, etc.
2. Special staff – the function is executed by an specialist who definitely add knowledge to the knowledge of the executive – lawyer, economist, R & D, etc.
This classification, as many others, is quite arbitrary, but helps to understand staff functions.
The "authority" of staff (Pfiffner)
2. superior articulation (ability to persuade)
2. technical competence
3. command through status (when his position is higher than the one of the executive who receives 'advices')
4. command through sanction (appeal to superior)
5. command by default (omission of line executive by strategic reasons or not)
Functional organization
When the staff people has real authority, the principle of unity of command is destroyed completely, and, instead of a line organization as people prefer to call), we have a functional organization. The chief advantage of the functional organization (proposed initially by Taylor, at worker's level, but today more used at top management level) is the full use of specialization. The chief danger, the conflicts that may arise from the lack of unity of command. The areas of authority must be very carefully described, but some confusion will be inevitable.
2. SERVICES
are quite near to the idea of staff. Service people are also specialists. Instead of giving advice, their chief work is to execute some auxiliary functions as communications, transportation, warehousing, purchasing, maintenance, etc.
Again this distinction between service and staff is arbitrary. There is a grey area, where it is difficult to define if it is service or staff (production control, for instance).(For more development of this chapter in service see Newmann).
Policies and Goals
(including a discussion of the goals of the business enterprise)
The Formalization of Organizations
(charts, job descriptions, written policies, "credos")
III – THE INFORMAL ORGANIZATION
THE INFORMAL ORGANIZATION
(relations with the formal organization, overlays)
THE THEORY OF EQUILIBRIUM OF ORGANIZATIONS
(Barnard theory, its critic)
SMALL GROUPS
(the elements of social behavior, sociometry, etc.)
STATUS
(importance in organization, origin, symbols)
IV – THE PROCESS OF CHANGE
INTERNAL AND EXTERNAL REWARDS
PRODUCTIVITY AND MORALE
LEADERSHIP AND CHANGE
V – THE BRAZILIAN BUSINESS ORGANIZATION AND THE EXECUTIVE
(brief analysis of the historical development of the business organizations in Brazil, and the role of the Brazilian executives tying the success of their organization with the economic development of the country).
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Relationship of Recurrent Aphthous Stomatitis with Nutritional Habits
Geriatrik Hastalarda Reküren Aftöz Stomatit ile Beslenme Alışanlıklarının İlişkisinin Değerlendirilmesi
Reküren Aftöz Stomatit ve Beslenme Alışkanlıkları / Recurrent Aphthous Stomatitis and Nutritional Habits
Gül Soylu Özler 1 , Ayşe Neslin Akkoca 2 , Cengiz Cevik 1 , Erhan Yengil 2 1Department of Otorhinolaryngology, 2Department of Family Medicine, Mustafa Kemal University, Hatay, Turkey
Özet
Abstract
Amaç: Bu çalışmada geriatrik hasta grubunda reküren aftöz stomatit(RAS) sıklığı ve oral aftların aile öyküsü, boy, kilo, antibiyotik kullanımı, diş fırçala ma ve beslenme alışkanlıkları ile ilişkisi araştırıldı. Gereç ve Yöntem: Altmış beş yaş üstü hastalar çalışmaya dahil edildi. Değerlendirme öncesi olgulara oral aftöz ülser tanımı yapıldı ve fotoğraflardan oluşan bir görsel bilgilendi me formu sunuldu. Hastaların yaşı,cinsiyeti,boyu ve kilosu not edildi. Ardından RAS öyküsü sorgulandı ve oral aft öyküsü olanların ülser sıklığı, ülser tipi, ül ser yerleşimi, ülserin neden olduğu subjektif semptom, aile öyküsü, antibiyo tik kullanım sıklığı, diş fırçalama alışkanlığı ve beslenme alışkanlıkları bir an ket ile değerlendirildi. Bulgular: Seksen hasta çalışmayı tamamladı. Olgula rın %31, 5' i reküren oral ülser tarifledi. Olguların %44'ü tarafından tanımla nan ağrı en sık görülen subjektif semptom idi. Olguların % 15'inde aile öyküsü mevcuttu. Antibiyotik kullanım sıklığı ile RAS öyküsü arasında korelasyon sap tanmadı. Aynı zamanda, diş fırçalama alışkanlığı ile RAS arasında da korelas yon saptanmadı. RAS' lı grup çay ve asitli içecekleri daha sık tüketirken,süt ve süt ürünlerini, cevizi, ekmek ve diğer tahılları daha nadir tüketmekteydi. Tar tışma: Beslenme alışkanlıkları reküren aftöz ülser oluşumunda rol oynayabilir. Bu nedenle riskli besinlerin alımının kesilmesi ve koruyucu besinlerin eklenme si tedavi periyodunun ilk adımı olabilir.
Anahtar Kelimeler
Geriatrik Hastalar; Reküren Aftöz Stomatit(RAS); Beslenme
Aim: In this study we investigated the frequency and relationship of recur rent aphthous stomatitis(RAS) with family history, personal variables such as weight, heigt, antibiotic usage, teeth brush and nutritional habits in geriatric patients. Material and Method: The patients over 65 years old were included in the study. Before examination, the definition of recurrent oral aphthous ulcers and a visual informatory form including photographs were presented to the subjects. The age, sex, height, weight of the subjects were noted on a chart. Then the history of recurrent oral aphthous ulcerations were asked and if present the frequency of the ulcers, the type of the ulcers, the localiza tion of the ulcers, the subjective symptome of the ulcers, familial history for the ulcers, frequency of antibiotic usage, teeth brush habits and nutritional habits were examined by a questionnaire. Results: Eighty subjects completed the study. 31.25% of subjects declared recurrent oral ulcer history. Pain was the leading subjective symptome declared by 44% of the subjects. 15% of the subjects had a family history for recurrent oral ulcers. There was no cor relation between frequency of antibiotic usage and history of RAS. Also, there was no correlation between teeth brush habits and history of RAS. The RAS group consumed tea and fizzdrinks more frequently whereas they consumed milk and milk products, walnut, bread and other grains more rarely. Discussion: Nutritional habits may have a role on ocurrence of reccurrent oral aphthous ulcerations. So we are of the opinion that the elimination of the risky nourishments and the addition of the protective nourishments may be the first step of the treatment period.
Keywords
Geriatrics; Recurrent Aphthous Stomatitis(RAS); Nutrition
DOI: 10.4328/JCAM.2412
Received: 18.03.2014 Accepted: 02.04.2014 Published Online: 03.04.2014
Corresponding Author: Gül Soylu Özler, Mustafa Kemal University, Department of Otorhinolaryngology, Hatay, Turkey.
T.: +90 3262293323 GSM: +905053980778 E-Mail: firstname.lastname@example.org
Introduction
Recurrent aphthous stomatitis(RAS) is a disease which presents as painful open sores inside the oral cavity characterized by a break in the mucous membrane. It may effect up to 20% of the population and women are more often affected than men[1]. Recurrent aphthous ulcers are classified according to the diam eter of the lesion. Minor aphthous ulcers are 3-10 mm in diam eter. They can be single or multiple. They heal spontaneously within 2 weeks. Major aphthous ulcers have the same appear ance as minor ulcerations, but are greater than 10 mm in di ameter and are extremely painful. They usually take more than a month to heal, and frequently leave a scar. These typically develop after puberty with frequent recurrences. Herpetiform ulcerations are the most severe form. It occurs more frequently in females, and onset is often in adulthood. It is characterized by small, numerous, 1–3 mm lesions that form clusters. They typi cally heal in less than a month without scarring[2].
The etiology of RAS still remains unknown. These ulcerations may be indicative of underlying systemic diseases ranging from vitamin deficiency to autoimmunity[3]. There are several studies investigating the role of genetics, stress, hematinic deficiencies, vitamin deficiencies, trauma, microbial agents and autoimmu nity in the literature[4-8].
In this study we investigated the frequency and relationship of RAS in geriatric patients with family history, personal variables such as weight, height, antibiotic usage, teeth brush habits and nutritional habits.
Material and Method
Study design
This study is conducted at Mustafa Kemal University between November 2013 and January 2014. Ethics committee approval was obtained and was conducted adhering to the Declaration of Helsinki. Informed consent was obtained from all participants. Study population and Progess of the study.
The patients who referred to ear nose throat and family medi cine clinics over 65 years old were included in the study. Before examination, the definition of recurrent oral aphthous ulcers and a visual informatory form including photographs were pre sented to the subjects. The age, sex, height, weight of the sub jects were noted on a chart. Then the history of recurrent oral aphthous ulcerations were asked and if absent the frequency of the ulcers, the type of the ulcers, the localization of the ul cers, the subjective symptome of the ulcers, familial history of the ulcers, frequency of antibiotic usage, teeth brush hab its were examined by a questionnaire. Food consumption fre quency questionnaire is the most common criteria of nutritional evaluation in epidemiological studies and has a standard form translated to Turkish[9]. So, food consumption frequency ques tionnaire were used to evaluate the nutritional habits of the subjects. In this questionnaire, nourishments were evaluated in 9 main groups:
1- Milk and milk products( full fat milk, half fat milk, full fat yo ghurt, half fat yoghurt, full fat cheese, half fat cheese, skimmed cheese, butter milk)
2- Meat and meat products(fatty beef, lean beef, fatty mutton, lean mutton, chicken, turkey, fish, meat products, sweetbread) 3-Egg(whole egg, egg yolks, egg white, quail eggs)
4- Legume and oily pits(legume, walnut, hazelnut, peanut, pis tachio nut, seed)
5- Bread and other grains(white bread, brown bread, white flat bread, brown flat bread, whole wheat bread,rye bread, maca roni, rice,cracked wheat,pastry,biscuits,cake)
6- Vegetables and fruits(green vegetables, yellow vegetables, potato, tomato, other vegetables, citrus fruits, summer fruits, dried fruits)
7- Oil(olive oil, canola oil, hazelnut oil, vegetable oil, margarine, butter, tail fat)
8- Sugar and desserts( sugar, desserts, honey, jam, sesame paste, molasses, chocolate)
9- Other(olive, tea,turkish coffee, instant coffee, alcohol beverages,fruit juices,fizzdrinks,turnip,pickles,spices,ketchup,m ayonnaise)
The subjects were asked how often they consumed these 9 main groups and subgroups of nourishments. The options were every meal, every day in two meals, every day in one meal, once a week, twice or three days a week, 4 days a week, five or six days a week, three days or twice a month,once a month and never.
The same clinician filled the questionnaire and evaluated the parameters. The frequency of RAS in geriatric patients and re lationship between RAS and family history, personal variables such as weight, height, antibiotic usage, teeth brush and nutri tional habits in geriatric patients were evaluated.
Statistical Methods
The SPSS statistical software package (SPSS, version 19.0 for Windows; SPSS Inc, Chicago, IL) was used to perform all statistical calculations. Adequacy of all parameters to normal distribution was tested by using Kolmogorov-Smirnov test. Parametric tests were applied to values with normal distribu tion; nonparametric tests were used in those without normal distribution. Chi-square test was used to compare the categori cal parameters between the groups. Independent-samples t test was used for statistical comparison of data that match with normal distribution, and Mann-Whitney U test was applied to compare data without normal distribution between the groups. Differences were considered statistically significant at p ≤ 0.05.
Results
Eighty subjects (36 men and 44 women) with a mean age of 74.83±8.131(age range 63 –108 years) completed the study. 25 of 80(31.25%) subjects declared recurrent oral ulcer his tory. 8 of 25(32%) subjects declared recurrent oral ulcers once a year, 9 of 25(36%) subjects declared one to three times a year, 8 of 25(32%) subjects declared three times a year. The localization of oral ulcers were buccal mucosa in 8 of 25(32%) subjects, labial mucosa in 7 of 25(28%) subjects, tongue in 4 of 25(16%) subjects, gingival mucosa in 3 of 25(12%) subjects, palatal mucosa in 2 of 25(8%) subjects and tonsilla palatina in1 of 25(4%) subjects.
The type of ulcers were declared as minor by 19 of 25(76%) subjects, major by 6 of 25(24%) subjects. No subject declared herpetiform oral ulcers.
Pain was the leading subjective symptome declared by 11 of 25(44%) subjects. Dyphagia in 2(8%) subjects, dining diffi culty in dining4(16%)subjects, speaking difficulty in 4(16%)
subjects,poor appetite in 2(8%) subjects were the other subjec tive symptomes. 2 of 25(4%) subjects declared that they had no subjective symptome caused by the oral ulcer.
12 of 80(15%) subjects had a family history for recurrent oral ulcers.
The frequency of antibiotic usage were as follows; once a year in 17( 21.3%) subjects, once in six months in 26( 32.5%) sub jects, once in three months in 32 (40.0%) subjects, once a month in 4 (5.0%) subjects and once in fifteen days in 1( 1.3%) subject. Teeth brush habits were as follows; twice a day in 2( 2.5%) subjects, once a day in 4( 5%) subjects, every other day in 45 (56.3%) subjects, once or twice a week in 12( 15%) subjects and once in fifteen days in 9 (11.3%) subjects.
Then the subjects that had a history of oral ulcers( RAS group) and did not have a history of oral ulcers(control group) were compared for demographic data, personal variables and nutri tional habits. The analysis of the groups were not statistically different in terms of age and height(p=0.502, p=0.499) where as the RAS group had statistically lower weight than the control group (p=0.018).
Table 1. The evaluation of age, height and weight of RAS group and control group
31(56.36%) of RAS group,13(52%) of control group were fe males. The groups were similar in terms of sex(p=0.716).
5 of 25(20%) subjects in RAS group,7 of 55(12.7%) subjects in control group had a family history for recurrent oral ulcers. The groups was not statistically different in terms of family history(p=0.3398).
There was no correlation between frequency of antibiotic us age and history of recurrent oral ulcers(p=0.549).
Also, there was no correlation between teeth brush habits and history of recurrent oral ulcers(p=0.138).
The analysis of correlation of nutritional habits and history of recurrent oral ulcers revealed no statistically significant differ ence for meat and meat products, egg, legume, hazelnut, pea nut, pistachio nut, seed, vegetables and fruits, oil, sugar and desserts, olive, turkish coffee, instant coffee, alcohol beverag es, fruit juices, turnip, pickles, spices, ketchup, mayonnaise(p≥ 0.05).On the other hand, there was correlation for milk and milk products, walnut, bread and other grains, tea and fizzdrinks(p≤0.05).The RAS group consumed tea(p=0.0001) and fizzdrinks(p=0.017) more frequently whereas they consumed milk and milk products(p=0.045), walnut (p=0.026), bread and other grains(p=0.0001) more rarely.
Discussion
In this study the frequency of RAS in geriatric patients and re lationship between RAS and family history, personal variables such as weight, height, antibiotic usage, teeth brush and nutri tional habits in geriatric patients were investigated.
RAS is common worldwide and may effect up to 20% of the population The prevalance of recurrent oral ulcers ranges from
5% to 50% up to the population investigated[10]. In our study 31.25% geriatric subjects declared recurrent oral ulcer history. In our study there was no correlation between sex and history of RAS . In the literature, RAS was reported to be seen more frequently in women and have exacerbations in premenstrual period and regressions in pregnancy[10,11].
The analysis of the groups were not statistically different in terms of height, whereas the mean weight of the RAS group was statistically lower than the control group.
The most common form of RAS is minor aphthous ulceration, and the minor form is respectively followed by major and her petiform ulcerations[12]. Minor form is 75-85 % ,major form is 10-15%, herpetiform form is 5-10% of all oral ulcerations. In our study, 76% of the subjects declared minor aphthous ulcer ations, whereas 24% of the subjects declared major aphthous ulcerations. None declared herpetiform type.
The previous studies reported that oral ulcers occured more frequently on non-osseous sides of oral cavity[13]. In our study the most frequent localizations of oral ulcers were buccal mu cosa and labial mucosa followed by tongue , gingival mucosa, palatal mucosa and tonsilla palatina.
Consistent with the literature, pain was the leading subjective symptome declared by 44% of the subjects[9]. Dyphagia, din ing difficulty, speaking difficulty, poor appetite were the other subjective symptomes declared by the subjects in our study. 4% of the subjects declared that they had no subjective symptome caused by the oral ulcer. Fever, exhaustion, musculoskeletal pain, lymphadenopathy, nausea and vomitting are other report ed symptomes declared by subjects with RAS in the literature [13,14].
20% of the subjects in RAS group,12.7% of the subjects in con trol group had a family history for recurrent oral ulcers. There are several studies reporting the role of genetics in the etiol ogy of RAS but there is no consensus about the percentage of family history[13-15].
There was no correlation between frequency of antibiotic us age and teeth brush habits with history of RAS.
The etiology of RAS still remains unknown. Some authors be lieve that nutritional habits have o role on the occurence of re current oral ulcers. In previous studies cinnamon, gluten, cow milk, coffee, chocolate, potato, cheese, citrus fruits, strawberry tomato and spice are the most frequently detected nourish ments consumed by the subjects having a history of RAS[1620]. In studies conducted with elimination diets revealed that the elimination of tomato, lemon, vinegar, mustard, cheese, cow milk reduced the frequency of recurrent oral ulcers[18-20]. In another study, the subjects with RAS consumed tea and spice more frequently whereas they consumed walnut, bread and other grains and chocolate more rarely[9].
In our study, there was no correlation between history of RAS and meat and meat products, egg, legume, hazelnut, peanut, pista chio nut, seed, vegetables and fruits, oil, sugar and desserts, ol ive, turkish coffee, instant coffee, alcohol beverages,fruit juices, turnip, pickles, spices, ketchup, mayonnaise.On the other hand, there was correlation for milk and milk products, walnut, bread and other grains, tea and fizzdrinks. The RAS group consumed tea and fizzdrinks more frequently whereas they consumed milk and milk products, walnut, bread and other grains more rarely.
Geriatric subjects need a targeted approach to their diseases because they have special issues that are unique to this popula tion. The previous studies investigated the frequency of RAS and relationship of RAS with personal variables and nutritional habits in the general population. In that respect this is the first study addressing the geriatric subjects.
The limitations of our study is the number of subjects we inves tigated. Mental disorders such as dementia and amnesia are seen more frequently in geriatric poulation, so we excluded the subjects that we were not sure about the reliance of the data they declared.
We believe that studies with larger number of RAS subjects and more detailed studies with the elimination of risky nourish ments will be further beneficial.
Conclusion
Nutritional habits may have a role on ocurrence of reccurrent oral apthous ulcerations. So we are of the opinion that the elim ination of the risky nourishments and the addition of the protec tive nourishments may be the first step of the treatment period.
Competing interests
The authors declare that they have no competing interests.
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14. Scully C, Gorsky M, Lozada-Nur F. The diagnosis and management of recurrent aphtous stomatitis. JADA 2003;134:200-7.
15. Shohat-Zabarski R, Kalderon S, Klein T et al: Close association of HLA-B51 in persons with recurrent aphtous stomatitis. Oral Surg Oral Med Oral Pathol 1992;74:455-8.
16. Wray D, Rees SR, Gibson J, Forsyth A. The role of allergy in oral mucosal diseases. Q J Med 2000;93:507-11.
17. Eversole LR, Shopper TP, Chambers DW.Effects of suspected foodstuff chal lenging agents in the etiology of recurrent aphtous stomatitis. Oral Surg Oral Med Oral Pathol 1982;54:33-8.
18. Hay KD, Reade PC. The use of an elimination diet in the treatment of recurrent aphtous ulceration of the oral cavity. Oral Surg 1984;57:504-7.
19. Calderon PE, Valenzuela FA, Carreno LE. A possible link between cow milk and recurrent aphtous stomatitis. J Eur Acad Dermatol Venereol 2008;22:898-9.
20. Nolsan A, Lamey P-J, Milligan KA. Recurrent aphtous ulceration and food sen sitivity. J Oral Pathol Med 1991;20:473-5.
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Infraction Penalty Schedule
INFRACTION OFFENSE
TOTAL AMOUNT
(Fixed Penalty Plus Court costs)
(4) Speeding traffic infractions.
(a) 1 to 15 miles per hour above speed limit. (Fixed penalty $33.50, Court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(b) 16 or more miles per hour above speed limit. (Fixed penalty $98.50, Court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(5) Other moving traffic infractions. (Fixed penalty $33.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$90.00
$155.00
$90.00
(6) Speeding in a construction zone. I.C. § 49-657 (Fixed penalty $50.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$106.50
(7) Speeding in a school zone. I.C. § 49-658 (Fixed penalty $100.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00). $156.50
(8) Permitting unauthorized child under age 18 to operate vehicle. Section 49-333(1), Idaho Code. (Fixed penalty $54.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$111.00
(9) Permitting any unauthorized person to operate vehicle. Section 49-333(2), Idaho Code. (Fixed penalty $54.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00
$111.00
(10) Renting vehicle to unauthorized driver or failing to inspect license. Section 49-334, Idaho Code. (Fixed penalty $54.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$111.00
(11) Expired license. Section 49-319, Idaho Code. (Fixed penalty $44.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$101.00
(12) Violating restricted license. Section 49-317, Idaho Code. (Fixed penalty $44.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$101.00
(13) Operating vehicle under out of state license while suspended. Section 49-329, Idaho Code. (Fixed penalty $100.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(14) Failure to carry registration in vehicle (dismissed if registration is shown). Section 49-427, Idaho Code. (Fixed penalty $10.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(15) Failure to display license plate. Section 49-428, Idaho Code. (Fixed penalty $10.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(16) Operating vehicle without registration. Section 49-456(1), Idaho Code. (Fixed penalty $44.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology Fund fee $10.00, and emergency surcharge fee $10.00).
(17) Fictitious display of license plates. Section 49-456(3), Idaho Code. (Fixed penalty $58.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology Fund fee $10.00, and emergency surcharge fee $10.00).
(18) Lending or permitting another to use registration or license plate. Section 49-456(4), Idaho Code. (Fixed penalty $58.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$156.50
$67.00
$67.00
$101.00
$115.00
$115.00
(19) Failing to surrender registration and license plate upon revocation or suspension. Section 49-456(5), Idaho Code. (Fixed penalty $44.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00), and emergency surcharge fee $10.00).
$101.00
(20) Use of false or fictitious name in application for registration or concealing material facts. Section 49-456(6), Idaho Code. (Fixed penalty $100.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$156.50
(21) Failure to redeem an abandoned vehicle. Section 49-1802, Idaho Code. (Fixed penalty $10.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology Fund fee $10.00, abandoned vehicle fee $150.00, and emergency surcharge fee $10.00). $217.00
(22) Texting while driving. Section 49-1401A, Idaho Code. (Fixed penalty $25.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$81.50
(23) Non-moving traffic infractions. (Fixed penalty $10.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$67.00
(24) Special parking infractions. Recreational parking. Section 67-7115, Idaho Code. and illegal parking in state park, Section 67-4237 Idaho Code, (Fixed penalty $25.00, court costs $16.50, county justice fund fee $5.00, court technology fund fee $10.00, and emergency surcharge fee $10.00 -- No peace officers training fee).
$66.50
(25) Disability parking violations. Unauthorized disability parking, Section 49-213, Idaho Code, and unauthorized use of disability plate or placard, Section 49-410, Idaho Code. (Fixed penalty $100.00, court costs $16.50, county justice fund fee $5.00, court technology fund fee $10.00, and emergency surcharge fee $10.00 – No peace officers training fee).
$141.50
(26) Other parking infractions and failure to pay parking infractions unless otherwise provided by statute or ordinance. (Fixed penalty $5.00, court costs $16.50, county justice fund fee $5.00, court technology fund fee $10.00, and emergency surcharge fee $10.00 -- No peace officers training fee).
$46.50
(33) Reserved.
(34) Renting a watercraft without safety devices and safety decal. Section 67-7078 (Fixed penalty $25.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(35) Failure to carry required equipment in watercraft. (IDAPA 26.01.30 Parks and Recreation) Sections 67-7002 and 67-7015, Idaho Code. (Fixed penalty $42.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(36) Improper waterskiing. Section 67-7024, Idaho Code. (Fixed penalty $42.50, ourt costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(37) Permitting smoking in public building or office. Section 39-5506, Idaho Code. (Fixed penalty $67.50, court costs $16.50, county justice fund fee $5.00, peace officer training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(38) Refusing to extinguish tobacco product in public building or office. Section 39-5507, Idaho Code. (Fixed penalty $17.50, court costs $16.50, county justice fund fee $5.00, peace officer training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$99.00
$124.00
$74.00
(39) Littering from vehicle. (First or second offense). Section 18-3906, Idaho Code. (Fixed penalty $150.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$206.50
(40) Placing debris on public or private property (Frist offense). Section 18-7031,Idaho Code. (Fixed penalty $150.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$206.50
(41) Flooding a highway. (First offense). Section 18-3908, Idaho Code. (Fixed penalty $50.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$106.50
$81.50
$99.00
(42) Curfew violation by a minor. Section 20-549 Idaho Code. (Fixed penalty $150.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(43) Tobacco or electronic cigarettes, possession, use or purchase by minor. Section 39-5703(1), Idaho Code. (Fixed penalty $17.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
(44) Tobacco or electronic cigarettes, minor selling, distributing or providing false identification to obtain. Sections 39-5703(2) or (3), Idaho Code. (Fixed penalty $200.00, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$206.50
$74.00
$256.50
(45) Alter fireworks, or sell, use at time not permitted. Sections 39-2609(1) or (3), Idaho Code. (Fixed penalty $100.00 court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$156.50
(46) Minor in possession of alcohol. I.C.§ 23-604. (Fixed penalty $300.00, court costs $17.50, county justice fund fee $10.00, peace officers training fee $15.00, court technology fund fee $10.00, emergency surcharge fee $50.00, victim notification fee $15.00, peace officer disability fund $3.00, reimbursement fund $37.00, domestic violence fund fee $30.00) $487.50
(47) Minor selling, serving or dispensing alcohol. I.C.§ 23-949. (Fixed penalty $300.00, court costs $17.50, county justice fund fee $10.00, peace officers training fee $15.00, court technology fund fee $10.00, emergency surcharge fee $50.00, victim notification fee $15.00, peace officer disability fund $3.00, reimbursement fund $37.00, domestic violence fund fee $30.00) $487.50
(48) Alcohol beverage- consume or possess open container by passenger. I.C. § 23-505. (Fixed penalty $15.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, emergency surcharge fee $10.00, domestic violence fund fee $30.00). $102.00
(49) Other infractions. (Fixed penalty $15.50, court costs $16.50, county justice fund fee $5.00, peace officers training fee $15.00, court technology fund fee $10.00, and emergency surcharge fee $10.00).
$72.00
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To: Lottery CEO's, IALS Members, Marketing Directors, PR/Communications Directors
Public Gaming Research Institute Inc.'s International
Morning Report
Your weekly supplement to Public Gaming International Magazine May 6, 2002
MARK YOUR CALENDARS NOW FOR ANOTHER GREAT MEETING IN MIAMI BEACH!
Twenty First Century Lottery Marketing & Revenue Strategies, August 1-4, 2002, at Loews Miami Beach Hotel in Miami Beach, FL USA. Co-hosted by Public Gaming Research Institute and the Florida Lottery. That's right, it's PGRI's annual conference that brings lottery and industry people together from around the world for business-building and planning that will be the foundation for growth in the coming years.
To register and for more information, Contact PGRI:
E-mail for Elsie Grote: firstname.lastname@example.org; or
Tel. (425) 803-2900; fax (425) 803-6830
email@example.com
PGRI on the Web: WWW.PUBLICGAMING.ORG
PGRI E-MAIL ADDRESS CHANGES
. Effective immediately, office and conference questions for Elsie Grote should be sent to firstname.lastname@example.org. Messages concerning the editorial copy of Public Gaming International magazine and Morning Report should be sent to the editor, Todd Koeppen, at email@example.com.
MEGA MILLIONS GOES TO COURT. On Tuesday, May 7, a preliminary injunction hearing will be held at the Franklin County Court of Common Pleas, for seven plaintiffs that are filing suit to stop the Ohio Lottery from joining a multi-state. Meanwhile, antigamblers have asked the NY state court to issue an injunction to block the state from joining Mega Millions. I'm really starting to sense that there are some groups out there that aren't in favor of Lottery expansion. At any rate, Lottery victories are expected in both instances.
MENTOR PROGRAM IN TEXAS. Texas Lottery Director Linda Cloud approved a program called the Mentor Protégé Sponsorship Agreements. The program will help minority-owned and underutilized businesses work with larger companies.
KS DODGES A BULLET. Kansas Legislators finally agreed not to revoke the Lottery sales tax exemption. That's a relief.
AZ LOTTERY IN VOTERS HANDS. The 21-year-old Arizona Lottery is scheduled to terminate on January 1, 2004, but relief is in sight. The State Legislature approved a bill allowing voters to decide whether to extend the Lottery for another ten years.
MIFAL HAPAIS TO STAY PUT? Contrary to previous plans, Mifal Hapais, Israel's National Lottery may not be buying a 10,000 sq. meter building for $20 million. A new proposal has the Lottery remaining in its current building and adding two more floors with 2,000 sq. meters on top of the current building. This new plan would only cost approximately $2 million. Mifal Hapais has been looking for a new building in Tel Aviv for two years.
.
ISRAEL BROADCASTS DRAWINGS ON THE NET.
Mifal Hapais broadcast their Super Lotto draw live on the Internet for the first time last week. Due to the 1,300 people who view the site daily, the Lottery plans to continue the web-based broadcasts as a complement to their televised draws.
BBC TO AIR NEW LOTTERY TV SHOW. A new
Lottery based game show will be airing in the U.K. on BBC One – a new quiz show called "National Lottery In It To Win It." The show was created by the same folks who've brought us The Weakest Link, and features five contestants answering questions worth £5,000 each. The show also will feature the National Lottery Draw, Thunderball and Lottery Extra Draw. BACK IN PUBLIC SERVICE. Kenneth W. Thorson, the Virginia Lottery's first director, has been named to head the state's Department of Taxation. Thorson is currently an attorney in the McCandlish Holton law firm.
MORE MA AUTOS SEIZED. In last week's Morning Report, we informed readers that two cars had been seized from the Massachusetts State Lottery. That number has since grown. In all, 13 Lottery vehicles were seized and auctioned off to pay candidates money owed them under the state's Clean Elections campaign financing law.
HUNGARY ADDS GPRS. The Hungarian lottery Szerencsejáték Rt has signed a three-year agreement with Westel Mobil Távközlési Részvénytársaság to extend its data transmission system. The agreement adds additional mobile terminals that provide GPRS service and can be installed quickly The GPRS makes data transmissions faster, and cheaper.
CAMELOT OUTLINES RE-LAUNCH CAMPAIGN.
Camelot's re-launch will be supported by an enormous marketing campaign including ten television commercials, a door drop campaign to 18 million homes who will receive newly designed, easier to use play slips, and a large outdoor poster campaign. The Lottery's new catch phrase in it all will be "Don't Live A Little, Live A Lotto™."
OHIO'S SOLUTION TO SCRATCHER DILEMMA.
The Ohio Lottery has found a way to steer clear of the major prize issue that has developed for many U.S. Lotteries and their instant games. In June, new tickets $3 and higher will have a TPD (top-prize drawing) symbol on approximately 24 tickets per game. Holders of these tickets will qualify for a jackpot drawing six months after the close of the game.
TATTERSALL'S DONATES 50,000 TO SOUTH AFRICAN CHILDREN. Tattersall's is donating $50,000 to help a school in South Africa. Johannesburg's Orange Grove Primary School is responsible for more than 600 children from local suburbs, and, like all South African schools, depends substantially on voluntary financial contributions to survive. The donation comes as a result of the Lottery becoming a shareholder in the country's national lottery, Uthingo, and was aimed at helping to improve educational standards and enhance cultural life in South Africa.
NO MORE PB GAMESHOW IN NE. The Nebraska Lottery is ending its participation in Powerball – The Game Show. The Lottery stated that the game is not doing as well in Nebraska as it is in other states, and the response has been weaker than other $3 instants. The game will end in NE on May 30 th , which is the final draw date for contestants and at-home players in the state. The last contestants will appear on television in September.
TEXAS MAKES CHANGES TO 5-DIGIT. Texas Players will see their overall odds of winning Cash Five change from 1 in 100 to 1 in 8, as the Texas Lottery makes some changes to the game. The game, launching July 28 th will operate on a 5:37 matrix, and will be the only 5-digit game in the U.S. giving a $2 cash prize for matching two numbers. The Lottery is expecting the change to generate a 10% sales increase.
TEXAS KICKS-OFF PICK 3. The Texas Lottery launched Pick 3 day drawings last week, and saw $191,760 in its first day of sales. The Lottery is counting on the day draws bringing in approximately $4.6 million in additional revenue.
POLAND MAY INCREASE LOTTERY TAX. Poland's
Totalizator Sportowy may have to endure an increase in tax on the Lottery. The current tax rate of 20% has been in place since 1994.
GIVE THIS A TRY. There's an interesting draw method in Shillong, India. Sixty archers shoot more than 1,000 arrows at a large straw target, after which lottery officials begin to count the number of arrows in the target. The last two numbers in the count make the winning lottery number. The game was legalized in 1982, but the method is estimated to more than 100 years old.
TEXAS RIDES WITH HARLEY. The Texas Lottery launched a $5 Harley-Davidson® ticket on May Day. In all, 25 motorcycles and up to $50,000 can be won instantly, with five additional motorcycles available through second chance
LOTO-QUEBEC INCREASES NON-PROFIT
CONTRIBUTION. Loto-Quebec is increasing its annual payment to non-profit organizations participating in network bingo whose products are marketed by its subsidiary, the Société des bingos du Québec (SBQ), to approximately $12 M – a $3 million increase.
LOTTERY ON TOP. The Tennessee Senate voted to place the Lottery issue at the top of the state ballot. The House has yet to vote on the subject. Issues like the Lottery are typically placed after the gubernatorial races.
CAESAR IS BACK IN ILLINOIS. The fourth version of the Caesars Palace® instant game will hit Illinois Lottery retailers in May. The $5 ticket will feature four games and 13 chances to win on each ticket; top cash prizes of $50,000 and, of course, trips for two to Las Vegas.
PA LAUNCHES INSTANTS. The Pennsylvania Lottery introduced three new instants. The $2 Royal Riches with a top prize of $25,000, and the $1 Cool 7's features a $777 top-prize. The $10 CASH SPECTACULAR becomes the Lottery's first $10 nonholiday instant. Top prize for the game is $120,000.
COMPANY & PRODUCT ANNOUNCEMENTS
COMPANY USES LOTTERY FOR INCENTIVE.
Southeast-Atlantic Beverage Company, with 800 employees in Florida, is buying $1 instants for each employee who is accident-free during each pay period. There's no limit on how many times an employee can receive the award. The incentive program uses 6,600 tickets every three months. The company utilizes a similar program in Georgia.
GTECH SIGNS WITH AKAMAI FOR INTERNET
ADVANTAGE. GTECH has chosen the Akamai EdgeScape(SM) service to assist in complying with geography-oriented Internet access regulations. Using EdgeScape, GTECH will add geo-location functionality to its Internet-based solution for a European customer. GTECH European customers will now be able to determine in real-time whether an end user meets certain criteria necessary to gain access to a site or particular Web page.
MINNESOTA GOES WITH GTECH. The Minnesota State Lottery has selected GTECH to supply online lottery equipment, technology, and services. GTECH is now negotiating a contract, which will include a base of five years, with an option for the Lottery to extend the contract for an additional five years. The Request for Proposal (RFP) calls for the replacement of the Minnesota State Lottery's existing system with new central system hardware and software. In addition, the Lottery intends to replace its current terminal equipment and communications network
INTERLOTT FIRST QUARTER RESULTS. Interlott's first quarter revenue $11.1 million, up 43 percent from $7.8 million in the first quarter of 2001. Net income for the quarter was $522,000, or 8 cents per diluted share, compared with $196,000, or 3 cents, a year ago.
INTRALOT READY FOR NORTH AMERICA. Intralot
has established Intralot Inc. to help the company increase penetration into North America. 'Intralot Inc' is based outside of Atlanta in Duluth, Georgia.
OGT PROMOTES BOCCON-GIBOD. Oberthur
Gaming's Vincent Boccon-Gibod has been promoted to Vice-President, Manufacturing/Finance for OGTAustralia. Mr. Boccon-Gibod will focus on research and development as well as on improving industrial methods and increasing the productivity of the Australian unit.
NSW EXTENDS WITH OGT. NSW Lotteries (Australia) has agreed to extend OGT's printing contract for an additional 12 months beginning July 2002.
INTERNATIONAL
LOTTERY EXPO 2002
August 1-4, 2002 Loews Miami Beach Hotel Miami, Florida
For more information, see web site: WWW.PUBLICGAMING.ORG Or call in the US (425) 803-2900
PUBLIC GAMING RESEARCH INSITUTE WEBSITE CONTENTS THIS WEEK
* INTERNATIONAL LOTTERY EXPO VENDOR INFO
* INTERNATIONAL LOTTERY EXPO – GENERAL INFO
* INTERNATIONAL LOTTERY EXPO – REGISTRATION
* MAY 6, 2002 MORNING REPORT
* PUBLIC GAMING ORDER FORMS
* MAY, 2002 PUBLIC GAMING INTERN. MAGAZINE
* 2002 WORLD DIRECTORY OF LOTTERIES & SUPPLIERS
* PUBLIC GAMING INTERNATIONAL MAG. (ARCHIVE)
* MORNING REPORT (ARCHIVE)
* ASSOCIATION OF LOTTERY SUPPLIERS INFO
* A LETTER FROM THE PUBLISHER
* U.S. AND CANADIAN LOTTERY LINKS
* ADVERTISING INFO FOR PUBLIC GAMING MAGAZINE
* LOTTERY BENEFICIARIES
* TOP TEN MYTHS IN THE LOTTERY INDUSTRY
* THE FUTURE OF THE LOTTERY INDUSTRY
* FROM THE PUBLISHER'S PERSPECTIVE
* DORIS AND DUANE BURKE HONORED BY NASPL
* ILAC 2003 ANNOUNCEMENT
* ABOUT THE INSTITUTE
* PASSAGES OF LOTTERY PEOPLE
* SEARCH FUNCTION FOR SITE CONTENTS
* INDEX OF SITE CONTENTS
TO ACCESS THE ABOVE INFORMATION, LOG ONTO PUBLIC GAMING RESEARCH INSTITUTE'S WEB SITE, WWW.PUBLICGAMING.ORG AND CLICK ON ITEMS OF INTEREST AS NOTED IN THE DIRECTORY.
WOULD YOU LIKE PGRI TO INCLUDE ADDITIONAL LOTTERY INDUSTRY INFORMATION IN THE MORNING REPORT?
IF SO, E-MAIL A NOTE TO firstname.lastname@example.org. WE WELCOME YOUR SUGGESTIONS.
International Lottery Expo 2002 Registration Form
Twenty First Century Lottery Marketing & Revenue Strategies August 1-4, 2002 • Loews Miami Beach Hotel • Miami Beach, FL USA Co-hosted by Public Gaming Research Institute and the Florida Lottery
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For additional information: Call, e-mail or see Web site:
Tel.: 425-803-2900 • E-mail: email@example.com • www.publicgaming.org
Hotel Reservations
For the discounted room rate of $159, please contact the Loews Miami Beach Hotel directly at: Telephone: 305-604-1601 or 877-563-9762 • Fax: 305-535-5218 • www.loewshotels.com Be sure to mention International Lottery Expo when calling.
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Cascadia Foodshed Financing Project
MARKET RESEARCH SYNTHESIS June 2016
This research was commissioned by the Cascadia Foodshed Financing Project, a project of Philanthropy Northwest, and made possible by generous grants from JPMorgan Chase Foundation and the Greater Tacoma Community Foundation, and the Thread Fund. We are grateful to Chad Kruger, Director of Washington State University's Center for Sustaining Agriculture and Natural Resources, for his role as an advisor to this project. Ecotrust appreciates the thoughtful support and partnership of these organizations to pursue reliable prosperity for all Oregonians and Washingtonians.
Cascadia Foodshed
Financing Project
For more than twenty years, Ecotrust has converted $80 million in grants into more than $800 million in assets for local people, businesses, and organizations from Alaska to California. Ecotrust's many innovations include cofounding an environmental bank, starting the world's first ecosystem investment fund, creating programs in fisheries, forestry, food, farms, and social finance, and developing new tools to improve social, economic, and environmental decision-making. Ecotrust honors and supports the wisdom of Native and First Nation leadership in its work. Learn more at www.ecotrust.org
Ag of the Middle Framework (AOTM)
"Ag of the Middle" is a conceptual framework, not a set of hard and fast rules. Learn more at www.agofthemiddle.org.
If our shared goal is to catalyze a strong, thriving regional food economy in the Pacific Northwest, what should we invest in?
This is the question that spurred the Cascadia Foodshed Financing Project and Ecotrust to research the opportunity for regional market viability in six food product categories, and to explore the potential for successful collective investment.
This research follows from Ecotrust's 2015 report, Oregon Food Infrastructure Gap Analysis (www.ecotrust.org/publication/regional-foodinfrastructure), a 15-month study funded by Meyer Memorial Trust. That research explored the barriers and gaps preventing regional food economies from flourishing beyond direct market channels, like farmers' markets and farm subscription programs, to wholesale channels, such as retail grocery, regional restaurant, value-added manufacturing, and institutional foodservice.
The study identified a significant gap in the size and vitality of the region's "agriculture of the middle." Ag of the Middle (AOTM) is a conceptual framework that refers to mid-sized, locally-owned farms and ranches–those that are too big for farmers' markets, but too small for global commodity markets.
Economic Multiplier Ripple Effect
According to research conducted by Ecotrust in the report The Impact of Seven Cents, updated in 2015, for each $1.00 spent on local food purchases a total of $2.00 of economic activity is generated in the local economy.
Ecotrust's research indicated that AOTM operations would be the ideal scale to support regional food economies because they have the capacity to provide a meaningful volume of product (whether independently or by aggregating with other small and midsized farms), offer more consistent product quality, availability and reliability, and meet the insurance and food safety regulatory requirements of larger supply chains. Plus, they tend to source local inputs and labor (thereby creating a meaningful economic multiplier effect), engage in restorative production practices, and actively participate in their communities. In other words, they tend to retain "local values" while offering wholesale volume.
The research further showed that to be competitive, AOTM producers must differentiate. Simply marketing products as "local" is usually not enough to warrant a price premium sufficient to create financial viability. Differentiation may be achieved on multiple dimensions– product attributes (nutrition profile, flavor, terroir), ownership structure (co-op, family owned), production practices (certified organic, grass-finished, non-GMO), brand or story, and yes, "local."
LOCAL
PRODUCT
ATTRIBUTES
BRAND
BUSINESS
STRUCTURE
PRODUCTION
PRACTICES
Grassfed
Certified Organic
Pastured
Food Alliance
Non-GMO Project Verified
“never, ever” (antibiotic free)
Animal Welfare Approved
Family-owned
Co-op
Farmer-owned
B-Corp
Oregon Grown
Homegrown
Food From Around Here
Story
Identity / Personality
Founder/Farmer
Awards / PR
Flavor
Freshness
Terroir
Nutrition profile
Visuals
Northwest Grown
No-till
HOW IS THE
PRODUCT
DIFFERENTIATED?
However, having determined that investment is needed to develop a regional AOTM cohort offering differentiated products in order to spur strong regional food economies, the Gap Analysis study left many open questions. One significant to the issue of collective food system investment is: "Which products or categories, if pursued at the regional level, offer potential market upside?"
It is important to clarify that what we often refer to as "the food system" is actually a collection of relatively discrete industry sectors —produce, meat, poultry, dairy, grains, seafood, and so on—each with their own infrastructure and markets. Differentiated production often comes with higher costs and unique infrastructure needs, so assessment of financial market opportunity requires digging in at the sector level to determine where costs might be recouped and durable regional markets cultivated.
For example, would collective investment in the Pacific Northwest be best focused on expanding production of differentiated leafy greens and/or storage crops, in anticipation that climate change will ultimately shift California production north? Should we put wind behind the sails of the Western Washington innovators exploring wetside wheat and grains? What is to be made of animal agriculture, such as poultry, pork, or beef, for which there continues to be significant demand and well established commodity markets, but very little local, differentiated supply (not to mention environmental and social concerns about ongoing meat consumption)?
To better answer the above questions for six product categories— leafy greens, storage crops, small grains, chicken, pork, and beef —we selected a specific differentiated product (or set of products) and compared production at an approximated AOTM scale to the established conventional model. Our primary interest was in assessing the costs of production to determine where efficiencies in the alternative model could be harvested to glean market upside, with collective regional investment in the category. In other words, which food categories had the most potential for financial return on investment in regional market development?
Which food categories had most potential for financial return on investment in regional market development?
No-till wheat and rotational grains seem investment-ready; the protein categories, led by beef and chicken, appear promising; less opportunity for regional scale development in greens or storage crops.
Investment
It should be noted, while financial opportunity was the primary interest of this research, the members of the Cascadia Foodshed Financing Project include foundations, nonprofits, and individual investors keen to facilitate the development of a regional food system in the Pacific Northwest that is nutritious, equitable, restorative, and delicious, in addition to being financially prosperous for all supply chain participants. "Investment" in this research therefore refers to the collective investment of time, energy, and resources by members, potentially provided in the form of equity, program or mission-related investments or loans, credit enhancements such as guarantees, grants, or other support.
Investor summaries and research narratives, including relevant data and sources, are provided for each product category. The original Food Infrastructure Gap Analysis executive summary (in both English and Spanish) and full report are also available, including overview chapters for each of the same six product categories. All materials will be available at both www.cascadiafoodshed.org and www.ecotrust.org
Leafy Greens & Storage Crops
With regard to the specific question about which product categories warrant collective investment, it was relatively clear that neither leafy greens nor storage crops present obvious opportunity for marketoriented private investment. Although very successful as part of diversified mixed vegetable operations at the farmers' market scale on the west side, and in the case of storage crops, at the commodity scale on the east side, there seems little profitable capital investment opportunity at the category level in the differentiated AOTM space,
even as the climate warms. Significant market expansion or systemic transformation of either of these sectors within the Pacific Northwest is unlikely in the short to medium term.
However, there may be a disruptive innovation opportunity in the leafy greens category, in the form of urban indoor, hydroponic agriculture and related technology innovation. Such opportunity is likely to be tightly focused on a high-margin product like microgreens or herbs, rather than engendering a system-level shift. There may also be potential for market intervention in greens by enhancing supply chain coordination between small-to medium-scale organic diversified vegetable producers and retailers, including pre-harvest crop planning and multi-year contracting. The business feasibility and profitability of such a service has yet to be tested.
Protein
The three protein categories, beef, poultry, and pork, all offer the potential for successful regional market development in differentiated alternative production models. In our study of grass-finished, pasture-pen, and hoop-house product, we saw a significant need to consider risks and build collective commitment to long-term regional collaboration. In the case of grass-finished beef, the regional market is on a trajectory of continued growth, but requires regional market integration and supply chain management, as well as an effort to raise consumer awareness and comfort. Regarding poultry, a regional supply ecosystem may be viable if producers can collectively create frameworks that facilitate reduced costs in feed, on-farm labor, and processing for all. In the case of pork, there exist opportunities for individual producers to scale up. However, satisfying a significant proportion of regional demand would entail substantially rebuilding the regional industry, which is unlikely, but not impossible.
While there are additional issues unique to each protein category to be explored in the relevant chapters, it is worth highlighting that the challenges identified in the development of regional pastured poultry are consistent across all proteins. The chicken, pork and beef categories are highly dependent on sources, availability, and costs of three primary components: feed, labor and processing. Those are all areas ripe for pre-market development by foundations, nonprofits, and policymakers.
The difference between tilled and non-tilled soil
Tillage refers to the loosening up of the soil before planting in order to remove weeds that would otherwise be competing for nutrients in the soil, and to disrupt the regular cycles of their ongoing growth. However, the loss of underground root systems degrades soil quality over time. The soil becomes increasingly dry and thin, making it harder to hold both its structure and water, and therefore very vulnerable to erosion. Loss of underground root systems destroys habitat for vital micronutrients.
No-till soil leaves the existing root system undisturbed when planting, by drilling seeds directly into the soil, which allows for more natural restoration of nutrients. This method facilitates water retention better than tilled soil, allowing plants to take advantage of precious rainwater, and creates robust habitat for micronutrients over time. The primary disadvantages to no-till is that it takes at least 3-5 years to build soil structure, and makes use (albeit at much lower levels than conventional production) of chemical inputs to manage weeds.
Small Grains & No-Till Wheat
One clear winner to emerge from the research as a category with regional market opportunity, as well as environmental and social benefit, is small grains, specifically no-till wheat and rotational cropping. No-till (also called direct seeding) refers to drilling wheat seeds directly into the soil following the previous crop. This practice differs dramatically from both conventional and organic wheat production, which both till (turn over) the soil before each planting, releasing soil carbon and creating the conditions for erosion.
Non-tilled Soil
No-till wheat production is most successful when rotating other grains such as barley and oats, legumes such as chickpea, oilseeds such as canola, and cover crops such as clover, in concert with wheat, rather than simply letting land lie fallow to recover. Some of the rotation crops, such as chickpeas, are profitable in themselves and have expanding markets. Others, such as the cover crops, are not marketable but may in some cases be used as pasture for grazing animals.
Although still reliant to some degree on herbicides and synthetic fertilizers, no-till and rotational cropping have been shown to build soil health, reduce erosion and nutrient runoff, and sequester soil organic carbon. Innovation in the pelletizing of organic compost for use by direct-seed drills could lay a path toward organic/no-till convergence.
Coordinated Supply
The Pacific Northwest has a great diversity of micro-climates, which support both a diversity of crops and staggered seasonality. If production was coordinated across the region to fulfill large-scale regional demand, several product categories could be timed to provide consistent availability (a key concern for large scale buyers) despite the seasonality of most alternative production systems.
For example, grass-finished beef is a seasonal product in the Northwest, but by coordinating production starting in far northern California and southern Oregon up to northeastern Washington, fresh
Coordinated regional production could provide year-round supply
Beginning in Northern California and moving north over the course of the season could facilitate fresh regional beef availability up to 10 months of the year.
Animal grazing has been shown to significantly improve soil health.
An interesting follow-on exploration would be in integrating small grain and beef production.
supply could theoretically be provided for about 10 months of the year. (Which is not to say that frozen beef isn't perfectly delicious when properly handled, and a much easier solution to fulfill demand in the near to mid-term, but chefs and retailers still prefer fresh.)
The challenges of such regional integration are not insignificant— farmers and ranchers are remarkably independent, cultural barriers abound, and it is unclear who would play the role of coordinator. Embracing such complexity would be an enormous mind-shift, but does present the scaffolding of a robust regional food system.
Rotational Grazing
The idea of integrating grazing and crop production for the shared benefit of both the animal agriculture and crop sectors is a relatively new one in modern agriculture. The east side is particularly specialized in its production because it is home to much of the region's commodity agriculture, and would benefit from enhanced crop rotations, potentially including the integration of animal grazing, which has been shown to significantly improve soil health. This land stewardship thesis is currently being tested by Farmland LP. What if Burgerville or a regional institution like Bon Appetit Management Company were to help broker a conversation between entities such as Shepherd's Grain (buns) and Season's Peak beef (burgers) to integrate their soil stewardship way upstream?
Regional supply ecosystem coordination requires committed, longterm collaborators. Shifting production practices or expanding production significantly requires confidence on the part of the producer that the new or additional products will be sold. Buyers willing to engage in long-term crop coordination and forward contracting will be vital to creating confidence in new frameworks, and in stimulating large scale investment and behavior change.
As the CFFP considers launching a food investment fund potentially focused on coordinating regional food infrastructure or supporting the development of ag of the middle producers, we recommend prioritizing developing committed markets as a prerequisite step in any fund. Buyers must be willing to commit a portion of their spend on regional products generally, and to specific purchases with identified producers, before infrastructure or supply are actually needed.
Ecotrust is currently engaged in several projects, including the convening of a peer-to-peer network of institutional foodservice directors in the Northwest (www.food-hub.org/nwfba), and in a real-estate development project in Portland devoted to long-term collaboration on food system reform issues (www.ecotrust.org/redd), that will continue to spawn relevant experimentation focused on building long-term collaborations and supply chain coordination.
For additional information or insight into this research, please contact Amanda Oborne at Ecotrust, firstname.lastname@example.org.
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Technology adoption in complex social networks
Petr Svarc
Institute of Economic Studies Faculty of Social Sciences Charles University in Prague email@example.com
Natalie Svarcova
Institute of Economic Studies Faculty of Social Sciences Charles University in Prague firstname.lastname@example.org
Using a simple computational model, we study consequences of herding behavior in population of agents connected in networks with different topologies: random networks, small-world networks and scale-free networks. Agents sequentially choose between two technologies using very simple rules based on the previous choice of their immediate neighbors. We show that different seeding of technologies can lead to very different results in the choice of majority of agents. We mainly focus on the situation where one technology is seeded randomly while the other is directed to targeted (highly connected) agents. We show that even if the initial seeding is positively biased toward the first technology (more agents start with the choice of the first technology) the dynamic of the model can result in the majority choosing the second technology under the targeted hub approach. Even if the change to majority choice is highly improbable targeted seeding can lead to more favorable results. The explanation is that targeting hubs enhances the diffusion of the firm's own technology and halts or slows-down the adoption of the concurrent one. Comparison of the results for different network topologies also leads to the conclusion that the overall results are affected by the distribution of number of connections (degree) of individual agents, mainly by its variance.
1 Introduction
In many real life situations our choice is more or less influenced by the choice or opinion of other people, whether it be our friends, parents, colleagues, teachers, mentors or hired specialists. The list of such situations is very diverse: from everyday life choices such as where to dine or what television programs to watch, through voting in elections, having children, changing jobs, or deciding how firms should invest. Very often people simply choose what majority of others has chosen. This kind of behavior is called herding behavior. As posted by [Banerjee 1992], herding behavior is when: "... everyone is doing what everyone else is doing, even when their private information suggests doing something quite different."
In this work we use computational model to study consequences of herding behavior in case of technology diffusion if a population of agents is connected through networks with different topologies. The topologies considered are random networks [Erdös and Rényi 1959], small-world networks [Strogatz and Watts 1998] and scale-free networks [Barabási and Albert 1999]. Agents one after another choose between two technologies using very simple rule based on the previous choice of their immediate neighbors. We show that different initial seeding of technologies can lead to very different results in the final majority choice. We mainly focus on the situation where one technology is seeded randomly while seeding of the other technology is targeted to highly connected agents – hubs. We show that even if there are more agents starting with Technology 2, Technology 1 can be finally chosen by a majority of agents if the technology is seeded within targeted hubs. The explanation is that targeting hubs 1) enhances the spread of the firm's own technology and 2) halts or slowsdown the adoption of the concurrent one. Comparison of the results for different network topologies leads us to the conclusion that the overall results are also affected by the distribution of number of connections (degree) of individual agents, mainly by its variance.
2 Related literature
Our work is connected to two main strands of literature. The first strand focuses on the technology adoption. Here authors explain observed regularities like path-dependency and lock-in effect through network externalities [Katz and Shapiro 1986], increasing returns [Arthur 1989], herding behavior [Banerjee 1992; Dosi, Ermoliev and Kaniovsky 1994], informational cascades [Bikhchandani, Hirshleifer and Welch 1992] and information contagion [Arthur and Lane 1991]. Many authors also describe micro-motives leading to the observed phenomena (see for example [Banerjee 1992], [Arthur and Lane 1991] or [Narduzzo and Warglien 1996]). [Vriend 2004] showed that information-contagious behavior can evolve in the population of artificial agents through self-organization and emergence. In our work we follow [Dosi, Ermoliev and Kaniovsky 1994] and assume that agents are govern by simple herding behavioral rule based on the information about choice of sample of agents. Contrary to [Dosi, Ermoliev and Kaniovsky 1994], this sample is not random but includes agents connected through social network.
The second strand of literature connected to the network theory. We are interested mainly in the studies focused on the importance of highly connected individuals (hubs) in the diffusion processes such as spread of contagious diseases [Moreno, Satorras and Vespignani 2006] and computer viruses [Lloyd and May 2001] in complex networks. As showed by [Moreno, Satorras and Vespignani 2006] hubs with large number of connections are the main cause of the absence of the epidemic threshold (below which major epidemic outbreaks are impossible) in scale-free networks. Therefore, it is very hard and costly to fight the spread of diseases in this type of networks even if the probability of transmission is very low. One way to halt epidemics spread in scalefree network is targeting of the treatment or prevention on the highly connected individuals. This strategy can restore finite epidemic threshold in scale-free network and potentially eradicate the virus [Dezso and Barabási 2002].
Targeting hubs is also used by [Alkemade and Castaldi 2005] who showed that more detail knowledge of consumer network can improve advertisement strategies. Authors proposed a model in which firms can learn directed advertisement strategy that takes into account both consumers' characteristics and topology of the social consumer network. Targeting advertisement to highly connected consumers outperform random advertisement strategies in their model.
In our model network topology and information about number of connections of individual agents also play important role. As proposed earlier our main goal is to examine if and how initial seeding of technologies – random or targeted to hubs, affects the resulting market share. We will argue that in the case of technology adoption targeting hubs 1) enhance the spread of the firm's own technology and 2) halt or slow-down the adoption of the concurrent one. We also show that the overall results are also affected by the distribution of number of connections (degree) of individual agents, mainly by its variance.
3 Network topologies
In our paper we analyze technology adoption in three most common types of networks – random graphs as defined by [Erdös and Rényi 1959; 1960], small-world networks model as proposed by [Strogatz and Watts 1998] and scale-free networks model of [Barabási and Albert 1999].
In 1959 Erdös and Rényi 1 published model of networks with undirected links with fixed number of nodes (N) and probability that two nodes are connected equal to p. This type of network characterized by binominal degree distribution (that for larger N takes the form of Poisson distribution ( ) ! e P k k
Random graph network contains on average ( 1) 2 N N p links and average degree of the network is ( 1) p N .
Small-world networks as defined by [Watts and Strogatz 1998] have two characteristics often observed in real-world networks – "small" average shortest-path length and "large" clustering coefficient. One way to create small-world network proposed by Watts and Strogatz is to rewire links in regular lattice network. After
1 See [Erdös, Rényi 1959]
creation of regular lattice (with number of nearest neighbors 4 and more) all links are in turn taken and with probability rewired to randomly chosen node. For large, the network is similar to random graph 2 . Figure 1 depicts construction of Watts and Strogatz small-world network through rewiring of links.
The last type of the networks used in this paper is scale-free network as modeled by [Barabási and Albert 1999]. Scale-free networks are characterized by power-law form of degree distribution, k k P ) ( , where ( ) P k is the probability that a node in the network is connected with k other nodes, is called scaling exponent and ranges between 2 and 3 for most real-world networks. Barabási and Albert's network is characterized by two features typical for real world networks that lead to scale-free pattern of the network: growth and preferential attachment. The building of the network starts with small number of nodes ( 0 m ). At every time step a new node with m ( 0 m ) links is added. New links connect the node to m different nodes already present in the system. The nodes to which new links are attached are not chosen randomly, the probability that a new link will be connected to node i depends on the degree i k of that node, such that ( ) i i j j k k k . After t time steps we obtain a scale-free network with 0 N t m nodes, mt links, 3 3 and average degree 2 k m 4 (see figure 2(c)). Figure 2 displays examples of random, smallworld and scale free network.
2 See [Dorogovstev, Mendes 2001], pp.16.
4 See [Pastor-Satorras, Vespignani 2006], pp.5
3 See [Barabási, Albert (1999].
5 http://vlado.fmf.uni-lj.si/pub/networks/pajek/
4 Model
The model is very simple. There is a population of N agents connected through social network. Network can have three different topologies: random network, small-world network and scale-free network. Agents sequentially choose between two technologies, Technology 1 and Technology 2. These two technologies are equal in all attributes, the only difference is that they originate from two different sources (firms, financial advisors etc.). In each step one agent is randomly chosen and has to decide which technology to choose. The choice of the technology made by the agent is ultimate and technology cannot be altered any more.
4.1 Initial seeding of technologies
Before the beginning of the sequential process of decision-making we choose two groups of agents that will not have the right to choose the technology. We set the choice of n1 agents to Technology 1 and the choice of n2 agents to Technology 2.
Number of agents in the first group is always fixed and set to 10 whereas number of agents in the second group varies, ranging between 10 and 100.
While agents in the second group (with predefined Technology 2 choice) were always chosen randomly, agents in the first group (with predefined Technology 1 choice) were either chosen randomly (random seeding) or targeted (targeted seeding). In case of targeted seeding the agents with the highest number of links were chosen.
4.2 Agents' behavior
In number of experiments regarding technology adoption with real [Narduzzo and Warglien 1996; Chakravarty 2003] and artificial [Vriend 2004] agents, the observed behavior can be categorized into four main choice heuristics [Narduzzo and Warglien 1996]:
1. The mean rule – agents choose the technology with the highest mean value being the observed utility of other agents or whatever quantitative measure is used.
2. The highest minimum rule – agents choose the technology with the highest minimums value. As proposed by [Narduzzo and Warglien 1996] it can be seen as a extreme loss aversion.
3. The highest maximum rule – agents choose the technology with the highest maximum value. Contrary to the previous behavior, agents using this rule have tendency to believe that they can control or influence outcomes that they in reality cannot control or influence at all. This kind of cognitive bias is called illusion of control [Langer 1975].
4. The popularity rule – agents choose technology that has been chosen by the majority of other agents.
In our study we follow [Dosi, Ermoliev and Kaniovsky 1994] and we use popularity rule as a choice heuristic for our agents. Detailed description of the rule is as follows:
1. Agent observes the choice of her neighbors and finds out which technology was chosen by the majority.
2. Based on her observation, agent chooses between the two technologies. The rule is:
a. If none of her neighbors has experience with any of these technologies she chooses randomly.
b. If there is at least one experienced neighbor and there is majority of neighbors that have chosen Technology 1, resp. Technology 2, she chooses Technology 1, resp. Technology 2.
c. If number of neighbors that have chosen Technology 1 equals number of neighbors that have chosen Technology 2, she again chooses randomly.
After that next agent is chosen randomly and the whole process continues until all agents have made their decision. It is important to note, that each agent can observe only the choice of her immediate neighbors and the number of neighbors differs for different agents.
We are interested in the resulting market share (which of the two technologies will be chosen by majority of agents). The main question is, given the behavior of agents, the topology of network and the initial number of agents with the choice set to Technology 1 resp. 2, how can different seeding strategies influence market share of the technology?
4.3 Implementation
To explore the model we use computer simulation implemented in JAVA object-oriented language and with the use of Repast 6 libraries. Repast libraries contain a lot of useful methods and predefined classes that allow researcher to focus more on the studied phenomena than on programming process. The computer code for the simulation can be obtained from authors upon request.
6 http://repast.sourceforge.net/
5 Simulation setup and results
In this section we present detail results of our experiments with scale-free network but also briefly discus random and small-world network cases.
In all our simulations we fixed the number of agents in the network N to 1000. Each agent uses the same herding behavior described in the previous sections. The agents could differ in the number of interpersonal contacts, (created as undirected links). The distribution of the number of links attached to each agent depends on the network topology used in the simulation (exponential for the random and small-world network and powerlaw for scale free network) but the average degree or the average number of links was set to 4 for all the used topologies.
In our experiments we used several different initial seedings of the Technologies 1 and 2. First, while we fixed the value n1 to 10 we varied the value n2 from 10 to 100. This means that at the beginning the choice of 10 agents was set to Technology 1 while the number of agents with the choice set to Technology 2 ranged from 10 to 100 during experiments.
Second, rather than using only random seeding of technologies, we used both random and targeted seeding of Technology 1. In random seeding we randomly choose agents from the list with the probability of choosing equal for all agents. In targeted seeding, we sorted the agents based on the number of links attached to them and we set the choice of appropriate number of highest connected agents to Technology 1 (the seeding of Technology 2 was always random). For every parameter setting we run the simulation 1000 times and we averaged the results over all these runs.
Figure 3 shows simulation results for scale-free network, with n1 always equals to 10 and n2 ranges from 10 to 100. Horizontal axis shows n2, vertical axis shows final market share of Technology 1 (in %). In this type of network, the difference in final shares in case of targeted and non-targeted seeding is most significant compare to other network topologies. The reason is that Technology 1 gets both the worst results in case of random seeding and best results in case of targeted seeding (compared to random and small-world networks). For example, in case of the greatest initial difference between n1 and n2 7 , a scale-free network leads to the highest difference in the final shares of both technologies if random seeding is used. Under these circumstances, Technology 1 receives a market share of only 20%. Alternatively, under the targeted seeding model, the difference between Technology 1 and 2 in final market shares is lowest of all analyzed cases. In the end, Technology 1 gains a majority (51%) of the market, despite of being most seriously disadvantaged as concerns number of agents with predefined technology
These interesting results stem from the following characteristics of hubs. On one hand, hubs are influenced by the greatest number of neighbors. This means that if there initially more agents with predefined Technology 2, the hubs themselves will display herbing behavior to adopt Technology 2 due to either their seeding or neighbor's influence. Hubs are then very effective in influencing other agents´ decisions, which leads to a high Technology 2 market share.
7 This means n1 = 1 and n2 = 100.
On the other hand, even if initial seeding favors Technology 2 in number of agents (n2), Technology 1 can finally prevail in case that it is targeted on hubs. Targeting the seeding of Technology 1 to hubs works in two ways. First, it is prevention. Targeting at hubs prevent them from choosing Technology 2 (which would otherwise take place due to herding behavior). Second, hubs are best suited for promoting adoption of Technology 1 because of large number of agents they influence.
For random and small-world network, the difference between random and targeted hub seeding were smaller compare to scale-free network but still significant. Furthermore, in small-world networks this difference was the smallest but it increases with the increase in rewiring probability (for rewiring probability close to 1 the results resemble that of random network). This observation leads to the conclusion, that overall results are also affected by the distribution of the degree of individual nodes.
6 Conclusions
As showed in previous studies, knowledge of the network topology can be very useful both in the case of stopping the spread of contagious diseases or computer viruses [Dezso and Barabási 2002] and promoting or enhancing the diffusion of new product or technology [Alkemade and Castaldi 2005].
In our paper we present similar results for the case of technology adoption in the population of agents governed by the simple herding behavior. We show that firm who is able to convince a few highly connected agents (hubs) to choose her technology at the beginning of the adoption process could significantly raise the overall number of agents choosing her technology. The explanation is that targeting hubs has two functions: 1) it enhances the spread of the firm's own technology and 2) halts or slows-down the adoption of the concurrent one.
When comparing the results for the three different network topologies – random, small-world and scalefree network, strategy of targeting hubs is most successful in case of scale-free network characterized with the highest variance of the degree of individual nodes. This leads us to the conclusion that the overall results are also affected by the distribution of number of connections (degree) of individual agents, mainly by its variance.
Bibliography
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THE CORPORATE & SECURITIES LAW ADVISOR
Volume 21 Number 10, October 2007
STATE CORNER
The Price of Remorse: Paying Reverse Termination Fees to Excuse Performance
by John Mark Zeberkiewicz and Blake Rohrbacher
buyer's determination (and, because a deal that a buyer views as unfavorable tends to be viewed favorably by the seller, litigation tends to follow the declaration of a MAC). Moreover, the courts have tended to read MAC clauses narrowly, requiring buyers to demonstrate that unforeseen events have caused a change in the target's long-term earnings potential. 1
Until recently, a buyer that lost its initial enthusiasm for the target and wanted to escape from a fully negotiated merger agreement was, for all practical purposes, limited to the contractual remedy of declaring a material adverse condition (commonly referred to as a MAC). Under typical MAC clauses, targets must represent that no material adverse change or event has occurred or is continuing with respect to its business, and to the extent the target's representation ceases to be true, the buyer has the right to walk from the deal.
But escaping a deal via a MAC is not always simple. One of the principal diffi culties that buyers encounter when considering whether to declare a MAC is that, no matter how broad or extensive the MAC defi nition, some uncertainty always will remain as to whether a court will agree with the
John Mark Zeberkiewicz and Blake Rohrbacher are associates at Richards, Layton & Finger, P.A. in Wilmington, DE. Richards, Layton & Finger may have been involved in some of the cases discussed herein, but the opinions expressed in this article are those of the authors and not necessarily those of Richards, Layton & Finger or its clients.
Reverse Termination Fees and Reputational Concerns
Given the limitations inherent in the MAC termination right, and in light of the fact that targets have pushed hard to eliminate the fi nancing contingencies from most deals sponsored by fi nancial buyers, these fi nancial buyers have begun negotiating to limit their liability to payment of a specifi ed fee (as opposed to providing the target with the right of specifi c performance) in connection with a termination of the agreement triggered by buyer's breach or failure to obtain fi nancing. A study of 79 agreements for acquisitions of US publicly traded companies by private-equity acquirers in 2005 and 2006 revealed that 46 percent of the deals required the buyer to pay a termination fee for breach and/or failure to obtain fi nancing. 2 Interestingly, these "reverse termination fees" have been cast as providing protection for target companies against the risk of non-consummation. 3 In fact, one key benefi t of a reverse termination fee provision to the buyer is that it can be drafted to help an otherwise-breaching buyer avoid the worstcase scenario of specifi c performance of the deal. 4 In many cases, the buyer might be happier paying a fi xed fee than being forced to go through with a deal whose precise economic effects are unknown (but are certain to be disastrous).
In the fi nancial-buyer context, the threat of a buyer exercising its right to walk from a deal solely on the payment of its termination fee was considered to be tempered by the countervailing risk of "reputational damage." No fi nancial buyer, it has been argued, would be willing to terminate a deal solely because the prospect of simply paying the termination fee was more economically sound. The long-term damage to the fi rm's reputation, the argument goes, would outweigh any short-term benefi t gained by escaping the unattractive deal. Any fi rm breaking a deal would suffer greatly in future deals, as its offers would potentially be viewed as presenting an intolerable amount of closing risk. As the Wall Street Journal has put it, "Breaking a deal presents a delicate reputational, fi nancial and legal quandary for private-equity buyers. These fi rms tout their reliability to corporate boards, which depend on the buyout fi rms to fund and close a transaction. Backing out of a transaction could give the buyers a stigma when going before new buyout targets." 5
Shifts in the credit market, and in the broader M&A market, could result in a shift in this dynamic. Following the credit crisis that struck in the summer of 2007, several private-equity fi rms have indicated publicly that they would abandon or restructure fully negotiated deals. For one example, in August, Home Depot agreed to an 18 percent price reduction in the sale of its wholesale-supply business. 6 Three private-equity buyers had originally agreed to pay $10.33 billion, but they secured a lower price of $8.5 billion 7 —and it was speculated that the reduction in price was directly linked to the buyers' rights under the MAC. 8
Thus, it appears that some fi nancial buyers could threaten to precipitate a termination of the deal (with liability capped at the reverse termination fee) to intimidate target companies into accepting a lower price. This does not, however, exclude the possibility that some fi nancial buyers will exercise their full termination rights, regardless of reputational risks. A buyer's fi rst recourse likely will be to declare a MAC
and attempt to walk from the deal without penalty. When that strategy fails, however, the buyer's second line of defense against closure (assuming it has not negotiated for, or is unable to exercise, a fi nancing out) would be to pay the reverse termination fee in connection with the termination of the deal, without the concern that the target will seek specifi c performance. This approach provides the fi nancial buyer with greater certainty that the once-promising deal may be dealt with swiftly and nearly painlessly. Moreover, once one fi nancial buyer uses its escape hatch, other fi nancial buyers win twice—they may have more protection for using theirs and they can sell against the breaching fi rm.
Some concern exists in the marketplace that reverse termination fees may make deal-breaking too easy. 9 "Unlike traditional deals that let buyers out of a transaction only under a strict set of conditions, some recent deals have so-called reverse breakup fees that allow a private-equity buyer to ditch its intended partner by paying a fee that is typically no more than 4 percent of the transaction value." 10
Reverse Termination Fees in the Delaware Court of Chancery
Given the marketplace interest in reverse termination fees, it is instructive to understand what the Delaware Court of Chancery has said about them. Unsurprisingly, the Court has not, as of yet, said much. The fi rst appearance of the phrase "reverse break-up fee" did not appear in a Chancery Court opinion until March 2007. 11
In June 2007, however, the Court weighed in with some skepticism on the traditional argument that fi nancial buyers were entitled to lower reverse termination fees because of their higher reputational costs for breaking a deal. In the Topps case, Vice Chancellor Strine faced two competing bids for The Topps Company. Topps had signed a merger agreement with a group of fi nancial investors led by Michael Eisner, ex-CEO of Disney; this merger agreement included a $12 million reverse termination fee. 12 Upper Deck, Topps's chief rival (and a wholly strategic buyer), outbid Eisner for Topps, insisting on a reverse termination fee of no more than $12 million. 13
Topps argued to the Court that the "$12 million cap on liability was customary and appropriate in a transaction with a fi nancial buyer like Eisner, [but] it was insuffi cient in a transaction with a strategic buyer like Upper Deck." 14 Topps pointed to the additional risks inherent in a transaction with its chief competitor, such as "regulatory obstacles and insuffi cient evidence of Upper Deck's "ability to fi nance the deal." 15 In a footnote, the Court addressed the "reputational" argument:
Apparently, fi nancial buyers argue with a straight face that they should, because of reputational factors, be considered as presenting a lower risk of consummation for lack of fi nancing than strategic buyers. Thus, in the past, fi nancial buyers always argued for a fi nancing out. Now, they say that they will agree to no out but only if their liability is capped at the amount of a reverse break-up fee. Meanwhile, strategic buyers continue to be asked to accept full liability for damages caused if they fail to close, even if the reason for not closing is based on fi nancing, not a risk unique to a strategic buyer. This is an interesting asymmetry, and the factors driving it seem to include both economically rational ones and ones that are less rational. 16
The discussion in Topps suggests that the Court of Chancery may be skeptical of lower reverse termination fees for fi nancial buyers. 17 It is less clear what the Court thinks about reverse termination fees for strategic buyers. The Topps Court suggested that some strategic buyers may have the same reputational concerns: "[T]he Topps board never seems to have taken into account the reputational damage Upper Deck would suffer if it did the same [as the fi nancial buyers], despite its knowledge that Upper Deck has acquired other businesses in the past (remember Fleer ?) and may therefore wish to continue to do so." 18 In a more recent case, on the other hand, the Court indicated that a strategic buyer might not feel pressure to keep a bad deal. "As the Special Committee points out, there is some non-trivial risk that the Merger will go away if another vote is ordered. . . . As important, delay risks create an incentive for Mitel perhaps to conclude to move on and simply pay the $20 million reverse break fee that is the only penalty for it if it walks." 19
Implications for Practitioners
The implications of reverse termination fees for targets and acquirers are still unclear under Delaware law. The Court of Chancery is continuing to sort out the implications of these deal-protection devices, but some general themes may be noted even at this stage. Regardless of the real-world implications of reverse termination fees—whether or not breaking a deal helps a fi nancial buyer's competitors—the Court of Chancery is unlikely to take at face value arguments that fi nancial buyers are entitled to lower fees because of their reputational concerns. Especially because market conditions may prove that fi nancial buyers will cut deals loose regardless of their reputational concerns (and once each major fi nancial buyer jettisons a deal, they are all equal again, reputationally speaking), the Court may closely scrutinize such arguments. Moreover, depending on the specifi c strategic buyer involved, targets may not be able to discriminate between fi nancial and strategic buyers in setting reverse termination fees. In the current market, it remains to be seen—money may speak louder than reputation.
NOTES
1. See In re IBP, Inc. S'holders Litig. , 789 A.2d 14, 68 (Del. Ch. 2001) ("Merger contracts are heavily negotiated and cover a large number of specific risks explicitly. As a result, even where a Material Adverse Effect condition is as broadly written as the one in the Merger Agreement, that provision is best read as a backstop protecting the acquiror from the occurrence of unknown events that substantially threaten the overall earnings potential of the target in a durationally-significant manner. A short-term hiccup in earnings should not suffice; rather the Material Adverse Effect should be material when viewed from the longer-term perspective of a reasonable acquiror." (footnote omitted)).
2. See M&A Market Trends Subcomm., Section of Bus. Law, Am. Bar Ass'n, 2007 Private Equity Buyer/Public Target Mergers and Acquisitions Deal Points Study 52 (2007) (finding also that, of that subset of deals, 78 percent contained a "[c]ap on [l]iability").
3. In re Lear Corp. S'holder Litig. , 926 A.2d 94, 108 (Del. Ch. 2007) ("Lear was also protected in the event that AREP breached the Merger Agreement's terms by a reverse termination fee of $250 million. That fee would be triggered if AREP failed to satisfy the closing conditions in the Merger Agreement, was unable to secure financing for the $4.1 billion transaction, or otherwise breached the Agreement. But AREP's liability to Lear was limited to its right to receive this fee.").
4. Cf., e.g. , IBP , 789 A.2d at 84 (granting specific performance of a merger in which the buyer had attempted to declare a MAC).
5. Dennis K. Berman & Dana Cimilluca, "Harman's Suitors Sour on Buyout," Wall St. J. , Sept. 21, 2007, at A3; see also Lauren Silva et al., "The Pied Pipers March Off," Wall St. J., Sept. 25, 2007, at C14 ("But walking away hurts [buyout shops'] reputations with two crucial constituencies: company executives and their own investors.").
6. Henry Sender et al., "Home Depot Hit As Credit Crunch Squeezes Deals," Wall St. J ., Aug. 27, 2007, at A1.
7. Ann Zimmerman, "Home Depot's Deal Renovation Won't Derail Big Stock Buyback," Wall St. J. , Aug. 29, 2007, at C3.
8. Mary Ellen Lloyd & David Enrich, "Home Depot's Supply Unit May Sell at a Lower Price," Wall St. J. , Aug. 10, 2007, at A2.
9. Robin Sidel & Dana Cimilluca, "Flight of the Merger 'Arbs': RiskTakers Fear Dead Deals," Wall St. J. , Aug. 17, 2007, at C1 ("Adding to the concern is that some of the pending deals allow the private-equity buyers to walk away from the deal at relatively little cost.").
10. Id .
11. See In re Netsmart Techs., Inc. S'holders Litig. , 924 A.2d 171, 190 (Del.
Ch. 2007) ("For its part, the Special Committee extracted a one percent reverse break-up fee payable if Insight failed to close by exercise of its financing out.").
12. In re Topps Co. S'holders Litig. , 926 A.2d 58, 65 (Del. Ch. 2007) ("[T]he only remedy against Eisner if he breaches his duties and fails to consummate the Merger is his responsibility to pay a $12 million reverse break-up fee."). 13. Id. at 73.
14. Id. at 72 (footnote omitted).
15. Id.
16. Id. at 72 n.11; see also id. at 78 ("The Proxy Statement fails to disclose, however, that Upper Deck's bid was not subject to a financing contingency. That is, Upper Deck was willing to enter into a merger agreement with Topps that would not let Upper Deck entirely off the hook in the event that it could not arrange financing. In that event, Upper Deck would be liable to Topps for the full amount of the $12 million reverse break-up fee that Upper Deck has proposed. That is the same remedy available to Topps if Eisner breaches. Topps did not make that clear. That was materially misleading."). 17. The Court of Chancery has also taken note of other arguments designed to separate financial buyers from strategic buyers on the issue of termination fees. See, e.g. , In re Toys "R" Us, Inc. S'holder Litig. , 877 A.2d 975, 1019 (Del. Ch. 2005) ("The plaintiffs attempt to strengthen their claim by focusing on the fact that financial buyers are typically more deterred by termination fees than strategic buyers because financial buyers can't reap gains from operational synergies. But these were exactly the same universe of buyers that had already been broadly solicited at the commencement of the strategic review, and were therefore least likely to have missed out on the opportunity to bid. Indeed, eleven of those entities initially contacted remained in the final round of bidding, in one consortium or another. It is the unknown, synergistic strategic bidder that the plaintiff hopes is waiting in the wings, but such a bidder is precisely the least likely to be deterred by the existing deal protections.").
18. Topps , 926 A.2d at 90.
19. Mercier v. Inter-Tel (Del.), Inc. , 929 A.2d 786, 804 (Del. Ch. 2007).
Reprinted from Insights October 2007, Volume 21, Number 10, pages 22 to 25, with permission from Aspen Publishers, Inc., a Wolters Kluwer business, New York, NY, 1-800-638-8437, www.aspenpublishers.com.
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P. O. Box 1188 Montgomery, AL 36101 Street address: 207 Montgomery St. #900 (800) 832-9060; www.arisecitizens.org Newsletter printed on recycled paper with 100% post-consumer content
Calendar notes
ARISE LOBBY DAY
Montgomery,This Thursday!
Feb. 4, Capitol Auditorium
9:30 a.m. – Registration
10:00 a.m. – Issue briefing
11:00 a.m. – Lobbying at the
State House, 5th-7th floors
Noon – Membership meeting, Capitol Auditorium
1:00 p.m. – News conference,
Capitol Auditorium
1:30 p.m. – Adjourn
LOCAL MEETINGS
Auburn Tues., Feb. 2, 8 p.m. "Charity vs. Justice" workshop, Auburn University Wesley Foundation, 131 S. Gay St., (334) 887-3101.
Mobile Mon., Feb. 15, 11 a.m. to 1 p.m. Strategy meeting for homeless Katrina victims. Lunch provided. Bay Area Women Coalition, 1700 Jessie St., (251) 457-6867.
Tuskegee Tues., Feb. 16, 8 p.m. "Charity vs. Justice" workshop, Tuskegee University Wesley Foundation, TU Chapel, email@example.com.
Auburn Thurs., Feb. 18, Noon to 1 p.m. Cluster meeting, Auburn UU Busch Center.
Montgomery Sun., Feb. 28, 9 to 11 a.m. Mission Awareness Sunday, First United Methodist Church, 2416 West Cloverdale Park. For more info, call Andrea McCain, (334) 834-8990.
Report
This newsletter made possible by the members of Arise Citizens' Policy Project
Vol. 13, No. 1 January 27, 2010
Legislators have full plate for 2010
Budgets, grocery tax among key issues
By Chris Sanders, policy analyst
How do you keep a state government afloat with flat or falling revenues during a tough economy? That question will hover over the Alabama Legislature's 2010 regular session, which began in midJanuary. But state lawmakers will have no shortage of other matters to consider, including issues like grocery tax removal and unemployment insurance changes. ACPP will monitor these debates and others throughout this legislative session.
both anticipated money from the jobs bill and stimulus money already on hand from the American Recovery and Reinvestment Act (ARRA). That would be up slightly from this year's total of $6 billion before proration. Riley's proposed FY 2011 General Fund budget, including ARRA and jobs bill money, is about $1.9 billion. That would be down from this year's total of about $2.1 billion, including state spending and ARRA money.
State budgets
What happens in Washington will play a big role in what happens in Montgomery this year. Gov. Bob Riley's budgets for fiscal year (FY) 2011 rely on about $550 million from a proposed federal jobs bill to balance the state's books. The budgets assume the Jobs for Main Street Act, which the U.S. House passed in December, will become law. Riley said that legislation would provide $345 million for the state's education budget and another $200 million for Medicaid, easing the General Fund's burden.
General Fund budget cuts could result in fewer state employees. A state hiring freeze should reduce the number of state workers by about 2,000 between now and September 2011, acting state Finance Director Bill Newton said. And state Chief Justice Sue Bell Cobb told legislators in late January that Riley's budget proposal would force courts to lay off 500 to 600 employees.
[Turn to Page 2]
The U.S. Senate has yet to approve the jobs bill. If Congress does not extend financial assistance to states, sizable budget cuts and layoffs are real possibilities. With slumping tax collections and without federal help, Alabama lawmakers would have to decide whether to increase revenues, cut public services or do both, as they did during the last recession.
Riley's proposed FY 2011 education budget is about $6.1 billion, including
CLOSE TO HOME – Kathryn Corey (right) of the Community Foundation of Greater Birmingham presented a check for $30,000 to the ACPP Board of Directors on Jan. 23. Shown here are board president Tom Duley (left), vice president Alice Paris and board member Mary Jones (seated), and executive director Kimble Forrister. For more details, and information about a recent gift from the Community Foundation of South Alabama, see "A note from Brenda" on Page 2.
A few words from Kimble —
I always look forward to Bob Greenstein's annual speech in D.C. Bob is the founding director of the Center on Budget and Policy Priorities, which offers a fall conference for state tax and budget groups. After Bob's speech, I always feel I have a good sense of what's coming, be it welfare reform or climate change legislation.
Bob said health care reform may be the single biggest policy advance in our careers. (Its $196 billion per year in subsidies would be more than the federal government spends on the EITC, Head Start, aid to single mothers and their children, and food stamps combined.) If health care reform passes, we'll have to work hard to design good state programs and protect them from budget cuts. Even then, we expect Republicans to run on a repeal platform in the November elections, as they did in 1936 after Social Security passed.
This year Bob also bragged on ARRA, the American Recovery and Reinvestment Act. He credits the state tax and budget groups for compiling the data to build the case for Congress to give budget relief to the states. After the last recession, it took two years to win relief funds. This time, they were on the front burner for the new Congress, and they were far better targeted to the people who need them most. After previous recessions, the aid came so late that unemployment rates were already improving. This time, it helped prevent layoffs of teachers and health care workers. If Congress moves again soon, it will bail out state budgets again.
We need to praise how ARRA has done what it was supposed to do, but, as Bob says, "There are wrenching choices coming." We need to keep our advocacy muscles strong so we can protect the gains we've made for low-income people.
Yours in peace and hope,
Key issues
[Continued from Page 1]
Health-related budget cuts are possible next year as well. The state Medicaid agency plans to save about $50 million by limiting adult enrollees' prescription drugs and renegotiating with suppliers, Newton said. Riley's budgets also recommend no new funds for state employees' health insurance, which could lead to benefit cuts or higher premiums and co-pays.
Alabama lawmakers will draft budgets for FY 2011 on the heels of consecutive years of budget cuts. In FY 2009, Riley ordered 10 percent cuts for most General Fund agencies and 11 percent proration of the Education Trust Fund (ETF). He also emptied the ETF rainy day account to avoid even deeper education cuts. For FY 2010, which began in October 2009, Riley ordered 7.5 percent ETF proration and 12 percent cuts for all General Fund agencies except Medicaid and prisons.
Budgets usually pass late in the legislative session, and this year likely will be no different. Many lawmakers say they want to delay budgets as long as possible to monitor the economy and the jobs bill debate in Congress.
Grocery tax removal
The economy understandably has lawmakers in a gloomy mood, but one action they could take to help working families without tapping the budget is to lower the grocery tax. A bill to end the state sales tax on groceries is back in the Alabama House and is ACPP's top legislative priority this year. HB 1, sponsored by Rep. John Knight, D-Montgomery, would remove the 4 percent state grocery tax and cap the deduction for federal income taxes for the state's highest earners. Most taxpayers would keep their full deduction.
The bill would cut taxes for the vast majority of Alabamians and protect school funding. It also would bring the state's tax system more in line with those of its neighbors. Mississippi is the only other state that offers no tax break on groceries, and Iowa and Louisiana are the only other states that allow a full state deduction for federal income taxes. The plan would require voter approval this November and take effect in January 2011.
Unemployment insurance
Alabama so far has declined $100 million of ARRA money for its unemployment insurance fund, even as the state's unemployment rate climbed to 11 percent in December 2009. To receive the federal "unemployment modernization" funds, Alabama would need to consider more recent employment in determining benefits eligibility and extend benefits to groups such as part-time workers or people who leave their jobs to flee domestic violence.
A Senate committee has approved legislation to meet these requirements and accept the money. The bill, sponsored by Sen. Rodger Smitherman, D-Birmingham, awaits consideration by the full Senate.
A note from Brenda
We appreciate our community partners who have stepped up their support for 2010!
A $30,000 gift from the Community Foundation of Greater Birmingham
(CFGB) (see photo, Page 1) serves as local match for grants from the Ford Foundation and the Charles Stewart Mott Foundation. Additional gifts totaling more than $10,000 came through CFGB from the Matthew 6:2 Advised Fund and the Catherine and Edward Friend Fund, and from the K & S Advised Fund in honor of Stan and Gracie Johnson and Mary Johnson-Butterworth. Visit CFGB online at foundationbirmingham.org.
A $10,000 grant from the Community Economic Development Initiative of the Community Foundation of South Alabama (CFSA) provides matching funds to support ACPP's work with the Working Poor Families Project, a national initiative on state workforce development. (Our 2008 publication Bridging the Gap was a product of this partnership.) To learn more about the Community Foundation of South Alabama, visit communityendowment.com.
Brenda Boman Development Director
Your support makes a difference!
Arise Citizens' Policy Project thanks the following donors for their generous gifts received between Nov. 26, 2009, and Jan. 15, 2010:
The Gratitude Foundation, Birmingham Anzalone Liszt Research, Inc.,
Montgomery
Melinda Adkins, Henagar
Connie Arnwine, Bessemer
Ann Askew, Birmingham
Dot Baker, Birmingham
Jere & Sara Beasley, Montgomery
Robert Becker, Prattville
Jeannette R. Bell, Birmingham
Lynne Berry, Huntsville
Mark Berte, Mobile
Laura Binger, Huntsville
James & Mary Blacksher, Birmingham
Brenda & Jerry Boman, Notasulga
Mary Boone, Montgomery
Nancy Brennan, Montgomery
Paul Britner, Montgomery
Joel Brouwer, Tuscaloosa
Robert & Linda Bynum, Oneonta
Jim Carnes & Erin Kellen, Montgomery
Susan Carroll, Birmingham
Sally Cauthen, Duxbury, Mass.
John Chambers, Birmingham
Joyce M. Church, Birmingham
John Cleverdon, Point Clear
Anne Cody, Anniston
Carolyn Coker, Auburn
Joan Colburn, Auburn
Joyce Cole, Moulton
Billy & Betty Copeland, Birmingham
Paula Copeland, Birmingham
Emily Cosby, West Point, Ga.
Robert Cowan, Montevallo
Saradell Crawford, San Antonio, Texas
Malcolm & Ruth Crocker, Auburn
Rev. Jay Croft, Montgomery
William Z. Cullen, Birmingham
Gabriele Darch, Auburn
Edith Davis, Montgomery
Joseph & Carol Dean, Birmingham
Jane DeLung, Princeton, N.J.
Philip & Kathleen Dotts, Huntsville
Lynn Douglas, Birmingham
Marva Douglas, Birmingham
Tom & Doreen Duley, Birmingham
Gary & Nancy Dunavant, Birmingham
Dan & Kathleen Dunne, Birmingham
Harriet Edwards, Florence
Kaydee Erdreich Breman, Birmingham
Thomas Fanning, Tuscaloosa
Virgene & Roland Ficken, Tuscaloosa
Elaine Fuller, Montgomery
William Giardini, Brownsboro
Ron Gilbert, Douglasville, Ga.
Betty Glasscock, Birmingham
Bob & Barbara Glaze, Birmingham
Greg & Tammy Glover, Birmingham
Mike Goetzman, Dora
John & Patricia Goff, Northport
Martha Morgan, Cottondale
John Gordon, Mobile
Barbara Grant, Montgomery
Joyce Greathouse, Birmingham
Paul E. Grisham, Opelika
Carol Gundlach, Shorter
Susan Hamill, Tuscaloosa
Judith Hand, Birmingham
Louise Hardin, Meridianville
Presdelane Harris, Montgomery
Martha Hastings, Birmingham
Dale & Alan Head, Birmingham
JoEllen Held, Florence
Bob & Aleta Henderson, Phenix City
Michael & Lisa Higginbotham,
Birmingham
Nancy Higgs, Bessemer
Lida Hill, Birmingham
Robert H. Hill, Birmingham
Laurel Hitchcock, Birmingham
Arthur Holmgren, Huntsville
Mary S. Hopkins, Birmingham
Peter Horn, Birmingham
Darryl & Kristin Hunt, Birmingham
Martha Jo Hurley, Birmingham
Jerry Ingram, Montgomery
Thomas Ivers, Loachapoka
Pat Ivie & Robert Varley, Montgomery
Roberta Jackel & Christopher Newland,
Auburn
Hardy Jackson, Jacksonville
Rebecca Jackson, Montgomery
Stewart A. Jackson, Birmingham
Judy Johnson, Montgomery
Stan & Gracie Johnson, Birmingham
Mary Jolley, Tuscaloosa
Calvin Jones, Cary, N.C.
Rebecca Harbor Jones, Madison
Carol Kendrick, Montgomery
Sr. Deborah Kennedy, RSM, Mobile
M. Javed Khan, Auburn
Kathy King, Montevallo
Ralph & April Lane, Northport
Mike Laus, Tuscaloosa
Sandra Lawler, Birmingham
Hattie Belle Lester, Birmingham
Gary Orlando Lewis, Gadsden
George & Betty Likis, Birmingham
Kathleen Liles, Birmingham
Gary Limmroth, Tuscaloosa
Emily Livant, Auburn
Cindy Lowry, Birmingham
Samye Luquire, Tuscaloosa
R.G. Lyons, Birmingham
Cameron & Susanne MacGuire
Montgomery
Ron Manning, Brierfield
Grace Marquez, Birmingham
Marjorie Masterson, Huntsville
Roger McCullough & Bobby Cardwell,
Columbiana
Emily & Travis McGowin, Birmingham Rabbi Jonathan A. Miller, Birmingham
Father Richard Myhalyk, Selma
Jane Nichols, Montgomery
Leslie O'Neil, Birmingham
Sr. Mary Robert Oliver, Birmingham
Cary Page, Huntsville
Lenora W. Pate, Birmingham
Tommy Patterson, Decatur, Ga.
John Pollock, Montgomery
Morgan & Peggy Ponder, Birmingham
Jackie Tipper Posey, Town Creek
Hiram J. Powell, Auburn
Mike & Mary Jim Quillen
John Raby, Fairhope
Marsha Raulerson, Brewton
Stephanie Renuart, Dadeville
Helen Rivas, Birmingham
Ted & Becky Romano, Orange Beach
Frank Romanowicz, Birmingham
Alfred Rose, Birmingham
Charles Rossi, Auburn
Judy Roy, Bessemer
Ava Rozelle, Lincoln
Nell Rush, Birmingham
James Rushton, Birmingham
Anne G. Rutledge, Huntsville
Dick Sales, Birmingham
Sonia Scherr, Montgomery
Bobby Segall, Montgomery
J. Wayne Sellers, Guntersville
Carolyn Seroka, Auburn
Ruthie Sherrill, Tuscaloosa
Dorothy & Samuel Shippen, Prattville
William E. Smith, Jr. , Birmingham
Sr. Judy Smits, Mobile
Gwen Snyder, Fairhope
Ellsworth Steele, Auburn
Micki Beth Stiller, Montgomery
Carolyn Tamblyn, Auburn
Marilyn Tate, Fairhope
Sr. Magdala Thompson, Mobile
Sr. Bertha True, Cullman
Scott Turner, Birmingham
Rick & Nancy Turpen, Birmingham
Mamie Van Dyke, Birmingham
Don & Elaine Vancleave, Birmingham
Jim Vickrey, Montgomery
Paul & Kathy Vincent, Montgomery
Connie Wagnon, Birmingham
Mark & Anne Waldo, Montgomery
Carol Walker, Birmingham
Nancy Weaver, Huntsville
Penny & Kendal Weaver, Montgomery
Mary Weidler, Montgomery
Charles White, Mobile
Lorna Wiggins, Auburn
Ray & Freda Winegar, Opelika
Emmadene T. Winston, Montgomery
Carol & Ralph Womer, Auburn
William & Christina Wood, Opelika
James Woodson, Tuscaloosa
Carole B. Zugazaga, Auburn
, Birmingham,
Washington update
By Anna Blair, health policy analyst
"We've come too far to let this historic opportunity pass." This is the message health care reform advocates across the country, including ACPP, are sending to Congress as the Senate bill increasingly appears the most likely vehicle for reform this year – and perhaps for many years to come. As its title suggests, the Patient Protection and Affordable Care Act (H.R. 3590) would offer peace of mind to those who have health insurance and coverage to millions of people who now cannot afford it. The bill's $871 billion cost over 10 years would be fully offset by new savings, taxes and fees. And the Congressional Budget Office predicts the proposal would reduce the federal deficit by $132 billion in its first decade.
On the protection side, the bill sets basic health insurance benefits standards. Additional benefits will be available, but the standards will eliminate the "underinsured" trap that many people find themselves in when needs arise. Another major insurance industry reform would be the prohibition against denying coverage because of pre-existing conditions. The bill also would forbid insurance companies from setting annual or lifetime benefit limits and from cancelling coverage because of serious illness or accident.
Under the Senate plan, the income limit for Medicaid eligibility would rise to 133 percent of the federal poverty level ($2,029 a month for a family of three). This coverage includes, for the first time in Alabama, childless adults below age 65. A streamlined application process for Medicaid, SCHIP (called ALL Kids in Alabama) and the health insurance exchange (a marketplace for the uninsured) would make coverage more timely and prevent applicants from falling through the cracks because of eligibility differences. Good news for ALL Kids is the requirement that states must maintain current income eligibility levels (300 percent of FPL in Alabama) for SCHIP, with extended federal funding through 2015.
Affordability measures in the Senate bill are weaker than those in the House version, but lawmakers could strengthen the Senate provisions after the bill passes the House, through a process called reconciliation. For example, the House and Senate could find a middle ground on premium credits and cost-sharing subsidies.
Political concerns have prompted talk of scaling back the legislation to focus mainly on popular insurance market reforms. ACPP opposes this partial approach, which would encourage healthy individuals to postpone coverage, sending costs even higher. Depite their shortcomings, the comprehensive reforms in the Senate bill represent the biggest stride forward for America's working families in decades.
Health Information Exchange Commission ACPP offers consumer voice
As part of the federal recovery package, Alabama expects to receive major funding to promote the adoption and effective use of health information technology. The Alabama Health Information Exchange Advisory Commission, recently appointed by Gov. Bob Riley, will develop the technical and policy framework for a Health Information Exchange (HIE) to improve the quality, efficiency and continuity of health care across the state.
Steckel, represent 23 health care stakeholder groups. They range from State Health Officer Dr. Don Williamson; to the CEO of UAB Hospital, Dr. Michael Waldrum; to ACPP's own Anna Blair, the sole consumer representative. Margaret McKenzie will serve as the state's interim HIT coordinator.
The commission faces a tight timeline for its recommendations to the governor, who must submit the final design to the National Coordinator for Health Information Technology (HIT) in April. Commission members, led by Alabama Medicaid Commissioner Carol
"Alabama is uniquely positioned for this opportunity," said Kim Davis-Allen, who is coordinating the HIE funding proposal for Alabama Medicaid. "In the last five years, we've become a national model for using information technology to improve the quality and efficiency of health care delivery in public programs. It's time to broaden the reach of these innovations."
Support the grocery tax bill
Ten things you can do
1. Speak out. Call your state senator and representative and urge him or her to untax groceries by supporting HB 1.
2. Reach out. Ask a friend to call his or her lawmakers. Will that friend ask a friend, too? Do you belong to a group that could make calls? Can you post a Facebook status update?
3. Take it to the streets. E-mail firstname.lastname@example.org to request an untax groceries bumper sticker for your car.
4. Stand and deliver. Order extra stickers for your friends or people who inquire when they see yours.
5. Do the math. Keep your grocery receipts for a typical week. Multiply the total pre-tax amount by 4 percent (or .04) to estimate your weekly savings.
6. Make it real. Send your receipts to your lawmakers. Write to them about HB 1 and clip a week's worth to each letter. Start saving now and send a month's worth of receipts each month until the bill passes.
7. Find allies. What organizations and businesses in your area might be willing to distribute bumper stickers or contact lawmakers about HB 1? Churches, food banks and independent grocery stores are good places to start.
8. Make a list. Help us collect names of people who support the grocery tax bill. At arisecitizens.org, go to "Untax groceries!" and click on the "Use this sheet" link.
9. Table it. Does your community have an arts fair, trade day or similar event? Arise needs volunteers to host information tables and collect signatures.
10. Come lobby with Melissa. Arise's legislative coordinator, Melissa Oliver, loves to help people "break the ice" and practice citizen advocacy at the State House. Contact email@example.com to set up a time. And bring those grocery receipts!
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Unit 17: Heavy Vehicle Steering and
Suspension Systems
NQF Level 3:
BTEC National
Guided learning hours: 60
Unit abstract
This unit will give learners an understanding of the design, constructional details and fundamental operating principles of a range of heavy vehicle steering systems, suspension layouts, wheels and tyres.
The unit will cover vehicle steering and suspension systems, their function, principal components and operating principles. This will include a detailed examination of the steering system including hydraulic power assistance, a variety of suspension layouts currently used on heavy vehicles, including the leaf, rubber and pneumatic suspension systems.
Learners will be introduced to the range of heavy vehicle designs and body types used to meet the diverse and varying operational conditions experienced by goods vehicles and passenger carrying vehicles.
Finally, learners will carry out specific tests and checks to identify steering and suspension system faults such as failure of power assistance or excessive tyre wear. Learners will use these tests and checks, together with the legal information applicable to the class of vehicle, to maintain a vehicle's roadworthiness. This will include the maintenance requirements relating to driver/passenger safety and component reliability, whilst ensuring that learners work in a safe manner.
Learning outcomes
On completion of this unit a learner should:
1 Understand the construction and operation of heavy vehicle manual and powerassisted steering systems
2 Understand the various types of heavy vehicle body and suspension systems
3 Understand the construction, application and legal requirements for heavy vehicle wheels and tyres
4 Be able to carry out maintenance procedures on a heavy vehicle's steering and suspension systems.
Unit content
1 Understand the construction and operation of heavy vehicle manual and power-assisted steering systems
Manual steering system principles/construction: single and twin steer axles eg all connective linkage and geometry to obtain true rolling when cornering; rear axle steering systems applied to large heavy vehicles; steering systems on articulated passenger vehicles; application of Ackerman steering principles to large vehicles; effects of imposed loads on the steering compliance when cornering; effects of load on the accuracy of steering settings
Manual steering components: steering boxes eg recirculating ball, hour glass worm and roller; steering linkage on single and twin steering systems eg drag links, track rods, drop arms, ball joints, king pins and bushes; steering wheels and columns eg use of universal joint to facilitate cab tilting, ergonomic and anthropometrical factors of steering wheel position with or without powerassisted steering
Power-assisted steering system principles/construction: single and twin steer vehicles; integral type power-assisted steering boxes; externally fitted power rams and strut type reaction member; methods employed to apportion assistance eg torsion bar and rotary hydraulic valve, shuttle type, principles underpinning the method of obtaining assistance
Power-assisted steering components: hydraulic pump (position and operation); drive arrangements; pump reservoir; pressure control valves eg pressure relief, flow control; pipes, hoses, seals and gaiters; integral and external power servo rams; filtration; prevention of moisture and dirt ingress eg fluid cleanliness, checking fluid filters and reservoir condition, periodic replacement of hydraulic fluid, bleeding of the system
Steering geometry: non-steer eg wheel alignment requirements of single and twin drive axles; steering geometry eg caster, camber, king pin inclination, positive and negative off-set; wheel alignment checks on single and twin steer eg methods used to measure correct alignment between twin steer axles, effects of vehicle loads on the accuracy of the settings
2 Understand the various types of heavy vehicle body and suspension systems
Chassis and cab design: rigid and articulated vehicles; trailer systems eg semi and draw bar trailers; axle layouts eg two, three and four axle vehicles; drive arrangements eg twin drive and all wheel drive; body types eg flat bed tankers, refrigerated, box, municipal waste disposal, bus/coach; ergonomics of cab design eg vibration control, instrument positioning, driver controls and facilities
Leaf spring suspension system: springs eg fixed and variable rate, helper springs; centre bolt, bump stops, shackles eg fixed, swinging, shackle pins and bushes; load compensation mechanisms eg balance beam, interactive linkages; transmission of torque, axle location eg use of torque rods, A-frames, Panhard rods, trunnion bearing assemblies; vibration dampers eg function and location, single and double acting telescopic hydraulic dampers; trailing arm suspension; independent suspension eg double wishbone, anti-roll bars; forces acting on suspension members eg reactive and non-reactive systems
Rubber suspension: layout eg configuration of suspension unit to provide energy absorption (positioning in compression and shear); single and multi-axle; methods employed to enable the transmission of braking and driving torque; hub arrangements eg fully floating showing bearing arrangements, pre-packed bearing cassettes; lubrication eg type of lubricants and properties, means to ensure adequate lubricant at the contact faces; sealing methods eg use of lip seals, Orings, sealing compounds
Pneumatic suspension system: axle layout eg two, three, four or more axles; components eg levelling valves, mechanically and pneumatically operated, air suspension pneumatic circuit components eg air springs using involute and rolling diaphragm; axle-lifting equipment eg suspension layout to enable dead axle to be lifted from the road surface, overweight protection, adjustment of trim height; electronic levelling control (ELC) eg electronic levelling sensors, control unit, self-diagnosis
3 Understand the construction, application and legal requirements for heavy vehicle wheels and tyres
Construction of heavy vehicle wheels: wheel rims eg two-piece, three-piece, onepiece (well based) rims
Tyre construction: tyre type eg radial ply, cross ply, super single tyres, re-cut tyres; tyre inflation valves eg types, remote sensors, position of the valves when fitted to the vehicle; causes and symptoms of defects eg irregular wear patterns, damage to tread, wall and bead region
Design features: operational factors eg ply ratings, load carrying capacities and load rating index, tubed/tubeless tyres, tread patterns and application, tread depths, aspect ratios, inflation pressures
Legal requirements: eg prescribed mixing of tyre construction on large vehicles, fitness for purpose, general condition as prescribed in the legislative source and the vehicle tester's manual
4 Be able to carry out maintenance procedures on a heavy vehicle's steering and suspension systems
Maintenance of steering and suspension systems: removal and refitting of main components; adjustment of main components eg alignment of axles, checking of suspension geometry; servicing/lubrication of main units eg using manufacturers' inspection sheets, awareness of the effects of harsh working environments on the service intervals; personal safety and protection of units against usual hazards during use or repair eg dangers associated with working on air suspension units, overstressing power steering systems during pressure tests; performance tests for the systems eg undertake a manufacturer's test of air suspension or power steering unit; completing report documentation; interpretation of results eg from given data make an interpretation of the systems condition; identification of symptoms and probable causes eg axle mal-alignment, excessive internal leakage in power steering box, failure to self trim on air suspension, poor handling under load, excessive tyre wear
Repair cycles: preventative and corrective action eg inspection procedures for the different systems (manufacturers' inspection sheets, tester's manual); statutory requirements eg for large goods vehicles (LGV), passenger carrying vehicle (PCV); annual tests eg appreciation of the wear limits imposed on components and systems as stated in the tester's manual, inspection of tyres/wheels and the effects of ply/load index on the plated vehicle weights
| | | | M1 compare and contrast the constructional details of two different heavy vehicle steering systems M2 compare and contrast the constructional details of two different heavy vehicle suspension systems M3 evaluate and compare two different types of heavy vehicle body construction and layout. |
|---|---|---|---|
| To achieve a merit grade the evidence must | show that, in addition to the pass criteria, | the learner is able to: | |
| To achieve a pass grade the evidence must show that the learner is able to: | | | P1 describe the principles of operation/construction and components of a manual heavy vehicle steering system P2 describe the principles of operation/ construction and components of a heavy vehicle steering system with power steering P3 describe and compare the steering geometry and wheel alignments checks for a single and a twin steer system P4 describe two different types of heavy vehicle chassis and cab designs P5 describe the basic principles of operation/construction and components of a heavy vehicle suspension system employing leaf springs |
| To achieve a pass grade the evidence must | show that the learner is able to: | | |
Essential guidance for tutors
Delivery
This unit can be delivered in the context of learners' chosen areas (eg heavy goods vehicle or passenger vehicle), although a generic approach is also suitable. The term 'maintenance' in this unit is used in a generic way and can be taken to mean either routine maintenance (a regular service) or less routine work (a repair due to a component failure or adjustment to correct a misalignment).
Delivery of this unit would ideally be a balance of theoretical and practical study. Whatever approach is taken should provide learners with the knowledge and skills needed to perform routine heavy vehicle workshop operations and diagnose steering and suspension system faults in an industrial setting. Health and safety considerations should be emphasised whenever learners undertake practical activities.
The learning outcomes could be delivered in the order they are listed. In this way, learners will gain an understanding of the function and operating principles of the relevant parts of steering systems, the configuration of heavy vehicle chassis and suspension types and layouts.
For the final learning outcome learners will need access to heavy vehicles and workshop facilities. Delivery of this part of the unit could consist of lectures to introduce the steering/suspension system and likely faults, learner-led research into the maintenance requirements followed by practical application on vehicles in the workshop. Learners should be given opportunities to experience a range of routine maintenance operations in line with those suggested in the unit content.
During practical work, the critical health and safety procedures of each operation need to be emphasised. Learners should be encouraged to recognise and explain these safety aspects during their practical workshop activities to reinforce the importance to themselves and to others.
The use of a record of practical work carried out during the delivery phase of the unit should be standard practice. This is likely to be in the form of a workshop logbook. Such a record will enable learners to capture and reflect on their experience and will provide support and guidance during the activities chosen for the final assessment.
Note that the use of 'eg' in the content is to give an indication and an illustration of the breadth and depth of the area of topic. As such, not all content that follows an 'eg' needs to be taught or assessed.
Assessment
A range of assessment methods can be used for this unit and evidence can be collected from a combination of activities/assignments, investigative projects and practical work.
Centres may use short tests for the summative assessment of learners' knowledge or practical skills. These could comprise of short answer questions or set-piece workshop tasks that enable learners to demonstrate specific aspects of the required practical skills (eg steering alignment). A variety of assessment strategies should be used to give learners with differing learning styles the opportunity to demonstrate their full ability and to add diversity to the subject.
Learners should be encouraged to research and use a range of resource materials during their investigations. However, tutors should provide guidance on how material can be referenced without infringing guidelines on authentic evidence, eg annotation of images, diagrams used to support/clarify their own text.
To achieve a pass, learners will need to identify and describe the operation and components of a manual heavy vehicle steering system (P1) and a power-assisted heavy vehicle steering system (P2).
For P3, learners will need to describe the principles of steering geometry and wheel alignment on single and twin steering heavy vehicles.
Two different and contrasting vehicle chassis and cab designs should be used for P4, for example the draw bar and articulated vehicle combinations.
Learners will need to understand the operating principles and construction of suspension systems using leaf springs (P5), rubber (P6) and pneumatics (P7). Evidence for these criteria will also need to include descriptions of the relevant components.
For P8, learners should explain the construction, design features and legal requirements of wheels and tyres used on heavy vehicles.
For P9 and P10, learners need to carry out practical maintenance activities preferably on live heavy vehicle systems. For P9 they will need to carry out a maintenance procedure on a heavy vehicle steering system and describe a typical repair cycle (eg checking fluid levels and operational pressures in hydraulic powerassisted system). Similarly for P10 they need to carry out a maintenance procedure on a heavy vehicle suspension system and describe a typical repair cycle for that system (eg checking for excess wear in pins and bushes and rectifying accordingly).
A suitable steering and suspension system fault for may need to be simulated for P9 and P10 and learners provided with the typical symptoms of the fault, as would be reported by a driver of the faulty vehicle. Assessment of these criteria is likely to be in three parts — a written inspection record completed by learners at the time of the inspection, a verbal report back to the supervisor/customer (tutor record of oral questioning/observation) and tutor observation of the process (eg use of logical and efficient diagnostic techniques, safe working).
Criteria P1 and P2 can be assessed together and linked through an additional task to M1, which would require learners to compare and contrast two different steering systems used on heavy vehicles. This can also be linked to some extent with P3 with respect to turning circles and steering geometry.
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P4, dealing with heavy vehicle chassis layouts and cab designs, may be best covered as a piece of personal research, such as a project or presentation given to a group of peers. This would also offer opportunities for learners to achieve M3.
Criteria P5, P6 and P7 all relate to suspension types used on heavy vehicles and are best assessed together and can be linked to M2.
To achieve a distinction, learners need to diagnose and analyse the cause and effect of defects, wear and maladjustment in a heavy vehicle's steering system, including wheels and tyres, from given symptoms and data (D1). They will also need to analyse the cause and effects of the same for defects, wear and maladjustment in a heavy vehicle's suspension system (D2). Evidence for these criteria will draw on knowledge gained through the pass and merit criteria.
Links to National Occupational Standards and other BTEC units, other BTEC qualifications and other relevant units and qualifications
This unit supports aspects of the Level 3 Automotive Skills National Occupational Standards in Vehicle Maintenance and Repair, particularly:
* Unit MR01: Carry Out Routine Vehicle Maintenance
* Unit MR06: Inspect Vehicles
* Unit MR04 HV: Remove and Replace Commercial Vehicle Chassis Unit and Components
* Unit MR08 HV: Diagnose and Rectify Commercial Vehicle Chassis System Faults.
It can also provide some of the knowledge and understanding associated with the Level 3 SEMTA National Occupational Standards in Automotive Engineering:
* Unit 4: Assembling Sub-Assembly units to Vehicles
* Unit 7: Assembling the front Suspension Sub-Assembly
* Unit 52: Fitting Pipe work Systems to Commercial and Passenger Carrying Vehicles.
The unit can be linked with Unit 3: Vehicle Fault Diagnosis and Rectification and Unit 15: Heavy Vehicle Braking Systems.
Essential resources
Learners will need access to a range of steering and suspension components for this unit. A variety of information and data sources specific to the steering and suspension systems covered will also be required. The necessary special tools and equipment will be needed for investigations and routine maintenance operations on the selected vehicles as defined in the unit content and grading criteria.
Indicative reading
Heisler H — Advanced Vehicle Technology (Butterworth-Heinemann, 2002) ISBN 0750651318
Nunney M J — Light and Heavy Vehicle Technology (Butterworth-Heinemann, 1998) ISBN 0750638273
The Stationery Office — Road Vehicles (Construction and Use) Regulations ISBN 0110670787
The Stationery Office — The Public Service Vehicles (Condition of Fitness, Equipment, Use and Certification) Regulations ISBN 011016257
Vehicle and Operator Services Association (VOSA) — Vehicle Testing Manuals and Guides:
* HGV Inspection Manual
* Passenger Carrying Vehicle Inspection Manual
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Achievement of key skills is not a requirement of this qualification but it is encouraged. Suggestions of opportunities for the generation of Level 3 key skill evidence are given here. Tutors should check that learners have produced all the evidence required by part B of the key skills specifications when assessing this evidence. Learners may need to develop additional evidence elsewhere to fully meet the requirements of the key skills specifications.
| When learners are: | | | They should be able to develop the following |
|---|---|---|---|
| | | | key skills evidence: |
| • describing the principles of operation and components of heavy vehicle steering systems • describing and comparing steering geometry and wheel alignments • describing different types of heavy vehicle cab and chassis design • describing the principles of operation and components of heavy vehicle suspension systems • explaining the construction, design features and legal requirements of heavy vehicle wheels and tyres. | | C3.1a Contribute to a group discussion about a complex subject. C3.1b Make a formal presentation of at least eight minutes using an image or other support material. C3.2 Read and synthesise information from two extended documents about a complex subject. Each document must be a minimum of 1000 words long. C3.3 Write two different types of documents, each one giving different information about complex subjects. One document must be at least 1000 words long. | |
| | Improving own learning and performance Level 3 | | |
| When learners are: | When learners are: | | They should be able to develop the following |
| | | | key skills evidence: |
| • diagnosing defects, wear and maladjustment in heavy vehicle steering and suspension systems. | | LP3.1 Set targets using information from appropriate people and plan how these will be met. LP3.2 Take responsibility for your learning, using your plan to help meet targets and improve your performance. LP3.3 Review progress and establish evidence of your achievements. | |
Edexcel Level 3 BTEC Nationals in Vehicle Technology – Issue 1 – June 2007 © Edexcel Limited 2007
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| | Problem solving Level 3 | |
|---|---|---|
| When learners are: | When learners are: | They should be able to develop the following |
| | | key skills evidence: |
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"Intensive Efforts Needed for Food and Nutrition Security"
Dr R.S. PARODA
Chairman, Trust for Advancement of Agricultural Sciences (TAAS) and Former Director General, ICAR and Secretary, DARE
After Green Revolution, we thought that we had achieved self-sufficiency and solved our problem of food security. Somehow, the things have changed and there are many challenges and concerns that require our immediate attention. In this context, I draw your attention to the "Vision Statement" adopted by all the science academies in India and released by the Hon'ble Prime Minister Atal Bihari Vajpayee during the Indian Science Congress held in January, 2001. It's theme was on food, nutrition and environmental security. We need to continuously discuss this issue as we move along. In India, the ever increasing population in fact nullifies all our efforts. Every year we add one Australia to our population needing additionally 4 to 5 million tons of food grains. Many countries don't have such challenge, even China is now better off in that context. We have 16% of total population sustaining on only 2.8% of global land. It is anticipated that we may even surpass the population of China by 2020. We have to realize that India also has almost half of the livestock population than that of our human population. No where else this type of pressure per unit land is being faced currently.
Over the years, per cent GDP from agriculture sector is declining. This indeed is a good sign since industrial growth in the country is showing upward trend. However, it is well established that unless we have 4% growth rate from agriculture, expected 8% industrial growth would not be possible. So, agriculture is the backbone for India's overall development. In rural India, almost 60% of our people are dependent on agriculture alone. Dr. Swaminathan, Father of Green Revolution has often highlighted the importance of agriculture for national food security.
In mid 60s, India was considered a basket case. We seemed to have progressed considerably, thanks to the science based Revolution such as: changing the plant type concept, by making them respond better to higher inputs and giving higher productivity. We had also been fortunate to have the holy alliance of the NARS (National Agricultural Research System) supported well by the policy makers, International Agricultural Research Centers such as CIMMYT and IRRI, and above all our highly intelligent and hardworking farmers.
The green revolution enabled us to feed our population, which is still increasing @ 1.6%. At one time, we were importing more than 10 million tons of foodgrains under PL-480. During past 50 years, we have witnessed unprecedented progress, increased agricultural production at growth rate of 4.5%. Yet the concern is of economic and ecological access to food. Unfortunately, we have not been able to increase buying power, which is why the poverty issue is of major concern.
In the past five decades, there had been steady rise in the prices of most of the industrial products. On the contrary, in agriculture, prices of foodgrains have shown a declining trend, which made the life easier for our people. We have also been able to reduce poverty by 40%. At the same time, life expectancy got doubled from 32-64 years since we became independent. We are aware that despite all these achievements, there are new concerns globally. MDGs (Millennium Development Goals) have drawn our attention towards eradication of poverty and environmental sustainability. Unfortunately, the extreme poverty resides in South Asia. We cannot feel proud on this account despite having done much better on food front. We need to ensure better income for our people and see that they are above poverty line and have easy access to food.
The present global concerns are about 180 million children severely underweight for their age, over 800 million chronically undernourished children, 400 million women of child bearing age being anemic and over 200 million children being vitamin A deficient. Thus, nutrition security has become a major concern which need to be addressed. Also the poverty concentration is maximum in the South Asia. Yet the donor organizations appear to be laying major emphasis on Africa. Asia is not taken seriously just because we had witnessed Green Revolution. Though around 200 million people are still below poverty line (getting less than dollar a day), yet our per capita calorie consumption is higher than many countries in Africa and parts of Latin America. At the same time, we need to move forward from present availability of around 2000 kcal per person to a level of about 2500 or 2800 kcal. This would demand an expansion of our food basket so as to reduce dependence on cereals. We have also been experiencing factor productivity decline on account of second generation problems of Green Revolution such as: salinity, lowering of water table and increased incidence of pests and diseases.
Lately, due to policy changes, the buffer stocks have also depleted. From over 58 million tons in 2002, our buffer stocks went down to almost 15 million tonnes. Due to global decline in production of foodgrains, the prices per ton of wheat and rice had touched all time high ($400 for wheat and $900 for rice) by late 2008. This has obviously affected the consumers badly.
Lately, the foodgrains are also being diverted as feed, thus making their availability even more difficult. We in India are fortunate due to being vegetarian. Our protein demand is mainly through pulses, vegetables and fruits and not meat. Lately, USA is diverting its maize production to the level of 33% towards bio-fuel production, which appears to be ethically wrong.
Climate Change is also affecting us. It is known that from 1920 to 2000, average global temperature has risen by almost 1 degree, which is expected to rise by another 4 degrees if no corrective measures are taken. Imagine what will happen if that really happens. Impact of climate change is now real. Emission of green house gases (GHG), leading to global warming, more intense tropical cyclones, faster wind speeds and heavy precipitation are all a reality. Contraction of Himalayan glaciers by almost 17 kms in the last 10 years is another reality. As stated earlier, the world cereal production has also been affected adversely in the recent past due to drought in Australia, Canada, US and other developing countries. Recent studies predict that 2250 million tons of cereals will be produced this year but most of this increase is going to be from the developed countries.
In India, the prices are going up, buffer stocks are depleting and imports from developed world are on rise. We must, therefore, think seriously to remain self sufficient. As such, the subject of this seminar to have self-sufficiency at the national level is indeed very important.
We had to import wheat in 2007-08, for the first time after Green Revolution period. We produced around 4 to 5 million tons of wheat each year for over a decade upto 2002. Somehow, during the last 6-7 years, our production has remained stagnant. Fortunately, the minimum support price (MSP) for wheat was increased from Rs. 750 to Rs. 1000 per ton in 2007, which resulted in increased wheat production by almost 3 million tons just in one year. So, the issue of sufficient production and self sufficiency depends on right policies. In recent years, demand for other commodities is growing much faster than cereals, which is a fairly good sign.
We need to reorient our research for development strategy through twin pillar approach. This will require a paradigm shift of not only having germplasm improvement (good varieties and hybrids) but also improved natural resource management. Also we need to consider socio-economic aspects and policies around diversification of agriculture.
It is a matter of concern that over the years, the use of germplasm for breeding new varieties of different crops has gone down. This trend is rather global and that's why a global initiative on plant breeding has been initiated by FAO through the support of Gates Foundation with the aim to reverse this trend. It is apparent that some complacency in plant breeding has come. It is because people thinks that biotechnology can solve all the problems. It is important to understand that biotechnology can supplement but can not replace plant breeding efforts. In eighties and nineties, Indian wheat program recorded an annual genetic gain of one per cent per annum. Lately, this is stagnating since release of variety PB-343. The challenge is how to improve the yield further. The same challenge is also now with The International Maize and Wheat Improvement Center (CIMMYT). In this context, advances through hybrid technology are encouraging. Our scientists both in public and private sector came forward to give hybrid technology first in to the world in cotton, pearl millet, castor and pigeonpea.
In case of rice, China was first to release hybrids which now covers 53% area giving more than 58% rice production. An yield gain of 1 t/ha could be achieved through this technology. Now China is developing super hybrid rice targeting yield level of 15 t/ha. This kind of effort is needed in India where rice productivity is still below 3 t/ha. Private sector can play a major role, since public sector has not been able to deliver expected output in case of hybrid seed production. We have 42 million hectare area of rice but hybrid rice area is only 1.2 m ha. Hence, we need to move forward. In the USA, single cross hybrid maize technology provided higher productivity (7 to 8 tons). The Bt hybrid maize can now yield upto 12 tons/ha. Hence, through new technologies are available yet there is need to make available the seeds of these hybrids to the end users.
It was for this reason, a mission project on hybrids was initiated under the National Agricultural Technology Project (NATP), which resulted in the release of single cross hybrids of maize for the first time. As a result, our maize production doubled in last one decade. However, the area under hybrid maize, particularly single cross and quality protein maize (QPM) hybrids, is much low. Why can't it be 70 - 80%? Why is it still 25%? We need to understand the reasons and move forward. For this, we need to strengthen Public Private Partnership (PPP).
PPP is essential for future growth in agriculture. For this, we need to provide enabling environment and government should come out with proper policies and incentives to be put in place for those who perform. There is an obvious need for building mutual trust. This is indeed a grey area for which we need to sit across the table and discuss successful models of PPP and have better understanding. Currently, total acreage under GM crops is around 140 m ha. Presently in India, we have only Bt cotton. In Philippines, Bt corn has already been released as a food crop. Recently, in India, both Bt brinjal and Bt corn have been permitted for field tests. In future, I do not know whether there will again be a resistance for acceptance of transgenic technologies. In any case, these technologies are required in country's interest. Even the Europeans are importing Bt cotton, soyabean and corn for use as animal feed. I don't know why there should be any concern for release of GM food crops in India, if testing procedures are in place. Partnership of Mahyco with Monsanto coupled with enabling environment created by ICAR (Indian Council for Agriculture Research) and DBT (Department of Biotechnology) both for testing and release led to release of Bt cotton in India. In last 5 years, area has increased from no where to around 8 m ha under Bt cotton. In my opinion, there is no better example than this for such a faster adoption anywhere in the world. As a result, the cotton area increased, production almost doubled and productivity also increased. Currently, cotton export alone is fetching India worth 1.4 billion dollars per year. Before Bt cotton technology, we practically had no tangible cotton export.
There is another approach for enhancing food and nutrition security. This is new area - new crop approach. We all know that both rice and sugarcane were not grown before in the north. Groundnut was not grown in Gujarat, which is currently number one state. Potatoes were not grown in the Indo-Gangetic plains before. Maize in eastern India now gives more than 8 to 10 tons of productivity. Chickpea, a crop of North India, can now be grown in Tamil Nadu because of short duration varieties. So, the research has led to a number of achievements in different commodities and crops. For example, pigeon pea is being grown in North and West, due to release of hybrids and short duration varieties. Niche for soyabean could be found in Madhya Pradesh which is now number one oilseed crop in the country. Dr. Barwale raised a very pertinent point as to why we are exporting soyabean which can otherwise help in ensuring nutritional security. Therefore, until we make use of it as a food source, we better continue with current export of soybean meal worth over US$ one billion per annum.
Finally, we need to move forward and do research in up-stream areas of strategic importance. We have to make sure that our knowledge gets translated into products that can benefit the end users. This is what we call translational research for which we need to work with the farmers in a participatory mode, as was demonstrated through Integrated Pest Management (IPM) in rice in Indonesia. This led to increased rice production and decline in pesticide consumption by 50% within 5 years. We have to understand the problems of our farmers and integrate their traditional knowledge with that of the scientific one. We have to make sure that they are able to use their resources judiciously; just alternate furrow irrigation in cotton can reduce water use by 30%. We need innovative technologies. A decade ago no one thought that in rice-wheat production system one could use zero-till drill and have conservation agriculture. Today, over 2 m ha area in the Indo-Gangetic plains is under zerotill. This success could be extended to a potential area of 8 m ha under rice-wheat in India.
My mention of all these is to convey that we should look for newer options such as precision farming, which is possible through efficient farm mechanization. Farmers are even adopting lazer leveling to improve water use efficiency (WUE). That's where again private sectors role becomes important.
Somehow, over the years, our extension system has also become weak. The dissemination losses are higher due to less competent people involved in extension services. In this context, private sector can again play an important role. For example, establishment of agri-clinics through creation of technology agents who can provide much needed them vocational training for much needed custom hire services to the farmers is an important aspect. The role of NGOs is also to be encouraged in this regard.
It is indeed heartening that recent World Bank report has clearly brought out that there can not be sustained and inclusive development unless high priority and required funding support is given to agriculture. Fortunately, therefore, agriculture has come again up-front despite being neglected in the recent past. We definitely need more capital investment in agriculture, as we did soon after independence. We created a lot of good infrastructure like highest dam, longest canal, best fertilizer factories in the co-operative sector, markets/mandis and so on. This could be possible since almost 18% of our GDP was spent for capital investment. Unfortunately, over the last 2 decades, this support has declined to almost 9%. Now we expect the private sector to come forward in building the much needed infrastructure. For this, Government has also to provide enabling environment to catalyse the private sector.
India is also blamed for providing subsidy to our farmers. It must be understood that agricultural subsidy in India is linked to productivity, whereas in the developed nations much higher support is provided for storage, marketing and also the export. Our subsidy is currently, around 6.5%, whereas, upto 10% is acceptable limit by the World Trade Organisation (WTO). Hence, needed support to resource poor farmers must continue in the overall interest of our nation.
Let me conclude by stating that we need not be complacent. We need to continue scaling up our efforts both up stream and out stream. We have to see that technologies reach quickly to the end users. We must build stronger partnership among public and private institutions to ensure this goal. For this, we need policy makers to provide enabling environment and needed support to catalyse the process as a matter of high national priority. All these will help in accelerating much needed productivity growth in agriculture to achieve both food and nutrition security on a long term basis.
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Kindly find attached an article entitled _________ by Dr. R.S. Paroda for your information and use.
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PERSPECTIVESONTHENEWS
World Congress on Insulin Resistance, Diabetes, and Cardiovascular Disease
Part 2
ZACHARY T. BLOOMGARDEN, MD
his is the second of four reports on the 8th Annual World Congress on Insulin Resistance, Diabetes, and Cardiovascular Disease (WCIRDC), 4–6 November 2010, Los Angeles, California.
GENES AND INSULIN
RESISTANCE—Robert Lane (Salt Lake City, UT) discussed the association of early life stresses with heart disease, cancer, Alzheimer's disease, renal disease, and diabetes, leading causes of morbidity and mortality in the U.S. The most common stressor, intrauterine growth retardation (IUGR), is strongly associated with insulin resistance (IR) and with cardiovascular disease (CVD). The classic example of this phenomenon comes from study of the Dutch famine at the end of World War II, which occurred during a 5-month period when the Nazi occupiers retaliated for a railroad strike. Caloric intake dropped from 1,800 to 600 per day and after liberation increased to .2,000. The Dutch Famine Birth Cohort Study found that in utero exposure during the first trimester led to CVD, hypertension, dyslipidemia, and obesity; exposure during the second trimester to pulmonary disease; and exposure during the third to diabetes, depression, schizophrenia, and antisocial personality disorder, leading Lane to conclude that "there isn't a very simple relationship between early life stressors and disease." Subsequent studies have examined the effect of ponderal index (weight-height relationship at birth) on adult insulin sensitivity. In Uppsala, Sweden, men in the lowest quintile of the ponderal index had increased likelihood of IR at age 60 years. Lane pointed out that that in the U.S., 12.5% of infants are now born prematurely so that adult complications of prematurity " are going to start hitting your practices. " Prematurity is associated with neurodevelopmental delay, attention de fi cit disorder, sudden infant death syndrome, chronic lung disease, CVD, and many other conditions. The likelihood of hypertension in young adulthood is strongly related to prematurity, adjusted for current BMI, maternal age, parity, parental education, and occupation.
A mechanism for the effect of IUGR involves cell number effects, with abnormal differentiation of neural stem cells, proliferation of lung mesenchymal cells, and increased nephron apoptosis during formative stages. Another potential explanation is found in concepts of epigenetics, a notion of maternal imprinting leading to developmentally regulated gene expression, with implications for adaptation to theenvironment.DNA should,Lanenoted, be considered three dimensional rather than linear. Lane pointed out that DNA is compacted through its association with histone proteins to form nucleosomes embedded in chromatin, with cofactors increasing or decreasing transcription, involving histone coding. There are eight histones for every 200–250 DNA base pairs, each having a "tail" that can be acetylated or methylated, changing rates of gene transcription during life, with all these modifications potentially "storing [epigenetic] information in your chromatin structure."
Insulin-like growth factor (IGF)-1 control may be seen as a paradigm of epigenetic perinatal adaptation, with levels affected by IUGR and other early life events. IGF-1 is involved in a number of postnatal processes affected by early life
Zachary T. Bloomgarden, MD, is a practicing endocrinologist in New York, New York, and is affiliated with the Division of Endocrinology, Mount Sinai School of Medicine, New York, New York. DOI: 10.2337/dc11-0936
© 2011 by the American Diabetes Association. Readers may use this article as long as the work is properly cited, the use is educational and not for profit, and the work is not altered. See http://creativecommons.org/ licenses/by-nc-nd/3.0/ for details.
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events, including IR, obesity, and chronic lung disease. The IGF-1 gene is relatively simple, with 6 exons. Alternative RNA transcripts from exon 1 or exon 2 with or without transcripts of exon 5 lead to several related IGF-1 proteins. IUGR affects the IGF-1 histone 3 code along the length of the gene (1), appears to involve modulation of levels rather than simple on/off effects, and shows a degree of sex variability.
Several early life epigenetic biomarkers have been used to predict later life disease. In another study of Dutch famine offspring at age 60 years, levels of interleukin-10, ATP binding cassette transporter 1, guanine nucleotide binding protein, and other markers were elevated and levels of proteins formed by insulin induced genes were reduced. DNA methylation levels were higher in offspring of supplemented than in offspring of unsupplemented mothers. Another study of IUGR showed hepatic nuclear factor (HNF)-4a effects. In a study of suicide victims with and without childhood abuse, the former had increased localized neuronal DNA methylation. Almost all dietary components can change DNA methylation,includingcalorieandmacronutrient content. Learning how epigenetic changes are used to integrate early life stressors will shed light on the mechanism by which genes generate a continuum of responses, but it will require great caution to develop epigenetic treatment approaches, recognizing that increasing the expression of a "good" gene may have unrecognized effect on "bad" genes. At present, Lane continued, "our technology limitsustojustlookingatverysimplethings, but there's a wealth of information . . . if we just learn how to mine it."
Jerome Rotter (Los Angeles, CA) discussed the genetics of diabetes and of IR. Among monozygotic twins, the concordance of type 1 diabetes is 33–50% and that of type 2 diabetes 90%. The risk of type 2 diabetes is 7–14% if one parent is affected but 50% with two parents. Siblings are threefold more likely to develop type 2 diabetes. The Maturity Onset Diabetes of the Young (MODY) autosomal care.diabetesjournals.org
dominant disorders account for 1–5% of diabetes and are caused by a variety of genes affecting insulin secretion. Rotter noted that h 2 , a measure of the proportion of phenotypic variation in a population attributable to genetic variation, has been reported to range from 17 to 53% for fasting insulin and from 25 to 76% for insulin sensitivity, with h 2 of 58% for insulin clearance. These genetic variations in insulin levels and action are in turn associated with obesity, polycystic ovary syndrome, nonalcoholic steatohepatitis, CVD, and hypertension. A number of candidate genes have been studied. There are rare mutations in peroxisome proliferator– activated receptor (PPAR)g causing monogenic diabetes, but the common Pro12Ala polymorphism is also associated with type 2 diabetes, with the more common Pro allele increasing diabetes risk. A group of linked lipoprotein lipase alleles termed haplotype 1 is associated with insulin sensitivity, while haplotype 4 is associated with IR (2). Another linkage is with the Calpain10 (CAPN10) gene (3,4), with the haplotype 112 polymorphism associated with IR and also with decreased insulin secretion.
A genome-wide association study (GWAS) involves rapidly scanning markers across the complete genomes of many people to find genetic variations associated with a particular disease. A number of such studies have been carried out over the past 5 years. Although there are 10,000,000 single nucleotide polymorphisms (SNPs) in the genome, 500,000 SNPs are sufficient to recognize 80% of variants, using haplotype/linkage disequilibrium analyses to capture variations in inherited groups of genes because not all genes are inherited independently (5). In 2007, six different GWASs for type 2 diabetes analyzed, in aggregate, 19,000 individuals (6,7), identifying 12 genes, most of which were related to the b-cell. Two of the genes were related to IR, PPARG, and the fat mass and obesity associated gene (FTO). The effect of FTO is expressed through increased BMI, and its gene products may influence appetite (8).
With the availability of multiple GWASs, meta-analysis has been used to combine information across datasets (9), imputing approximately 2 million SNPs that were not genotyped by making use of sequencing data from the Human Genome Project. With this approach, six additional loci were identified, none of which were related to IR, leading to the supposition that IR is necessary but not care.diabetesjournals.org
sufficient and that the majority of individuals with IR will not have diabetes so that only with loss of b-cell compensation will diabetes occur (10). This concept does not, however, imply that IR is not under genetic control. The IR locus IRS1 (11) and loci in the TCF7L2, CDK5 regulatory subunit associated protein 1-like 1 (CDKAL1), and Wolfram syndrome 1 (WFS1) genes have all been found with such studies. Another approach has been to carry out GWAS using fasting glucose, rather than the presence of type 2 diabetes, as the marker. With this approach, the glucokinase regulator (GCKR) gene was found to have polymorphisms associated with IR, although oddly with lower triglyceride levels; another gene is the melatonin receptor 1B gene (MTNR1B) (12). A meta-analysis of fasting glucose, homeostasis model assessment (HOMA) of b-cell function, fasting insulin, and HOMA of IR in 46,186 nondiabetic individuals, replicated in 76,558 individuals from 21 GWAS, identified nine loci for fasting glucose and one related to fasting insulin and HOMA of IR near the IGF1 gene (13). Further study led to identification of 12 genes, identifying 1 related to IR, Kruppel-like factor (KLF) 14, a transcription factor acting via maternal but not paternal inheritance. Rotter observed that fasting insulin reflects physiologic processes other than IR and so is a relatively crude measure, with heritability less than that for insulin sensitivity based on the minimal model analysis of the intravenous glucose tolerance test (14). The dilemma is the difficulty of direct measurement of insulin sensitivity, but Genetics Underlying Diabetes in Hispanics (GUARDIAN) is being undertaken to perform a GWAS to detect loci underlying variation in glucose homeostasis traits in a multicohort pedigree-based set of 4,685 Hispanics, with reports planned to be available during the coming year.
Philippe Froguel (London, U.K.) discussed genetic variations contributing to IR, discussing the concept that currently "all diabetics are treated the same" but that "personalized medicine approaches" are required in diabetes, which will require stratifying patients, eventually using genetic analysis (15). GWASs have, Froguel noted, discovered a great many genes associated with modest increase in diabetes risk. Some of these genetic variants are associated with IR, most via effects on obesity, but most appear to act on insulin secretion. Furthermore, he pointed out, the GWAS results pointing to the IRS1 locus
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appear to be derived from variants located ;500 kb upstream, although associated with decreased basal muscle insulin receptor substrate (IRS)-1 protein, and with impaired insulin-stimulated muscle phosphatidylinositol 3-kinase (PI3K) activity, without effect on insulin secretion (11). The locus near the melatonin receptor (12) is, he said, of interest given the association between changes in diurnal cycles and IR. Discussing GWAS for fasting glucose, he noted that GCKR is associated with C-reactive protein levels and therefore may be related to IR as well. Genetic susceptibility to type 2 diabetes may be modified by obesity status so that BMIbased case selection may help to find more type 2 diabetes loci; interestingly, the TCF7L2 effect size is greater in lean than in obese individuals. Another approach being carried out is analysis of cosegregation of alleles associated with diabetes among family members; such analyses have been carried out in MODY.
C. Ronald Kahn (Boston, MA) received the Distinguished Leader in Insulin Resistance Award of the WCIRCD and discussed aspects of the development of IR. There are, he said, more than 10 IRS proteins in the insulinsignalingpathway,which activate PI3K, producing phosphatidylinositol (3–5)-trisphosphate, as well as activating the Akt family. Considering these three nodes, each one with alternate isoforms, regulatory peptides, and other controls, gives .1,800 potential combinations, some leading to glucose uptake and others to lipid synthesis or having alternative metabolic effects, expanding on the possibility brought up by Reaven (see Part 1 of this report [16]) that insulin sensitivity or resistance occurs to different extents in different tissues. Other pathways exist as well: the Ras/mitogen-activated protein kinase pathway, the CAP/cbl pathway regulating muscle and adipose tissue glucose uptake, and some twenty other less wellunderstood proteins, some of which are involved in the function of the cellular calveolar system. Other proteins deactivate the cascades initiated by insulin, such as protein tyrosine phosphatase 1-B, sirtuins, and mitogen-activated protein kinase phosphatase 4, "so when you put all of this together we have an enormously complicated challenge." Further, Kahn commented, "we need to put [this]. . . in the context of cell-to-cell communication." Adipocytes are associated with inflammatory macrophages, with both secreting cytokines activating receptors at distant sites, particularly skeletal muscle and liver. Adipocyte free
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fatty acid release activates the lipid-sensing Toll-like receptor 4, increasing intracellular diacylglycerol. "Andthen," Kahnsaid, "there are other things going on," with mitochondrial effects, including the unfolded protein response–producing X-box–binding protein 1, occurring "in different ways in different parts of the body . . . in different forms, in different subforms." The b-cell and vascular endothelial cells can exhibit IR, as well, leading to changes in macrophage and leukocyte binding and to central nervous system change in the control of appetite regulation, energy balance, reproduction, and the response to hypoglycemia. All of this depends on insulin signaling.
Kahn described his studies to selectively reduce or eliminate the activity of specific genes in specific tissues as follows: "to look at what is IR one tissue at a time, or one pathway at a time." Liver insulin receptor knockout (LIRKO) mice have no insulin signaling in liver and have a metabolic phenotype of hepatic IR (17), with the liver resembling that of type 1 diabetes, having increased activity of gluconeogenic enzymes phosphoenolpyruvate carboxykinase (PEPCK) and glucose-6-phosphatase, while glucokinase and L-pyruvate kinase activities are decreased. The IRS proteins are differential mediators of insulin action in liver, with IRS-1 activating PI3K and in turn leading to activation of Akt and stimulating PEPCK, resulting in increased gluconeogenesis. Lipid synthesis depends both on IRS1 and IRS2, requiring not only Akt but also the atypical protein kinase C proteins l and z, whose differential levels of activity may promote different phenotypes. Considering the relative roles of IR versus hyperinsulinemia in dyslipidemia, Kahn discussed analyses of the LIRKO mouse, which fails to express hepatic insulin receptors, making the insulin level irrelevant (18). This model has lower cholesterol and triglyceride than controls but exhibits gene-environment interactions, with marked increase in cholesterol levels and elevations in VLDL and small dense LDL cholesterol on a high-fat diet and with low HDL in association with acceleration of atherosclerosis. The fact that this model of hepatic IR leads to hepatic steatosis and gallstone formation is, Kahn said, "a key component," although he noted that "it's not enough to lead to the hypertriglyceridemia."
It is interesting that the relationship between obesity and IR is imprecise; at a BMI of 30 kg/m 2 , some individuals have
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high while others have low insulin sensitivity. Similarly, one can compare C57BI/6 (insulin-resistant) and 129S6/SvEvTac (insulin-sensitive) mouse strains (19). "If," Kahn said, "we could figure out the gene [differences] between these two mice we could turn on and off diabetes and metabolic syndrome." Quantitative trait locus analysis of insulin in F2 intercross mice from both strains shows strong association of insulin sensitivity with a locus on chromosome 14 containing the protein kinase C (PKC) d gene. Indeed, if PKCd is overexpressed in the insulin-sensitive mice, glucose tolerance worsens, while eliminating PKCd expression in the insulin-resistant strain improves glucose tolerance. PKCd overexpression causes fatty liver, and its suppression eliminates hepatic fat. PKCd increases serine phosphorylation of IRS1 while decreasing its tyrosine phosphorylation, leading to decreased downstream Akt phosphorylation. PKCd , then, appears to be an important negative regulator of insulin signaling (20). As this nuclear receptor is expressed in every tissue, it may be a potential therapeutic target, with PKCd inhibitors having benefit in disease. Kahn cited studies showing benefit in cardiac disorders.
Kahn went on to suggest that "deconvoluting the role of diet and the environment in metabolic syndrome. . .is the next frontier." He described dietary fat, whether saturated or unsaturated, trans fat, n-3 or n-6, and dietary carbohydrate, high fructose, and high glycemic index as "the big groups," suggesting that an important approach is to begin "looking at individual components." Leucine is, he noted, the most abundant dietary amino acid. A branched-chain amino acid, its metabolism is altered in diabetes and metabolic syndrome, and he reviewed evidence that supplementation with such amino acids may worsen insulin sensitivity, while high-protein diets appear to improve insulin sensitivity. In addition to its nutritive properties, leucine has signaling properties, activating mammalian target of rapamycin (mTOR) and the 70-kDa ribosomal S6 kinase (p70S6 K), both of which alter insulin signaling. Kahn reviewed a study comparing control, high-fat, and high-fat-plus-highleucine diets. Weight increased similarly with both high-fat diets, but the degree of impairment in glucose tolerance was markedly attenuated by adding leucine. mTOR and p70S6 K were activated, but insulin sensitivity improved, with parallel increases in IRS1 and Akt phosphorylation, improvement in fatty liver, and decreased adipose tissue in fl ammation, suggesting that leucine supplementation positively alters insulin signaling and may be bene fi cial in human disease.
IR AND OBESITY—Tracy McLaughlin (Stanford, CA) discussed the relationships of fat mass and distribution to IR, with evidence from human studies supporting some of Kahn's points. There is a generally positive association between BMI and IR but with a great deal of variability. Of those with BMI ,25 kg/m 2 , 54% are in the most insulin-sensitive tertile; 24% of those with BMI 25–29.9 kg/m 2 are insulin-sensitive, as are 11% of those withBMI30–34.9kg/m 2 .Conversely,inthe most obese group, with BMI $35 kg/m 2 , 40% are not in the lowest insulin sensitivity tertile. One must conclude that "all obese are not alike." In a study of 221 obese individuals, those with the greatest degree of IR had higher blood pressure, triglyceride, fasting and 2-h glucose, and lower HDL cholesterol (21). "If you want to treat obesity," she suggested, "at least identify this high-risk group" with IR; the dilemma is our lack of clinical tools to accomplish this. Interestingly, not only is IR greatly ameliorated with weight loss (22) but, comparing those who are insulin-resistant with those who are insulin-sensitive, it is the former who show the most pronounced metabolic improvements with weight loss (23).
Christopher Gardner (Stanford, CA) noted that weight loss with diet tends at best to be modest, ;5 kg after 1–2 years, with poor long-term adherence. He asked, which diet is best for weight loss in insulinresistant individuals: low fat or low carbohydrate (CHO)? Many existing studies are small in size, are short (3–6 months) in duration, and have high dropout rates. Several larger recent studies, however, give insights that may allow the development of better approaches. A study compared four different diets among 811 individuals, of whom 645 completed the trial; adherence was relatively poor, with ;6 kg weight loss at 6 months but ;3 kg weight loss at 2 years (24). There was no difference between high- and low-fat diets, leading one to initially interpret the data as implying, "just focus on calories." In a 2-year trial enrolling 322 moderately obese individuals, a low-fat calorierestricted diet was least effective, while a Mediterranean restricted-calorie diet and a nonrestricted calorie-low CHO diet were care.diabetesjournals.org
more effective in weight loss, with greatest lipid benefits on the Mediterranean diet and, among diabetic patients, greatest glycemic and insulin-lowering effects on the low CHO diet (25). Gardner's group used diets varying from very low to very high CHO in 311 overweight premenopausal women (26). Again, there was not "a lot of weight loss in any group," but the lowest CHO group did best. When 21% fat and 63% CHO diets were compared with 55% fat and 17% CHO diets, participants were able to maintain the low CHO intake, leading to greater weight loss. There was, however, extreme heterogeneity in response at 12 months in his study. Gardner suggested this to be particularly important if one considers the heterogeneity of insulin sensitivity among obese individuals, considering whether one should recommend different diets for different patient characteristics. In Gardner's study, characterizing patients by fasting insulin tertile, the most insulin-sensitive group did equally well on low-CHO and low-fat diets, while in the more insulin-resistant group the low-fat high-CHO diet lessened weight loss.
A number of additional observations suggest that characterizing patients by insulin sensitivity may predict response to diets of different composition. In a study of 73 obese young adults with intensive dietary intervention for 6 months and subsequent 12-month follow-up, those with higher insulin concentration at 30 min after oral glucose had greater 18-month weight loss and reduction in body fat with a low–glycemic load diet than with a low-fat diet, while weight loss was similar with the two diets in those with lower insulin response, suggesting that insulinresistant individuals may particularly benefit from a low-CHO diet (27). HDL cholesterol and triglyceride levels improved more on the low-CHO diet, while LDL cholesterol decreased more with the low-fat diet. This difference between lowfat and low-CHO diets was confirmed in a metabolic ward study, with insulinsensitive individuals losing more weight on the former and insulin-resistant individuals losing more on the latter diet so that the concept of "focus on calories" may require reassessment with better patient characterization (28). Greater weight loss among overweight individuals with high 30-min insulin levels on low– glycemic load diets and a trend to greater weight loss with low 30-min insulin levels on a high–glycemic load diet were also reported in a study finding no predictive care.diabetesjournals.org
effect of fasting insulin using the IR index of HOMA measure (29). In a study of 181 participants in Gardner's study, greater dietary adherence was (as expected) associated with greater weight loss (30), but interestingly insulin-resistant and -sensitive individuals had similar adherence on the low CHO diet, whereas the insulinresistant patients had lower adherence to a low-fat high-CHO diet. Gardner pointed out that the low-fat high CHO diet resembles that given in U.S. national dietary recommendations, noting that insulin-resistant individuals may find it inherently more difficult to adhere to such a diet or, alternatively, that realizing that they do poorly on such a diet, they fail to follow it.
In the Quebec Family Study, individuals with higher 30-min insulin levels had greater 6-year weight gain when following a low-fat high-CHO diet but not with higher dietary fat (31). Gardner reviewed further studies showing differences in gene profile comparing those doing better with low-fat versus low-CHO diet. In these analyses, all four diets were similar in overall weight loss but there appeared to be a low-CHO diet-best genotype and a low-fat best genotype, with a sixfold difference in weight loss (1–2 vs. 6 kg), retrospectively comparing individuals assigned to the genetically incorrect versus correct group. "This story will only expand," he noted, as more genetic markers are identified, allowing us to identify relevant dietary macronutrient compositions for specific individuals so that it will not be "only calories." Is there a threshold or is there a continuous response to gradations in dietary CHO? Is low CHO (or low fat) ,40, ,30, or ,20%? What of different types of CHO, different fiber content, saturated versus poly- versus monounsaturated fats, and fish oil? All of these factors will need to be better understood in accurately devising appropriate dietary strategies for different individuals, but crucial, Gardner suggested, will be the realization that "diets work differentially" related to IR and to genetic predisposition. An interesting suggestion by Reaven was that insulin-resistant individuals on highCHO diets may develop hyperinsulinemiainduced sodium retention.
Walter Pories (NC) discussed bariatric surgery and the mechanisms underlying resolution of diabetes after such procedures. He reviewed 16-year data with 95% follow-up of 608 patients who lost from 211 to 317 pounds. Approximately 20% had type 2 diabetes, and another 20% had
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IGT; after a mean follow-up of 9.4 years, 83 and 99%, respectively, were euglycemic. Such findings have, Pories stated, been confirmed by a number of studies (32), and medication requirements for other obesity-related conditions also decrease after surgery, with improvement in urinary incontinence, sleep apnea, and many other abnormalities occurring at different time rates. Pories cited further studies suggesting that operated individuals have reduction in malignancies, infections, musculoskeletal symptoms, and CVD (33).
Gastric bypass creates a very small gastric reservoir, delaying peptic emptying, with undigested food in the distal small bowel increasing glucagon-like peptide (GLP)-1 and peptide YY levels. Other factors potentially related to weight loss include reduction in the admixture of food with biliary and pancreatic secretions and changes in gastric secretion and in levels of gastric-derived peptides. Of procedures currently in use, bypass is of greater efficacy than gastric restriction (34).
Addressing the question of danger of surgery, Pories acknowledged that procedures carried out in the past were not safe and that "you do have to take care of these patients," noting that some hospitals fail to have acceptable quality control. The Surgical Review Corporation was created to certify Bariatric Centers of Excellence, and major insurers currently will not reimburse procedures performed by hospitals not in the program. Mortality rates at 30 and 90 days are 0.09 and 0.11%, which are below the 3.5% level following coronary artery bypass grafting and the 0.3% level following hip replacement and comparable with the 1% level after labor and delivery (35). Pories commented that surgical mortality should be seen as an important indicator of quality (36) and reviewed a comparison of 154 individuals undergoing gastric bypass with 78 refusing operation, showing overall and 1-year mortality of 9 vs. 28% and of 1 vs. 4.5% per year, respectively. Of course, he acknowledged that "none of these are prospective randomized trials."
Weight regain is usually, he suggested, a technical problem caused by gastro-gastric fistula, stretched pouch, or a short intestinal limb, although occasionally patients have emotional problems causing weight regain. Early complications are those of all surgical procedures, including bleeding and infection, but specific late complications include nutritional
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deficiencies, emotional problems, and internal hernias. Pories concluded that bariatric surgery should be recommended for individuals with BMI .35 kg/m 2 with comobidities or .40 kg/m 2 without comorbidities, pointing out that currently only 1% of eligible patients have the surgery.
Of course, one must realize the caveats to Pories' position. Allocation bias is likely in analyses comparing individuals choosing to have surgery with those who chose not to have surgery. There are likely to be unmeasured differences including health care insurance, social support, education, and overall willingness to adhere to medical recommendations, all of which can be of major importance in outcome, particularly when long-term follow-up is incomplete with overrepresentation of successful patients. In a recent study giving median 13-year outcomes of laparoscopic banding, only 82 of 151 operated patients had adequate follow-up, of whom 22% had minor and 39% major complications, the latter including 28% with band erosion, with a 60% reeoperation rate and neutral benefit in quality-of-life score (37). In another study, suicide rates following bariatric surgery were found to far exceed age- and sex-matched rates, with the majority of events occurring after 6 months (38); although not necessarily related to the surgery, it is clear that we need more information before recommending that these procedures be carried out more often, as Pories seemed to recommend.
Sun Kim (Stanford, CA) discussed b-cell function after gastric bypass, reviewing the rare condition of hyperinsulinemic postprandial (but not fasting) hypoglycemia (39). This typically occurs several years after gastric bypass and results in significant hypoglycemia with neuroglycopenia, having been reported in ;50 patients. A recent Swedish registry found hypoglycemia requiring hospitalization in 9 of 5,040 patients who had gastric bypass and in no patients after restrictive procedures (40).
Initial suggestions that the condition is caused by nessidioblastosis, based on a report of six patients with islet cell enlargement and dysplasia with b-cell budding from ductal epithelium (41), have been reinterpreted by others to suggest that the b-cell enlargement found in these patients correlates with the degree of obesity (42), implying that after gastric bypass the b-cell does not compensate for the improvement in insulin sensitivity. Kim reviewed her study comparing
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patients after gastric bypass with and without hypoglycemia and with nonbypass control subjects in the lowest, intermediate, and highest insulin-sensitivity tertiles (43). After a glucose load, both bypass groups had hyperinsulinemia, with higher peak glucose and lower glucose nadir and with one-third of bypassed patients showing post–glucose load hypoglycemia, the latter proportional to the degree of the glucose peak; this relationship was not seen in obese nonoperated control subjects. Symptomatic hypoglycemic patients appeared to show a pattern similar to that of insulinsensitive control subjects (44), suggesting that there is no intrinsic b-cell abnormality. Interestingly, she found elevated levels of GLP-1, perhaps explaining some aspects of the patients' hypoglycemia; other studies after gastric bypass also show progressively earlier peak glucose and peak insulin over time, with higher peak levels of GLP-1 (45). Why some individuals develop profound symptomatic hypoglycemia after gastric bypass is, however, unclear.
Acknowledgments—Z.T.B. has served on speaker's bureaus of Merck, Novo Nordisk, Lilly, Amylin, Daiichi Sankyo, and GlaxoSmithKline; has served on advisory panels for Medtronic, Takeda, Merck, AtheroGenics, CV Therapeutics, Daiichi Sankyo, BMS, and AstraZeneca; holds stock in Abbott, Bard, Medtronic, Merck, Millipore, Novartis, and Roche; and has served as a consultant for Novartis, Dainippon Sumitomo Pharma America, Forest Laboratories, and Nastech. No other potential conflicts of interest relevant to this article were reported.
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26. Gardner CD, Kiazand A, Alhassan S, et al. Comparison of the Atkins, Zone, Ornish, and LEARN diets for change in weight and related risk factors among overweight premenopausal women: the A TO Z Weight Loss Study: a randomized trial. JAMA 2007; 297:969–977
27. Ebbeling CB, Leidig MM, Feldman HA, Lovesky MM, Ludwig DS. Effects of a lowglycemic load vs low-fat diet in obese young adults: a randomized trial. JAMA 2007;297:2092–2102
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28. Cornier MA, Donahoo WT, Pereira R, et al. Insulin sensitivity determines the effectiveness of dietary macronutrient composition on weight loss in obese women. Obes Res 2005;13:703–709
29. Pittas AG, Das SK, Hajduk CL, et al. A low-glycemic load diet facilitates greater weight loss in overweight adults with high insulin secretion but not in overweight adults with low insulin secretion in the CALERIE Trial. Diabetes Care 2005;28: 2939–2941
30. Alhassan S, Kim S, Bersamin A, King AC, Gardner CD. Dietary adherence and weight loss success among overweight women: results from the A TO Z weight loss study. Int J Obes (Lond) 2008;32:985–991
31. Chaput JP, Tremblay A, Rimm EB, Bouchard C, Ludwig DS. A novel interaction between dietary composition and insulin secretion: effects on weight gain in the Quebec Family Study. Am J Clin Nutr 2008;87:303–309
32. Makary MA, Clarke JM, Shore AD, et al. Medication utilization and annual health care costs in patients with type 2 diabetes mellitus before and after bariatric surgery. Arch Surg 2010;145:726–731
33. Christou NV, Sampalis JS, Liberman M, et al. Surgery decreases long-term mortality, morbidity, and health care use in morbidly obese patients. Ann Surg 2004; 240:416–423; discussion 423–424
34. Buchwald H, Estok R, Fahrbach K, et al. Weight and type 2 diabetes after bariatric surgery: systematic review and metaanalysis. Am J Med 2009;122:248–256, e5
35. DeMaria EJ, Pate V, Warthen M, Winegar DA. Baseline data from American Society for Metabolic and Bariatric Surgerydesignated Bariatric Surgery Centers of Excellence using the Bariatric Outcomes Longitudinal Database. Surg Obes Relat Dis 2010;6:347–355
36. Dimick JB, Welch HG, Birkmeyer JD. Surgical mortality as an indicator of hospital quality: the problem with small sample size. JAMA 2004;292:847–851
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37. Himpens J, Cadière GB, Bazi M, Vouche M, Cadière B, Dapri G. Long-term outcomes of laparoscopic adjustable gastric banding. Arch Surg. 21 March 2011 [Epub ahead of print]
38. TindleHA, Omalu B, Courcoulas A, Marcus M, Hammers J, Kuller LH. Risk of suicide after long-term follow-up from bariatric surgery. Am J Med 2010;123:1036–1042
39. Patti ME, McMahon G, Mun EC, et al. Severe hypoglycaemia post-gastric bypass requiring partial pancreatectomy: evidence for inappropriate insulin secretion and pancreatic islet hyperplasia. Diabetologia 2005;48:2236–2240
40. Marsk R, Jonas E, Rasmussen F, Näslund E. Nationwide cohort study of post-gastric bypass hypoglycaemia including 5,040 patients undergoing surgery for obesity in 1986-2006 in Sweden. Diabetologia 2010;53:2307–2311
41. Service GJ, Thompson GB, Service FJ, Andrews JC, Collazo-Clavell ML, Lloyd RV. Hyperinsulinemic hypoglycemia with nesidioblastosis after gastric-bypass surgery. N Engl J Med 2005;353:249–254
42. Meier JJ, Butler AE, Galasso R, Butler PC. Hyperinsulinemic hypoglycemia after gastric bypass surgery is not accompanied by islet hyperplasia or increased beta-cell turnover. Diabetes Care 2006;29:1554–1559
43. Kim SH, Liu TC, Abbasi F, et al. Plasma glucose and insulin regulation is abnormal following gastric bypass surgery with or without neuroglycopenia. Obes Surg 2009;19:1550–1556
44. Kim SH, Abbasi F, Lamendola C, Reaven GM, McLaughlin T. Glucose-stimulated insulin secretion in gastric bypass patients with hypoglycemic syndrome: no evidence for inappropriate pancreatic beta-cell function. Obes Surg 2010;20:1110–1116
45. Dirksen C, Hansen DL, Madsbad S, et al. Postprandial diabetic glucose tolerance is normalized by gastric bypass feeding as opposed to gastric feeding and is associated with exaggerated GLP-1 secretion: a case report. Diabetes Care 2010;33:375–377
IABETES
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Mineralogical Association of Canada
www.mineralogicalassociation.ca
2010 AWARDS
The Mineralogical Association of Canada presented its 2010 awards at its annual luncheon on May 11, 2010, during the GeoCanada 2010 Conference in Calgary. We reproduce excerpts of citations here.
David London is the Stubbeman-Drace Presidential Professor, the Norman R. Gelphman Professor of Geology at the University of Oklahoma, and director of the university's electron microprobe lab. His research pertains to the chemical evolution of silicic magmas and relies heavily on experimental studies in silicate science, including measurements of crystal nucleation and growth from melt or vapor; interactions among ions attending their chemical diffusion through melt; morphologies and preferred growth directions of crystals as func tions of growth conditions; element partitioning among crystals, melt, and vapor; and stability fields of common and rare minerals of petro logic value. London has applied these results to the origin and internal evolution of granitic pegmatites. Much of that work is summarized in his recent book, Pegmatites (Canadian Mineralogist Special Publication 10). Named after London is the mineral londonite, (Cs,K,Rb)Al4Be4[B11Be] O28 (Canadian Mineralogist 39: 747-755).
From left to right, Peter Burns, Past President; Brian Fryer, Peacock Medalist; Sarah Gleeson, Young Scientist Awardee; David London, Hawley Medalist; Iain Samson, President; and Lee Groat, Vice President
Martin A. Peacock Medal to Brian Fryer
The Peacock Medal, formerly the Past Presidents' Medal, is the highest honor bestowed by the Mineralogical Association of Canada. This year, it was awarded to Dr. Brian Fryer of the University of Windsor for his outstanding contributions to the mineral sciences in Canada. Among Brian's major contributions to science are the introduction and devel opment of inductively coupled plasma mass spectroscopy (ICP–MS) to analyze practically all metals involved in natural processes at concen tration levels never before realized. Brian led a team of researchers at Memorial University who recognized that the capabilities of ICP–MS could make it the analytical tool of the future in the Earth and bio logical sciences. In a series of landmark papers beginning in 1987, Brian and his group demonstrated that ICP–MS could successfully be used to analyze the concentration of elements in complex materials and that it could be applied in U–Pb geochronology. In 1990, they married a laser and microscope to the ICP–MS apparatus and showed how com plex solid samples could be analyzed in situ using the laser as a sampling tool at spatial resolutions hitherto only possible with much more expen sive and technologically challenging instruments, such as the ion microprobe. Brian has not only developed new techniques for analyzing complex materials with ICP–MS, but also used these techniques to contribute to our understanding of how Newfoundland was tectonically assembled, how trace elements such as platinum and palladium could be used to trace natural processes, how trace elements are partitioned among various mineralogical, biological, and aqueous phases in natural systems, and, most recently, how trace metals can be used to indicate sources of pollutants in the Great Lakes.
Hawley Medal to David London for the best paper published in The Canadian Mineralogist in 2009
London D (2009) The origin of primary textures in granitic pegmatites. Canadian Mineralogist 47: 697-723
In his manuscript "The origin of primary textures in granitic pegma tites," David London presents a model for the development of textural domains in granitic pegmatites. He also addresses three fundamental questions about pegmatites by cleverly combining existing results and observations with new and exciting experimental data. Although some of the model is not new, he presents extensive lab experiments to sup port existing models and new key evidence from data on the interac tions of fluxes (B, P, and F) with haplogranitic melt. This paper presents an interesting and well-told story that captivates the reader, but it is also an original and comprehensive study, making it worthy of the distinguished Hawley Medal.
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Young Scientist Award to Sarah Gleeson
The Young Scientist Award is presented to a young scientist who has made a significant international research contribution in a promising start to a scientific career. The 2010 award was presented to Dr. Sarah Gleeson of the University of Alberta for her significant and internationally recognized research contributions in fluid geochemistry and mineral deposits. Beginning with her PhD thesis on the geochemical evolution of mineral izing brines in southern Cornwall, she has enhanced our understanding of the geochemistry and evolution of hydrothermal systems, including those involved in the formation of mineral deposits. Sarah applies a range of geological and geochemical techniques to decipher the evolution of paleofluid flow in crustal rocks on a range of scales. Her combination of mapping, petrography, and geochemical and stable isotope techniques has resulted in a series of publications that elucidate the processes that control fluid–rock interactions in a multitude of base metal deposits and in regional crustal processes. She has refined techniques for the analysis of fluid inclusions, the only way to sample fluids directly, and has devel oped novel strategies for tracing fluids using halogens and chlorine isotopes in both mineralizing and nonmineralizing systems. Her research efforts in the field of mineral deposits have been recognized by the Society of Economic Geologists, which awarded her the Waldemar Lindgren Award for 2007, and by the Mineral Deposits Division of the Geological Association of Canada, which awarded her the William Harvey Gross Award for 2010.
INCOMING VICE PRESIDENT AND COUNCILORS
At its recent meeting, MAC Council welcomed incoming vice president Lee Groat and incoming councilors Andrew Conly and Ian Coulson. Special thanks go to outgoing past president Kurt Kyser for his commit ment to the welfare of the Association during his six-year cycle on the Executive, and to outgoing councilors Michele DeWolfe and Sarah Gleeson.
Lee A. Groat, Incoming Vice President
Lee Groat grew up in Kingston, Ontario, and graduated from Queen's University with a BSc (honours, geology) in 1982. From there he went to the University of Manitoba, graduating with a PhD degree in 1988. In 1988–1989, he was a NATO Postdoctoral Fellow at Cambridge University. He moved to the University of British Columbia in July 1989. In 1999 he was awarded the Young Scientist Award of the Mineralogical Association of Canada. Throughout the 1990s, he was at various times an associate editor for both The Canadian Mineralogist and American Mineralogist, and from 2001 to 2006 he was editor of American Mineralogist. In 2002 he was awarded a Killam Prize for Excellence in Teaching. In 2003 he was elected a fellow of the Mineralogical Society of America. He is currently a professor in the Department of Earth and Ocean Sciences and director of the Integrated Sciences Program at UBC. His main areas of research are the geology of gem deposits, granitic pegmatites, and the crystal chemistry of minerals. Through his former students, he has strong ties with the exploration, mining, and environmental industries in Vancouver.
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Councilors 2010–2013
Andrew Conly received his HBSc and MSc degrees in geology from Carleton University and obtained his PhD degree in geology from the University of Toronto. In 2003, he joined the Department of Geology at Lakehead University and in 2008 was promoted to associate pro fessor. Andrew is also the director of the Lakehead University Mineralogy and Experimental Laboratory. Andrew is the Regional Vice President – North America for the Society for Geology Applied to Mineral Deposits. He previously served as the chair of the Mineral Deposits Division of the Geological Association of Canada and as a director of the Geology Society of the Canadian Institute of Mining, Metallurgy and Petroleum. Andrew's primary research interests include experimental investigations into the source of metals in hydrothermal mineral deposits and the application of stable isotopes to mineralforming systems. Andrew's research recently expanded to the inves tigation of acid mine drainage and the remediation of contaminated waters and mine waste associated with the former Steep Rock iron mine, and to the study of natural and synthetic, highly metalliferous manganese oxide minerals.
Ian M. Coulson is an associate professor of volcanology and igneous petrology at the University of Regina, Saskatchewan. He studied at the University of Portsmouth and the University of Birmingham in the UK, before moving to Canada in 1998 to work as a postdoctoral fellow at the University of British Columbia with Kelly Russell and Greg Dipple, and later at Queen's University. Ian's interest in volcanism and mineralogy/petrology has led him to work extensively in Italy, Greenland, and the Canadian Cordillera. He is now involved in col laborative studies of several active volcanoes in the Andes of Colombia. Combining diffusion profiles in minerals, analytical petrography and geochemistry, this work is helping to constrain eruption timescales, which provide insight into periods of magma chamber replenishment and their eruption. Ian is a fellow of the Geological Society and is currently an associate editor of The Canadian Mineralogist.
Interested in Metamorphism? We Have Publications for You!
Order online at www.mineralogicalassociation.ca
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WEB-BASED MINERALOGICAL RESOURCES
The Mineralogical Association of Canada offers on its website an oppor tunity to contribute information of interest, but whose nature or scope is more appropriate to a website format than to an international journal. Members of the MAC community are invited to contribute relevant information, like reports of new assemblages of minerals at well-known localities, and basic information and mineral lists for various mineral localities in Canada. There are currently two publications available on the website: one providing general mineral statistics and the other entitled Catalogue of Mineral Species Found in Canada. The latter, main tained by László Horváth, is a useful source of information about min erals found in Canada. Updated recently in December 2009 as Revision 6 (2009), this catalogue, published as a PDF file, now lists 1492 con firmed mineral species (including IMA-approved but unpublished spe cies) and 79 unnamed minerals. While succinct, the information pre sented for each mineral species is quite complete as it indicates whether the species is a Canadian type-locality mineral, the reference to the original description or to a significant publication describing the occur rence, and, if possible, to the locality. The mineralogical community is asked to contribute to this project by sending unpublished informa tion to Mr. Horváth. The catalogue is located at the following address: www.mineralogicalassociation.ca/doc/catcanmin.pdf.
François Létourneau, Saint-Nicolas, Québec
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Guiding Principles for the Arts Grades K–12
David Coleman
INTRODUCTION
Developed by one of the authors of the Common Core State Standards, the seven Guiding Principles for the Arts outlined in this document should guide development of curriculum modules and accompanying materials. Please note the connections drawn in these principles to literacy and other areas of study.
1. Studying works of arts as training in close observation across the arts disciplines and preparing students to create and perform in the arts
Meaningful appreciation and study of works of art begins with close observation. The Core Standards in Literacy similarly describe reading as the product of sustained observation and attention to detail. Particularly when encountering complex art, or reading the level of complex text students will need to be ready for college and careers, students will need to learn to re-examine and observe closely.
The arts reward sustained inquiry and provide a perfect opportunity for students to practice the discipline of close observation whether looking at a painting or lithograph, watching a drama or a dance, or attending to a piece of music. New York State is therefore requesting a sequence of materials that cultivates students' observation abilities in the context of the sustained examination of magnificent works of art that are worthy of prolonged focus. Classroom work would be spent on in depth study; several days or longer might be spent on a specific work. What is requested are a set of arts modules that bring to bear observing, listening to and appreciating expansive works of art across disciplines and grades.
In both the arts and reading, such attention to the specifics can be hard, particularly when the work is complex. Often, when one first looks at a painting, hears a piece of music, or watches a dance, one does not know "what to say" or "where to begin." The process of analyzing the work is a slow, gradual one that requires practice. Appreciation requires tolerating any initial confusion or uncertainty and staying with it until more is seen. Proposals should offer thoughtful, specific, and imaginative guidance to the student who stands before the painting and asks, what do I do now?
Of course, the judgment of what are magnificent works of art worthy of close study is not a simple one. Publisher's Criteria for the Common Core State Standards in Literacy offer the following guidance for selecting texts that may prove useful in this context:
"Given the emphasis of the Common Core Standards on close reading, the texts selected should be worthy of close attention and careful re-reading. To become career and college ready, students must grapple with a range of works that span many genres, cultures, and eras and model the kinds of thinking and writing students should aspire to in their own work."
The developers of instructional materials should show through their materials and assignments that the art selected for particular focus can sustain high quality conversation and engagement.
This in-depth study of works of art across the Arts disciplines will enable students to actively participate in the creation and performance of the Arts (dance, music, theatre, and visual arts). Each work of art studied closely becomes a potential model for students' own work.
2. Engaging in a deep study of works of art across arts disciplines and preparing students to develop arts literacy and develop their own art.
One way to deeply study works of art in different disciplines is to examine multiple renditions of the same work. Perhaps the most obvious example is drama. Students can study closely a specific act or scene, and then observe how it has been played by different directors and actors. Proposed arts materials should pay special, in depth attention to these closely related concepts of examining the source and its various interpretations. The Core Standards in Literacy require that students can compare the evidence they see in the script, and observe how different productions draw and interpret the script.
Of course, a score in music offers similar opportunities for students who can read and follow the music. Different renditions of a score provide a window into how different performing artists interpret the content and in doing so transform it. New York State is therefore interested in materials that cultivate students' capacities to study the source image, script, or score, and compare more than one rendition.
When there is an explicit source for several pieces of art, such as a passage in the Bible, students can explore what different artists chose to include and emphasize. One of the most significant choices can be where to focus. Once again, it is powerful to trace an artist's interpretation to evidence from the source.
Shared topics and themes in the arts also offer opportunities to make comparisons across different mediums. For example, the 9-10 th grade Standards in Literacy require students to: "analyze the representation of a subject or a key scene in two different artistic mediums, including what is emphasized or absent in each treatment (e.g., Auden's "Musée des Beaux Arts" and Breughel's Landscape with the Fall of Icarus)."
In depth study of the arts should also strengthen students' abilities to make their own art, beginning by studying arts as rigorously as artists do. A good reader reads as a writer. A core component of reading well is analyzing the choices authors make, and drawing on evidence within the text to explore the impact of those choices. Likewise, a good writer is alert to the impact of his or her own choices. Materials for student work in the arts should therefore help the student look and listen as a maker, and make as a thoughtful looker and listener.
3. Studying the social, political, cultural and economic contexts of works of arts while maintaining an in depth focus on each work, allowing students deeper understanding of the works of art that includes their connections with other areas of knowledge and in the evolution of the art disciplines.
Students will gain a deeper understanding of the works of art by studying the social, political, cultural, and economic contexts in which these were developed. This is critical in helping students make connections of the arts disciplines with other areas of knowledge. However, making connections to other works of art, or historical or political forces should not replace an in depth examination of the each work of art.
Sometimes, the generalizations of traditional criticism of the arts cause us to avoid looking at the specifics. It is not enough to say, for instance, that Rembrandt works with dark, shadow, and light, perhaps using a term like chiaroscuro to describe his technique. Students must learn to see how Rembrandt uses that technique, and what he makes it mean in a specific painting like The Night Watchmen. Likewise, the political and social context of Rembrandt's painting is important, but not sufficient to account for the unique power of this masterpiece.
The successful proposal will avoid sole reliance on stock art appreciation and will cultivate a fresh approach to the work itself with the goal of developing an appreciation of its specific qualities. Students should accumulate a body of knowledge about technique and style, but each work must be studied anew. The same is true of good reading: it requires being open to what is in the text. As CS Lewis says, when comparing viewing a painting to reading: "The first demand any work of art makes upon us is surrender. Look. Listen. Receive."
The questions and tasks designed for students should therefore encourage require careful observation of the work itself and then forge further connections. Aligned materials should require students to demonstrate that they have followed the details and artist's specific work as a prelude to making connections to political or social forces or comparisons to other works of art. When discussing influences on a work of art, materials should require students to return to evidence in the specific work to check the quality and accuracy of their evaluations and interpretations. Students can and should make connections between works of art, but this activity must not supersede the close examination of each specific work.
4. Integrating the appropriate USNY cultural institutions to promote a rich study of the arts
New York State is remarkably fortunate in the quality, range, and depth of its cultural institutions. The curriculum modules developed should bring to bear the appropriate USNY cultural institutions pertaining to the arts disciplines. The arts modules should encourage teachers and students to go beyond the classroom walls to explore the richness of the arts disciplines and to take full advantage of the rich resources available in museums, concert venues, galleries, performance spaces, theaters, etc.
Increasingly, much of the excellent work of NYS cultural institutions, including performances, is available online. A successful bid should provide an approach to integrating such resources into the study of art within and outside of school. It is particularly important that students gain a sense of the liveliness of the arts as work that is performed, or exhibited in specific ways, at the moment students are studying art.
5. Providing an explicit learning progression in the arts disciplines along the pre-k – grade 12 continuum that is developmentally appropriate
Student interaction with the arts requires that learning experiences be developed with students' developmental stages in mind. Too much of pre K-12 arts curriculum has been disconnected; the proposed materials should cultivate a core set of skills and capacities that build over time. Materials should at once be developmentally appropriate and increasingly demanding, both within years and across years.
In analyzing art, a critical capacity that grows over time is the capacity to draw evidence from a work of art to support understanding of the work. As students advance, they should cultivate the ability to cite evidence from specific works of art, such as specific features in a painting, the details of a score or a script. As students develop, they should be able to gather and share more evidence to support their understanding; they should notice more in each work, and be able to draw on it.
Likewise the Common Core Standards in students require students to become more adept at drawing evidence from a text and explaining that evidence orally and in writing. Aligned arts curriculum materials should include explicit models of high quality evidence-based answers to questions about—samples of proficient student responses—about specific works of art from each grade. Questions should require students to demonstrate that they follow the details of what they have seen but also are able to make non-trivial inferences based on their observations.
Another way students can gradually build their mastery of the arts is through the practice of imitation and applying what they have learned in their own work: taking a great work of art as a model, and trying to make something that looks or sounds like it. Imitation is an ancient technique. Students have always learned about painting, for example, by drawing or painting the paintings they study. They may not make new masterpieces, but with guidance they can reckon with the same challenges and choices that the artist faced.
Materials over time should be increasingly demanding regarding the care and quality of student imitations, including the extent to which those imitations notice and incorporate key details of the original. Over time, a student of the arts should become a more accomplished imitator. At the same time, students should grow in their capacity to not just imitate but to apply principles they have gained through the study of an artist. Students should demonstrate their ability to apply an artist's style, technique, or ideas to novel situations and topics.
6. Studying the arts associated careers, including the choices artists make as they design solutions and how aesthetics influence choices consumers make
The choices artists make shape their specific works as well as their careers. As students practice making their own art, high quality instructional tools should encourage them to explore alternatives and examine the impact of their choices. The arts almost always offer multiple solutions to a given problem or challenge. Student training in the arts should make students alert to different possibilities and strengthen their ability to produce and compare alternatives.
Studying the artist's sketches or drafts of a great work of art can also provide a very concrete way to examine artistic choice. Often artists will provide several sketches or fuller works in preparation for a painting or piece of music. Similarly the choices of a dramatist or poet can be studied by examining their progressive drafts. This activity of revision offers great insight into the working life of the artist.
Just as powerful is to see how some of the most fertile artists transform over time, and find new approaches. Sometimes artists, over the course of their career, will develop new techniques and approaches that transform their earlier treatment of similar material. Artistic choice and artistic careers should be studied over time.
The curriculum modules must ensure that the study of the arts includes the study of associated arts careers and an understanding of how aesthetics influence choices consumers make. For example, Daniel Pink in his book "A Whole New Mind" suggests that design principles and aesthetics influence choices consumers make. This is a critical element in the study of arts associated careers as well as how aesthetics influence choices consumers make in a global economy. Future careers in the arts require that students be prepared to participate in a global work place and understand the intricacies of the global market place. This requires that students develop a new set of skills including the ability to work with diverse teams that can be international in nature to address creative solutions that can be facilitated by the deep study of the arts.
7. Developing a lifelong curiosity about the arts, and understanding that art transcends time
Pursuing the study of art in ways that respects the intricacy and power of individual works of art will contribute not only to students' lifelong engagement with the arts but also to the development of deeper skills demanded by a standards-based education. The curriculum modules should promote lifelong curiosity about the arts by making the study of the arts disciplines engaging over time and ensuring that the notion of the arts transcending time is internalized by students as they engage in the study of the arts over the course of the pre-k through grade 12 continuum.
Successful materials will cultivate students' ability to discuss what is distinctive, beautiful, and valuable in the works they study. Student discussion of art should include attention to what is memorable, what is remarkable, what is at stake. Students should cite specific examples within a work to support their account of the impact of the art. The Core Standards in Literacy likewise require students to analyze "language that is particularly fresh, engaging, or beautiful."
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tantly, these principles signal an end to the Casey facial invalidation approach in the abortion context. Indeed, the separation-of-powers principles underlying Ayotte are starkly inconsistent with the Casey approach. By once again invoking and applying Salerno in the abortion context, the Court can resolve this inconsistency and clarify the standard that lower courts should apply to facial challenges of abortion regulations. The Court should do so this Term in Gonzales v. Carhart. 70
B. Status of International Law
Enforceability of Treaties in Domestic Courts — Vienna Convention on Consular Relations. — Article 36 of the Vienna Convention on Consular Relations 1 (VCCR) "guarantees open channels of communication between detained foreign nationals and their consulates in signatory countries." 2 In a 2005 case, Medellin v. Dretke, 3 the Supreme Court chose not to consider whether that Article "create[d] a judicially enforceable individual right," 4 instead dismissing the writ of certiorari as improvidently granted. 5 Justice O'Connor, dissenting from the Court's dismissal, noted that it is "unsound to avoid questions of national importance when they are bound to recur." 6 Confronting the same issue a year later, the Court again failed to heed Justice O'Connor's advice. Last Term, in Sanchez-Llamas v. Oregon, 7 the Supreme Court declined to decide whether Article 36 creates a judicially enforceable right, 8 holding that even if it does, suppression is not an appropriate remedy, and state procedural default rules apply. 9 By avoiding the question of the existence of judicially enforceable rights under Article 36 and by considering only a very limited set of remedies, the Court's decision exemplifies judicial minimalism. While
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70 126 S. Ct. 1314 (2006), granting cert. to Carhart v. Gonzales, 413 F.3d 791 (8th Cir. 2005 (facially invalidating the Partial-Birth Abortion Ban Act of 2003).
1 Apr. 24, 1963, 21 U.S.T. 77, 596 U.N.T.S. 261 [hereinafter VCCR].
2 Medellin v. Dretke, 125 S. Ct. 2088, 2096 (2005) (O'Connor, J., dissenting).
3 125 S. Ct. 2088 (per curiam).
4 Id. at 2095 (O'Connor, J., dissenting).
5 Id. at 2092 (per curiam).
6 Id. at 2096 (O'Connor, J., dissenting).
7 126 S. Ct. 2669 (2006). In Sanchez-Llamas, the Court consolidated two cases — SanchezLlamas v. Oregon, 126 S. Ct. 620 (2005) (mem.), and Bustillo v. Johnson, 126 S. Ct. 621 (2005) (mem.).
8 The relevant part of Article 36 provides that if a national of a sending state arrested in the receiving state "so requests, the competent authorities of the receiving State shall, without delay, inform the consular post of the sending State" of the arrest. VCCR, supra note 1, art. 36. The authorities of the receiving State must also inform the arrested foreign national "without delay" of this right. Id.
9 Sanchez-Llamas, 126 S. Ct. at 2674.
"leaving things undecided" may be advisable in some circumstances, 10 in Sanchez-Llamas it was an unwise approach that is likely to result in excessive uncertainty and confusion when the question resurfaces in the lower courts.
Moises Sanchez-Llamas, a Mexican national, was arrested in December of 1999 for his involvement in the shooting of a police officer. 11 After being advised of his Miranda 12 rights, Sanchez-Llamas made self-incriminating statements in the course of interrogation. 13 He was never informed of his right under Article 36 to contact the Mexican consulate. 14 Sanchez-Llamas was charged with attempted aggravated murder, attempted murder, and other offenses. 15
Before trial, Sanchez-Llamas moved to suppress his custodial statements, arguing that they were made involuntarily and resulted from a violation of Article 36. 16 The trial court denied the motion, and Sanchez-Llamas was convicted and sentenced to over twenty years in prison. 17 The Oregon Court of Appeals affirmed the trial court's decision. 18 The Oregon Supreme Court also affirmed, holding that Article 36 did not create individually enforceable rights and that suppression would be an inappropriate remedy in any event. 19
Mario Bustillo, a Honduran national, was arrested in December 1997 and charged with murder. 20 Like Sanchez-Llamas, he was never informed of his Article 36 rights. 21 Bustillo was convicted of firstdegree murder and sentenced to thirty years in prison. 22 He did not raise the VCCR violation at trial or on direct appeal, asserting it for the first time in his state habeas corpus petition. 23 The court dismissed Bustillo's petition, holding that the Article 36 claim was "procedurally barred" because Bustillo had not previously asserted it. 24 The Su-
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10 See Cass R. Sunstein, The Supreme Court, 1995 Term—Foreword: Leaving Things Undecided, 110 HARV. L. REV. 4 (1996).
11 Sanchez-Llamas, 126 S. Ct. at 2675–76.
12 Miranda v. Arizona, 384 U.S. 436 (1966).
13 Sanchez-Llamas, 126 S. Ct. at 2676.
14 Id.
15
Id.
16
Id.
17
Id.
18 State v. Sanchez-Llamas, 84 P.3d 1133 (Or. Ct. App. 2004).
19 State v. Sanchez-Llamas, 108 P.3d 573, 578 (Or. 2005) (en banc).
20 Sanchez-Llamas, 126 S. Ct. at 2676.
21 Id.
22 Id. Bustillo's sentence was affirmed on appeal. Id.
23 Id. Bustillo contended that if he had been notified of his rights under the VCCR, he would have contacted the Honduran consulate as soon as possible, and the consulate in turn could have helped him locate a person important to Bustillo's trial defense. Id. at 2676–77. Bustillo also asserted a claim of ineffective assistance of counsel based on his attorney's failure to notify him of his Article 36 rights. Id. at 2677.
24 Id. at 2677. The court also denied his ineffective assistance of counsel claim. Id.
2006]
preme Court of Virginia denied Bustillo's petition for appeal, finding no reversible error in the habeas court's dismissal of the VCCR claim. 25
The Supreme Court affirmed both judgments. Writing for the majority, Chief Justice Roberts 26 declared it unnecessary to decide whether Article 36 granted individually enforceable rights. 27 Instead, the Court assumed without deciding that the VCCR conferred such rights and proceeded directly to the issue of "whether suppression of evidence is a proper remedy for a violation of Article 36." 28
Turning first to Sanchez-Llamas's arguments, the Court held that the VCCR did not itself mandate suppression. 29 Because the treaty did not require a specific remedy, the Court could not create one for the state courts given the limits of its supervisory powers. 30 In any case, Article 36(2) required that Article 36 rights be "exercised in conformity with the laws and regulations of the receiving State." 31 Chief Justice Roberts pointed out that suppression is "not a remedy [this Court] appl[ies] lightly" 32 and provided three reasons for its inappropriateness with respect to an Article 36 violation. First, in the United States, the exclusionary rule is limited largely to remedying constitutional violations dealing with searches or interrogations. 33 Consular notification "has nothing whatsoever to do with" either, and in fact does not guarantee any specific assistance to the defendant. 34 Second, other legal protections, such as the right to counsel, can mitigate the potential damage resulting from the violation of the right to consular notification. 35 Third, the right to consular notification can be vindicated by means other than suppression of evidence, such as communicating through diplomatic channels. 36
Turning then to Bustillo's claim, the Court addressed whether the procedural default rule applies to Article 36 violations. Many states apply this rule in post conviction proceedings to bar claims not raised
–––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––
25 Id.
26 Chief Justice Roberts was joined by Justices Scalia, Kennedy, Thomas, and Alito.
27 Sanchez-Llamas, 126 S. Ct. at 2677.
28 Id.
29 Id. at 2678. The VCCR's text does not specify any particular remedy and "nearly all [foreign States] refuse to recognize [the suppression remedy] as a matter of domestic law." Id.
30 Id. at 2679.
31 Id. at 2680 (quoting VCCR, supra note 1, art. 36(2)) (internal quotation marks omitted).
32 Id. In fact, earlier in the Term the Court held that the exclusionary rule is an inappropriate remedy for knock and announce violations because they "have nothing to do with the seizure of the evidence." Hudson v. Michigan, 126 S. Ct. 2159, 2165 (2006); see also supra p. 175.
33 Sanchez-Llamas, 126 S. Ct. at 2680–81.
34 Id. at 2681.
35 Id. at 2681–82.
36 Id. at 2682.
306
on direct appeal, 37 but Bustillo argued that it should not apply to consular non-notification claims. 38 Though the Court in Breard v. Greene 39 held that the procedural default rule applies to Article 36 violations, 40 Bustillo argued that Breard should not control because the procedural default issue was not necessary to the resolution of that case. 41 The Court disagreed, explaining that the "resolution of the procedural default question . . . was the principal reason for the denial of the petitioner's claim." 42
The Court then analyzed Breard's precedential value in light of the more recent International Court of Justice (ICJ) decisions in LaGrand 43 and Avena, 44 which held that applying procedural default rules to Article 36 violations may fail to give full effect to the VCCR. 45 Observing that the ICJ's decisions deserve "respectful consideration," the Court nevertheless found the reasoning in these two decisions to be unpersuasive. 46 Under Article 36(2), the right to consular notification must be exercised in accordance with domestic law. 47 In the U.S. adversarial system, this mandate requires the application of procedural bars, even to constitutional claims. 48 The Court illustrated the propriety of applying procedural default rules to the VCCR violations by comparing Article 36 rights to Miranda rights. 49 Although a violation of either Miranda or Article 36 is likely to result in a defendant's ignorance of his rights, the procedural default rules nonetheless apply to Miranda claims, preventing the defendant from raising such claims on post conviction appeal. 50 The same should be true, the Court reasoned, for Article 36 violations. 51
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37 Id. The procedural default doctrine does not apply if the defendant can show "both 'cause' for not raising the claim and 'prejudice' from not having done so." Id. (quoting Massaro v. United States, 123 S. Ct. 1690, 1693 (2003)).
38 Id.
39 523 U.S. 371 (1998) (per curiam).
40 Id. at 375; see Sanchez-Llamas, 126 S. Ct. at 2682.
41 Sanchez-Llamas, 126 S. Ct. at 2683. The Breard Court also held that the violation could not have had an effect at trial. Breard, 523 U.S. at 377–78.
42 Sanchez-Llamas, 126 S. Ct. at 2683.
43
LaGrand Case (F.R.G. v. U.S.),2001I.C.J. 466(June27).
44 Avena and Other Mexican Nationals (Mex. v. U.S.), 43 I.L.M. 581 (Mar. 31, 2004).
45 LaGrand, 2001 I.C.J. at 498; Avena, 43 I.L.M. at 613.
46 Sanchez-Llamas, 126 S. Ct. at 2685 (quoting Breard, 523 U.S. at 375) (internal quotation marks omitted). The Court reasoned that because Article 36 specifically accommodates domestic law, procedural default rules do not violate the Convention. Id.
47
Id.
48 Id. at 2686 (noting the special role of the procedural default rule in adversarial systems, in which litigants bear the responsibility for their own failure to raise claims).
49 Id. at 2687.
50 Id.
51 Id.
2006]
Justice Ginsburg concurred in the judgment. She joined the dissent's argument that Article 36 created judicially enforceable rights for foreign detainees. 52 However, after reciting the specific facts of Sanchez-Llamas's and Bustillo's arrests and trials, 53 Justice Ginsburg determined that the majority's disposition of the cases before the Court was correct. 54 Leaving open the possibility that some cases may warrant suppression or "displacement of . . . procedural default rules," she concluded that "neither Sanchez-Llamas'[s] case nor Bustillo's belongs in that category." 55
Justice Breyer dissented. 56 Unlike the majority, the dissent would have reached the individual rights issue and would have held that Article 36 created judicially enforceable rights for detained foreign nationals. 57 Focusing on the "full effect" provision of Article 36, 58 the dissent argued that the procedural default rules do not apply if, first, the failure to raise the Article 36 claim resulted from the claimant's ignorance of his rights, and second, state law provides no other way to "effectively cure related prejudice." 59 Consequently, Justice Breyer would have remanded both Sanchez-Llamas and Bustillo, "permitting the States to apply their own procedural and remedial laws" in a way that is "consistent with [Article 36's] demand for an effective remedy." 60
Sanchez-Llamas is an example of judicial minimalism: it decided a fairly narrow set of issues, and it did so without broaching the core underlying subject, the availability of individually enforceable rights under Article 36. Though such judicial reluctance to make unnecessarily broad decisions may be prudent in many situations, 61 that ap-
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52 Id. at 2688 (Ginsburg, J., concurring in the judgment).
53 Id. (Sanchez-Llamas); id. at 2690 (Bustillo).
54 Id. at 2690.
55 Id.
56 Justices Stevens and Souter joined the dissent in full, and Justice Ginsburg joined in part.
57 Sanchez-Llamas, 126 S. Ct. at 2694–98 (Breyer, J., dissenting). Justice Breyer reached this conclusion by considering the "'nature' of the [VCCR] provisions," id. at 2695, "the language of Article 36," id. at 2695–96, "treaty provisions similar to Article 36," id. at 2696, and the ICJ opinions in LaGrand and Avena, id. at 2696–97. It was this portion of the dissent that Justice Ginsburg joined.
58 Article 36 rights are to be "exercised in conformity with the laws and regulations of the receiving State, subject to the proviso, however, that the said laws and regulations must enable full effect to be given to the purposes for which [these rights] are intended." VCCR, supra note 1, art. 36 (emphasis added).
59 Sanchez-Llamas, 126 S. Ct. at 2698, 2709 (Breyer, J., dissenting). Justice Breyer drew support for this conclusion from the text of the VCCR, its drafting history, and ICJ decisions. Id. at 2698–2702.
60 Id. at 2691.
61 As Professor Cass Sunstein notes, "with its insistent focus on procedural safeguards, minimalism has real attractions, perhaps above all in a period in which judges are forced to reconcile
308
proach was inappropriate in the instant case. Predictability is extremely important in interpreting international agreements, the Court did not face rapidly changing circumstances, and the value of the right to consular notification was not in dispute. Without providing sufficient reason, the Court refused to resolve an issue that has plagued the lower courts for many years, which will likely lead to needless uncertainty in the future.
Professor Cass Sunstein argues that many of the Rehnquist Court's decisions can best be seen as products of judicial minimalism. 62 Minimalists, Professor Sunstein observes, "try to decide cases rather than to set down broad rules." 63 Minimalist decisions can be described as narrow, because "they do not decide other cases . . . unless they are forced to do so," 64 and shallow, because "they avoid foundational issues if and to the extent that they can." 65 Concretizing Professor Sunstein's conception, Professor Neil Siegel defines a minimalist decision as one that must "result from the (apparently) intentional choice by a majority of Justices" to decide the case as "narrowly and shallowly" as reasonably possible in the face of an available broader and deeper alternative. 66
Sanchez-Llamas falls largely within Professor Sunstein's and Professor Siegel's respective definitions of a minimalist decision. First, it "appears to reflect a conscious choice" of the Court to make a very limited ruling, as "all the Justices knew . . . that broader options were on the table." 67 In Sanchez-Llamas, the Court explicitly refused "to resolve the question whether the VCCR granted individuals enforceable rights." 68 Given that the Court had granted certiorari "in significant part in order to decide this question," 69 the Justices were undoubtedly aware that they were electing not to make a more expansive decision.
Second, it is clear that the Court's decision could have been deeper, but that the Court instead picked the shallowest alternative. The
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the demands of national security with the commitment to liberty." Cass R. Sunstein, Op-Ed., The Smallest Court in the Land, N.Y. TIMES, July 4, 2004, § 4 (Week in Review), at 9.
62 CASS R. SUNSTEIN, ONE CASE AT A TIME 9 (1999) (arguing that Justices O'Connor, Kennedy, Souter, Ginsburg, and Breyer "embrace minimalism").
63 Sunstein, supra note 10, at 15.
64 Id.
65 Id. at 21.
66 Neil S. Siegel, A Theory in Search of a Court, and Itself: Judicial Minimalism at the Supreme Court Bar, 103 MICH. L. REV. 1951, 1963 (2005). Professor Siegel sought to fashion "a (relatively) falsifiable definition of minimalism." Id. He also disputed Professor Sunstein's claim that judicial minimalism characterized the Court's October 2003 Term. Id. at 2001. However, that disagreement is beyond the scope of this Comment.
67 Id. at 1981.
68 Sanchez-Llamas, 126 S. Ct. at 2677.
69 Id. at 2694 (Breyer, J., dissenting); see also id. at 2677 (majority opinion).
Court could have addressed the "core issue" 70 of the existence of individual rights under Article 36 — the course of action urged by both the dissent and the concurrence. 71 Moreover, the petitioners extensively briefed the Court on the individual rights issue, 72 and it was discussed at length at oral argument. 73 In the end, however, the Court decided the remedial issue only. 74
Third, the holding is relatively narrow; it does not address other possible remedies for the Article 36 violation. The Sanchez-Llamas majority readily acknowledged that "[t]he relief petitioners request[ed] [was], by any measure, extraordinary." 75 Yet it failed to consider the availability of other remedies, such as private rights of action or a continuance. 76 The Court's judgment on the range of available remedies would have been especially helpful in light of the ICJ's request that the U.S. courts provide "review and reconsideration" in cases of Article 36 violations. 77 Admittedly, the Court did not choose the narrowest option available, as would have been necessary in order to fit Professor Siegel's rather strict definition of minimalism. 78 For instance, it could have taken Justice Ginsburg's approach and ruled that suppression and inapplicability of procedural default were inappropriate remedies in the petitioners' cases specifically. 79 Nevertheless, the case still qualifies as a "relatively narrow and shallow holding[]." 80
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70 Posting of Lyle Denniston to SCOTUSblog, http://www.scotusblog.com (Mar. 29, 2006 13:17 EST).
,
71 See Sanchez-Llamas, 126 S. Ct. at 2694 (Breyer, J., dissenting); id. at 2688 (Ginsburg, J., concurring in the judgment).
72 See, e.g., Petition for Writ of Certiorari at 16–18, Sanchez-Llamas, 126 S. Ct. 2669 (No. 0410566).
73 See Transcript of Oral Argument at 5–8, 43, 46, 55–56, 65–72, 76–81, Sanchez-Llamas, 126 S. Ct. 2669 (No. 04-10566).
74 As Professor Sunstein points out, shallow decisions enable judges "who disagree or are unsure about the foundations of constitutional rights [to] agree on how particular cases should be handled." SUNSTEIN, supra note 62, at 13. Given that at least four Justices in Sanchez-Llamas viewed Article 36 as creating individually enforceable rights, it is possible that this pragmatic concern was behind the Court's decision.
75 Sanchez-Llamas, 126 S. Ct. at 2687.
76 See, e.g., Aaron A. Ostrovsky & Brandon E. Reavis, Comment, Rebus Sic Stantibus: Notification of Consular Rights After Medellin, 27 MICH. J. INT'L L. 657, 683–85 (2006) (discussing possible remedies for Article 36 violations). The Sanchez-Llamas Court briefly suggested that "[a] defendant can raise an Article 36 claim as part of a broader challenge to the voluntariness of his statements to police." Sanchez-Llamas, 126 S. Ct. at 2682. However, the Court never elaborated on the exact contours of such relief.
77 Avena and Other Mexican Nationals (Mex. v. U.S.), 43 I.L.M. 581, 615 (Mar. 31, 2004).
78 As Professor Sunstein points out, the Supreme Court is unlikely to "pursue minimalism with the intensity and rigor suggested by Siegel's hypothesis." Cass R. Sunstein, Testing Minimalism: A Reply, 104 MICH. L. REV. 123, 125 (2005).
79 See Sanchez-Llamas, 126 S. Ct. at 2688–90 (Ginsburg, J., concurring in the judgment).
80 Siegel, supra note 66, at 2018 (emphasis omitted); see also Sunstein, supra note 78, at 125 & n.15.
310
The virtues and vices of judicial minimalism have been hotly contested among academics, 81 and this Comment does not attempt to contribute to that debate. However, even proponents of minimalism admit that it is ill-advised in some situations. Professor Sunstein observes that nonminimalist decisions are most appropriate when there is no relevant factual or moral uncertainty surrounding the issue, suggesting that circumstances are not likely to change "in large and relevant ways in the near future," 82 and when there is a need to give guidance to lower courts to "reduce costly uncertainty." 83 In short, the assessment of minimalism depends on the respective costs of decisions and of errors; if minimalist decisions are not cost reducing in the aggregate, they are less justified. As long as the relevant situation is likely to remain the same, there is little reason for the Court to postpone its ruling on an issue. And if the lower courts, litigants, and ordinary people need direction from the Court, there is a great imperative to decide.
The factual situation surrounding the Article 36 claims is likely to remain unchanged. The VCCR was concluded in 1963, 84 and the United States ratified the Convention in 1969. 85 Since the VCCR's entry into force, no state party has repudiated the treaty, and the United States has made no reservations to the treaty. 86 It is exceedingly unlikely that the United States would withdraw from the VCCR, given its support for the treaty and the need to protect U.S. diplomats abroad. 87 Nor are relevant contexts likely to vary widely in a way that would confound or unsettle a clear ruling. All cases brought under Article 36 involve the same factual situation: an arrested foreign national was not apprised of his rights under the VCCR.
In addition, while the enforceability of and means for enforcing Article 36 have been widely debated, the underlying policy goal — that
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81 See, e.g., SUNSTEIN, supra note 62, at 3–72.
82 Sunstein, supra note 10, at 17.
83 Id. at 30.
84 VCCR, supra note 1.
85 See 115 CONG. REC. 30953, 30997 (1969
).
86 1 MULTILATERAL TREATIES DEPOSITED WITH THE SECRETARY-GENERAL at 105 (2005). The United States generally does not shy away from making numerous reservations to its treaty commitments, suggesting that the VCCR is an especially stable document. See generally Kenneth Roth, The Charade of U.S. Ratification of International Human Rights Treaties, 1 CHI. J. INT'L L. 347 (2000) (discussing U.S. reservations to human rights treaties).
87 See, e.g., U.S. Department of State, Assistance to U.S. Citizens Arrested Abroad, available at http://travel.state.gov/travel/tips/emergencies/emergencies_1199.html (last visited Oct. 15, 2006). The United States did pull out of the Optional Protocol to the VCCR, withdrawing from the ICJ's jurisdiction. U.S. Dep't of State, Announcement: All Consular Notification Requirements Remain in Effect, available at http://travel.state.gov/news/news_2155.html (last visited Oct. 15, 2006). At the same time, however, it reaffirmed its commitment to the "principles and provisions" of the VCCR itself. Id.
2006]
311
all foreign defendants should receive consular notification — has been accepted by the United States as a valuable objective deserving of governmental support and implementation. 88 This factor distinguishes the present case from other controversial issues of today, such as abortion and gay rights, in which the debates about the meaning of federalism and the Equal Protection Clause often mask disagreements as to the morality of the underlying issues themselves.
While the relative stability of the Article 36 enforcement controversy suggests that there is no harm in immediately deciding the issue, the need to provide guidance to the lower courts affirmatively counsels in favor of providing a decision. Courts are split on the availability of an individually enforceable right under Article 36. 89 Some cases simply decide the remedial issue without addressing the individual rights question, much like Sanchez-Llamas. 90 One commentator suggests that the "confusion arises because of the Supreme Court's dicta in Breard, which states that the [VCCR] 'arguably confers on an individual the right to consular assistance following arrest.'" 91 This dictum may have led the lower courts to "avoid[] the issue pending further Supreme Court guidance." 92
There is also confusion in the lower courts as to the appropriate remedy for an Article 36 violation. Even as Sanchez-Llamas was decided, there was at least one case in the lower courts fashioning a remedy that neither the Sanchez-Llamas majority nor the dissent considered. In Jogi v. Voges, 93 a three-judge panel of the Seventh Circuit held that Article 36 did create an individually enforceable rights 94 and that damages are an appropriate remedy. 95 The defendants in that case — county law enforcement officials — have appealed the decision
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88 See, e.g., U.S. Department of State Telegram to All U.S. Diplomatic and Consular Posts Abroad Concerning Consular Assistance for American Nationals Abroad, Jan. 1, 2001, available at http://www.state.gov/s/l/16139.htm ("[C]onsular notification . . . has long been crucial to providing basic protective services abroad. . . . [T]he Department is working to improve our record domestically.").
89 Compare Cardenas v. Dretke, 405 F.3d 244, 253 (5th Cir. 2005) (holding that the VCCR did not confer individually enforceable rights), and United States v. Emuegbunam, 268 F.3d 377, 392 (6th Cir. 2001) (same), with Jogi v. Voges, 425 F.3d 367, 382 (7th Cir. 2005) (holding that Article 36 created an individually enforceable right), and United States v. Hongla-Yamche, 55 F. Supp. 2d 74, 78 (D. Mass. 1999) (same).
90 See, e.g., United States v. Page, 232 F.3d 536, 541 (6th Cir. 2000); United States v. LomberaCamorlinga, 206 F.3d 882, 885 (9th Cir. 2000); United States v. Li, 206 F.3d 56, 66 (1st Cir. 2000).
91 Mani Sheik, Comment, From Breard to Medellin: Supreme Court Inaction or ICJ Activism in the Field of International Law?, 94 CAL. L. REV. 531, 548 (2006) (quoting Breard v. Greene, 523 U.S. 371, 376 (1998) (per curiam)).
92 Id.
93 425 F.3d 367 (7th Cir. 2005).
94 Id. at 380–82.
95 Id. at 385.
and petitioned for rehearing en banc. 96 Regrettably, the SanchezLlamas decision will not give helpful direction to the court because "the Supreme Court has not addressed the issue that is at the heart of Mr. Jogi's case": the availability of monetary damages. 97
Moreover, the Court did not consider whether a defendant may be prejudiced by an Article 36 violation or what the appropriate test for prejudice might be. An Oklahoma court, for example, has ruled that a defendant need not prove that consular assistance would have affected the outcome of the trial in order to prevail on the prejudice issue. 98 Yet in Breard, the Court noted that "it is extremely doubtful that the [Article 36] violation should result in the overturning of a final judgment of conviction without some showing that the violation had an effect on the trial." 99 The test for prejudice, then, is another area in which the Court dropped a hint as to the appropriate holding but failed to provide an affirmative solution.
From Breard to Medellin, Article 36 of the VCCR has had a long history in the U.S. courts. Yet the Supreme Court has persistently refused to resolve the basic question of the existence of an individually enforceable right. Unfortunately, in Sanchez-Llamas, it again failed to "provide the ultimate answer[]." 100
III. FEDERAL STATUTES AND REGULATIONS
A. Civil Rights Act, Title VII
Standard for Retaliatory Conduct. — In the past decade, the number of retaliation claims under Title VII of the Civil Rights Act of 1964 1 has skyrocketed, 2 and commentators have highlighted the impact of retaliation on workplace dynamics. 3 However, the circuits –––––––––––––––––––––––––––––––––––––––––––––––––––––––––––––
96 See Jennifer Koons, Reaction: Sanchez-Llamas v. Oregon/Bustillo v. Johnson, MEDILL NEWS SERVICE, June 2006, http://docket.medill.northwestern.edu/archives/003751.php.
97 Id.
98 Torres v. State, 120 P.3d 1184, 1187 (Okla. Crim. App. 2005
).
99 Breard v. Greene, 523 U.S. 371, 377 (1998) (per curiam).
100 Medellin v. Dretke, 125 S. Ct. 2088, 2095 (2005) (Ginsburg, J., concurring).
1 Pub. L. No. 88-352, 78 Stat. 241.
2 The number of retaliation charges increased from 10,499 in fiscal year 1992 (approximately 14.5% of all annual Equal Employment Opportunity Commission cases) to 19,429 in fiscal year 2005 (approximately 25.8% of all annual cases). Equal Employment Opportunity Commission, Charge Statistics FY 1992 Through FY 2005, http://www.eeoc.gov/stats/charges.html (last visited Oct. 15, 2006); see also Louise F. Fitzgerald et al., Why Didn't She Just Report Him? The Psychological and Legal Implications of Women's Responses to Sexual Harassment, 51 J. SOC. ISSUES 117, 122 (1995) (describing a survey of state employees in which sixty-two percent of respondents indicated that they experienced retaliation after reporting harassment).
3 See, e.g., Deborah L. Brake, Retaliation, 90 MINN. L. REV . 18, 67–76 (2005) (discussing the importance of retaliation protection to the goals of achieving equal citizenship, eradicating sexism, and facilitating the development of social bonds across the sexes); Edward A. Marshall, Excluding
|
Shadows in the Dark...
Special Forces Liaison Marine Major Ayesha Deveraux was surprised to see that Commander Argent had decided to have his general Wing meeting even though she had heard he had taken a short jaunt to deliver some Romulans to their new ship. She imagined that most would be surprised that she knew all about this but then, she knew quite a bit even in the short time she'd been on the Wind.
Major Deveraux opted to stand in the back and observe the briefing undisturbed. All the attendees especially the pilots had arrived on time; if nothing else, Argent should be given a commendation. He obviously runs a very tight wing and it shows.
Commander Kyle Argent stepped into the room and everyone snapped to attention. Ayesha noted that his fighter corps uniform looked tailor-made; it fit his broad shoulders much better than the standard issue. He waited until everyone had settled down then opened up with some general remarks concerning the fact they are now permanently assigned to the Stellar Wind -this one statement drew a round of expected applause. Then he gave an overall outline of what he expected to accomplish this tour.
Unexpectedly, his eyes sought her out in the crowd. At first, Ayesha wanted to look away, but found she couldn't escape his gray-green eyes.
"And in the back is our new Special Forces Liaison, Marine Major Ayesha Deveraux."
Everyone turned to look at her. Ayesha gave the crowd a feeble grin and then nodded at Kyle.
"And finally, I expect everyone to be ready for the practice runs I have set up." Not waiting for the groans to cease, he smiled and barked "Dismissed!"
He departed the stage and walked through the milling crowd towards Ayesha.
"Since everyone is here, I thought this would be a good time to introduce you around," he said upon his arrival.
"Thank you, Commander. I'd love to."
Kyle headed towards the exit with Ayesha trailing behind him.
It was a growing puzzle, one that had come on slowly, infiltrating every known system on the ship.
It was an enigma that had vexed the Engineering Staff. Despite their best intentions, a continuing power drain caused periods of minor instability throughout the ship. And this instability had affected critical equipment to the point that any readings were now considered suspect.
Captain Devlin was not happy at this latest report. "Boffin!"
"Yes, Sir?" replied her yeoman over the comlink.
"Please contact the XO and have him get in touch with the Division Chiefs. Have the Chiefs run a low-level diagnostic on all critical equipment. We must track down these irregularities if we are to complete our mission, no matter how unpopular it may be!"
"Yes, Sir!"
* * *
All Aubrey could think about as he dragged his carcass into the office was how the last thing in the universe he wanted to do was chart more gas giants. As expected, Physical Geographer Boris Brown was already in the office, cheerful as ever.
"Good morning, Sir!" Boris greeted Aubrey as he walked into the office.
"Good morning, Boris," replied Aubrey to the. "So we're here," he sighed, glancing at the terminal that Boris was looking at.
"You've got that right, Sir." Boris scanned the data on his terminal. "According to our sensors, this system is comprised of 5 inner planets, 4 gas giants and 2 smaller outer planets. They orbit a yellow-orange star about the size of our sun."
"Nothing unexpected then," absently replied Aubrey.
"We've found what we expected to find."
"Despite the problems with the ship's systems?"
"Until they say otherwise, Sir, we have to use these readings."
Aubrey shook his head in resignation and went over to the counter. "Are you up for coffee?"
"Yes, thank you, Sir." Boris paused for a moment while Aubrey brought him a cup of the steaming brew. Boris took a long drink of the amber liquid and exclaimed, "This isn't our usual, is it?"
"No it isn't. I purchased some Jamaican Blue when I was on leave and I figured that considering what we're in for this tour, I broke out some of the good stuff." Aubrey stopped, took a long sip and continued, "I don't care what the Services people say, there's nothing like the real thing in my opinion."
"I agree, Sir. Considering how much work we have ahead of us, I hope you bought enough."
"Boris," Aubrey laughed, "There isn't enough real coffee in this universe to make this situation any better."
"That's true!"
The gentlemen had sipped the rest of their coffee in silence when Aubrey broke the quiet.
"Boris, what do you think of some of the new crewmembers."
Boris raised an eyebrow. "The ladies?"
"Of course."
Boris put his cup down and gave the question some thought. "The usual -some good, some bad, some touchable, some untouchable and some you don't want to touch under any circumstances." Boris retrieved his cup and smiled. "Anyone in particular?"
"Two, actually. That new Surgeon, Dr Fokker and the new Marine, Major Deveraux."
Boris looked to Aubrey with some amusement. "I thought you'd sworn off of Vaegan woman since your divorce."
"I do believe that Ayesha is worth a second consideration, don't you?"
Boris considered for a few seconds and smiled. "Any good looking woman is worth a second look... but I don't know about those claws, Sir..."
"This time, I'll be ready," Aubrey smirked.
* * *
Commander Kyle Argent strolled onto the hangar deck and cracked one of his ever rare smiles. He was dressed in his full flight regalia, ready to commence the promised training exercise. To his surprise, everyone had arrived before him and was ready to receive orders. It's amazing what gold wings will do for discipline in a fighter wing, he mused.
Once his initial orders were given and being in generally good spirits, he casually walked to the staging area when he had noticed Major Deveraux conversing with Virgil and Skye. It was with great effort that he kept the smile on his face and not the frown that threatened to emerge. He decided in the spirit of good relations to indulge in some boring but necessary small talk.
* * *
No matter where she went, Major Deveraux considered with some disgust, pilots seemingly never change. Take Junior Flyboy Skye Masterson here. She just knew that his ability in his cockpit couldn't be matched by his wanting to play 'cock-pit' with her.
By comparison, she thought Virgil Taylor to be quite pleasant and imminently capable. She and Virgil were having a nice discussion on the finer points maintaining a Nighthawk when Commander Argent had joined them.
```
"Major Deveraux." "Commander Argent." "Good to see you again, Major." "Thank you, Commander."
```
The small talk continued with all the cordiality and banality one would expect under the circumstances. Even Ayesha was becoming bored with the titfor-tat exchange besides it was time that something be done about Mister Masterson standing off to the side, leering at her.
"Commander Argent, your chief mechanic seems quite more knowledgeable on the Nighthawks than anyone else in my acquaintance, however am I to understand that your pilots equate prowess in the cockpit with interpersonal horizontal flight maneuvers?" She pointedly stared at Skye Masterson who suddenly turned a lovely shade of crimson.
Kyle moved his eyes to where Ayesha stared and arched an eyebrow. "Shouldn't you be somewhere else, Masterson?"
"Ah...why... Yes, sir, I should!" Skye Master blurted before fleeing the area.
Kyle turned back and gave her a feeble smile. "I must apologize for his behavior. You know how young pilots can be."
"Indeed I do, Commander. I was an Avenger pilot before I became a Special Forces liaison, so I've seen it all."
"An Avenger, you say? My first assignment out of the Academy was an Avenger. I didn't even know that they were still in service."
"As a Marine aviator, we made due with what we are assigned -– no less, no more, Commander."
Once again, Kyle's eyebrows arched upward accompanied by a slight smirk. "I'm sure you do, Major," He paused. "Do you miss being out there?"
It took her a moment to whisk away her initial painful thoughts. And of the accident that abruptly ended her career as a pilot. He, of all people she considered resentfully, should know how she feels. "Wouldn't you?" she finally replied, bitterness having crept into her voice.
He paused for a moment before answering in a soft voice, "More than you could ever imagine."
"Commander Argent. The Tower reports ready," Virgil reported.
"Tell them I'll be along shortly."
"Yes, Sir!" Virgil snapped off before departing.
Noting their impending departure, Major Deveraux gave the nearest 'hawk a long look and turned to leave.
"Major Deveraux, if you'd like, you're always welcome to observe today's proceedings from the tower. As a seasoned pilot, I would welcome any input you might have on the execution of today's exercise."
Ayesha eyed him carefully. "I think I might just take you up on that, Commander." With that, she turned and left, not waiting for Kyle's response.
* * *
Kyle swiftly gathered his pilots and mission specialists and conducted a field briefing before taxing out into space followed by his wing. As much as Kyle relished the idea of being back in the cockpit again, he didn't really enjoy the idea of putting the Wing through its paces.
Much to his surprise, they did quite well; better than he had expected. He didn't have them out there long, but he had worked them hard. Hard enough that he felt some fatigue as he led them back onto the hangar deck. Once everyone was settled, he headed for his office to work on his report.
He managed to work undisturbed for an hour before a rap at the door interrupted him.
"Enter!"
Major Deveraux opened it and stepped into his office.
"Thank you, Commander." She walked over to his desk. "Commander Argent, as by your request, I witnessed your maneuvers from the control center and thought you might want my report."
With that, she handed him a padd, which he began scanning but found himself reading it carefully. It was that was more detailed on the subject than his own report he was still laboring over. He glanced at some of the highlights and frowned. She had noted Red Four for being opportunistic in flight with poor target management but exceptional on-site targeting."
"Didn't take you long to figure out poor Skye just doesn't have much in the gunnery department?" Kyle admitted.
"His mission specialist seems exceptionally skilled though."
"That would be Roscoe. I paired them up because Roscoe is the best gunnery specialist I have whereas Masterson couldn't hit the broad side of a space station with a stick."
"That seemed prudent. They pair up quite well. The other pilots appear to be more or less balanced with some lack of experience and training issues still needing to be addressed. All except for Red Five, that is."
Kyle attempted to keep any emotion off of his face as he read her assessment of Red Five. 'Exceptional maneuverability, superior targeting skill, and great natural flight ability.' He decided to play it coy. He looked up at her and smiled. "I'll pass your compliments on to him, I'm sure he'll appreciate them."
"Oh? I thought you were piloting Red Five. I suppose the stories I hear of your much-vaunted flying prowess aren't all that they seem to be. Maybe you could do with some simulator time yourself?"
Kyle found that he couldn't help himself and just had to laugh. "Well...I never put much stock into the greatly exaggerated rumor of my flying prowess. I guess you are right." He began to get up and added, "I'd better get to the simulator right now..."
"Oh... I don't think it's that necessary," she replied with a slight laugh. She stopped and looked straight at him. "Thank you again for inviting me, Commander."
"You're welcome, Major. Please feel free to join us again."
"I may just do that, Commander."
* * *
Senior Astrophysicist-Astronomer Aubrey Maturin stretched his long legs as the astrolab's morning meeting continued over the next phase of their mission. Yesterday, the Chief Science Officer had broken the group into smaller teams in hopes of coming up with some specific ideas in a short amount of time. This morning, his group's briefing was going at a pace that would lag behind a decrepit snail. His team consisted of members who enjoyed discussing every iota of a problem within an inch of its life. Positive that he wasn't going to miss anything (and if he did, there would be any number of his fellow scientists eager to catch him up), Aubrey switched his attention to more interesting problems -- how to get the time of day from either Claudia Fokker or Ayesha Deveraux.
He decided that Ayesha wasn't going to sniff him even if he was the last tree on the tundra. Her whole manner of conducting herself said, "touch me if you dare." Having already had one run in with a Vaegan woman -- and he married her -- he opted to turn his attention to Claudia. The only problem he foresaw was the fact that he found out that Claudia and the CO were old friends and Aubrey wasn't too certain that he wanted to become romantically entangled with someone that close to the Old Lady.
The person on his right poking his ribs disturbed his reverie. They had finally come to a decision. After an hour's further discussion, a game plan was
decided and the meeting was concluded allowing Aubrey just enough time to inform the Chief Science Officer of their conclusions. He was really surprised when she not only accepted the plan, but also was told that he'd head the overall mission with Boris leading the scanning portion.
* * *
Communication's Specialist Simone Templar had an important date tonight and hurried to finish her bridge shift. As she entered the turbolift, she carefully considered which dress she was going to wear and what perfume would work best this evening. She was so wrapped up in her contemplation, she didn't notice that the 'lift doors had failed to open.
"Mon Dieu! What is happening here?" Simone furiously banged on the doors in an attempt to either open them or in hopes someone would come to her assistance.
"What's wrong?" a voice from beyond called out.
"I can't get the doors to open. Can you help?"
"I'll try." Several seconds later, the doors slid apart.
Simone was surprised to see Virgil standing there. "Merci."
"Simone! Er... I really didn't do much, in fact--"
"You saved me, Virgil." She grabbed him and gave him a very long kiss on the lips. "Thank you again, Virgil."
"Uhm...No problem Simone. Let...let me know if I can help you again."
Simone carefully stared at Virgil, taking in every inch of his body, noting every crease in his uniform, deciding whether or not she liked what she saw. "I certainly will, Virgil. Perhaps we can go out for a drink sometime."
```
"I'd...like that!" "Fantastique! Au revoir, Virgil." "Yeah...ah...see you soon, Simone."
```
* * *
The usually efficient Chief of Maintenance for the Nighthawks was completely lost in thought, mulling over the events of the previous day. Most of Virgil's contemplation turned squarely to Simone -- how she looked, how she smelled, how she kissed him so lovingly after he had rescued her from the turbolift.
He'd spent most of the day wondering if he had the courage to ask her out. He probably would have continued contemplating Simone except that he now had to spend his time ensuring that he didn't float away like the equipment surrounding him. The gravity had suddenly given way.
In an attempt to retrieve his sonic screwdriver before it broke the window of the 'hawk he was repairing, he bumped his head on the underside of the wing, leaving a gash on his forehead. When the gravity came back on, the pilots, and crews quickly assessed the damage.
"We were damned lucky," Kyle grumbled. He paused and zeroed in on Virgil's head. "Taylor, what happened?"
"Commander...I...well, I wasn't paying attention, Sir..."
Kyle frowned. "Get your butt down to sickbay and have someone look at it."
"Yes, Sir!"
Since no one dared disobeyed an order from Kyle Argent, Virgil immediately left to check himself into sickbay, but not before the Wing Commander barked after him, "And when you get back, keep your mind on your work, Taylor!"
* * *
Doctor Claudia Fokker sat back in her chair while she used the napkin -real linen she noted -- to wipe off of her lips the remainder of the fine dinner the Services crew had specially cooked.
"I have to admit," Claudia began, "that despite all the reports in the various journals that say the contrary, nothing touches the taste of real food. And where did you get this Vaegan wine, Arcadia?"
"Apparently, Services procured some on their leave. Even though I don't drink much as a rule, I have to admit this is excellent Amakuchi. Care for some more?" Arcadia asked.
"No thank you, I don't want the medical crew to think we've had another problem with the ship when I come staggering in for duty tomorrow morning..." Claudia suddenly realized that she was dining with the ship's CO and attempted to quickly correct herself. "Opps...sorry, that's really not what I meant."
"Look Claudia, we've known each other too long to start dancing around the obvious. You know and I know that there are some bloody strange events going on around here. By the way, since you started the conversation towards business, anything to report?"
"No, not really. Virgil Taylor had a minor head injury that bled all over the place. Mostly harmless as most surface wounds to the head are. I patched him up and sent him back to work."
Arcadia sighed. "That's good."
"Now that ship's business is over with, tell me about what's been going on with you. Now don't give me this crap about how busy you've been with the ship and all. Scuttlebutt around is that you and that Kyle Argent are quite a pair. Though I must admit I haven't detected any sign of him anywhere in your quarters, office -- your personal space."
"And you won't either. We've decided to keep our personal business as low key as the ship's CO and Wing Commander can be under the circumstances. We have tea in the morning together, some dinners, and attend functions as a couple. Other than that..." Arcadia allowed her voice to trail off.
Claudia picked right up. "That's probably very wise especially with you being the CO. Things could get very sticky, can't they?"
"They already have." Claudia looked to Arcadia with surprise and Arcadia continued, "I hesitated sending Kyle out on a dangerous mission and he was quite...perturbed about it..."
"I'm sure he was," Claudia mused.
"Claudia, he was utterly incensed and stormed out of my office. I just knew it was all over between us." Arcadia paused and laughed. "And if it wasn't for an engineer, mission specialist and my yeoman, we probably wouldn't have gotten back together. In fact, the way they did it was quite clever. My yeoman slipped a terribly written love poem in the midst of an official report from Kyle. I, of course, was furious and went marching to his office to demand an explanation. He had no idea what I was on about and since it was obvious that a crowd was forming around his door, we decided to meet in my office after hours. By the time he arrived, I was still quite furious at the whole affair, but he
managed to convince me it wasn't his idea but..." Arcadia paused with a wistful smile. "He didn't object to the sentiment expressed."
"How sweet."
"And he gave me our first kiss then too."
Claudia laughed. "Was it worth it?"
"Absolutely...though the poem still rotted."
Claudia snickered but became pensive. "It's very evident from the way he looks at you that he really does care a lot for you."
"And I for him," Arcadia sighed.
"But these aren't exactly the best of circumstances, are they?"
"Unfortunately... Neither one of us is going to leave our respective jobs." Arcadia paused to take a sip of wine. "Though I would consider going back to Healing." She paused again and nodded. "Yes, I just might."
"Really? You've kept your skills up?"
"Some. When those damned Romulans invaded the Stellar Wind a few years ago, I was put in the position of being the only Healer around at the time."
"You were the best around."
"Thank you."
Claudia checked her chronometer. "Arcadia, this was lovely and I hope we can do this again, but duty calls and I need to be up early in the morning."
Arcadia escorted Claudia to the door. "Thank you for coming. We must do this on a regular basis. I don't have that many people I can talk to..." She paused and added, "So you've just become the Captain's Analyst."
Claudia laughed. "Does it pay well?"
"Of course not!"
* * *
As usual, Kyle had spent a long day on the flight line. Arcadia was having dinner with her friend Claudia, so he was dining alone tonight (only if you didn't count his cat who was cheerfully sleeping on Kyle's bunk after his customary evening bowl of ham with a side of milk).
Kyle was in the process of deciding whether or not to tackle the pile of paperwork or read when he was interrupted by the obnoxious signal from his computer terminal informing him that someone had broken into his secure personnel files.
"What the hell...!" Kyle tapped a few keys on the link to see what had happened. He frowned. Someone had transferred some files to sub-core 206 and now was executing them in a holosuite on deck 6.
Kyle grabbed his hand phaser. Whoever was doing this was in for a rude surprise.
* * *
Ayesha found herself captivated by the images in front of her. Though Vaegans were congenitally tone deaf, she found herself drawn to the rhythm that dictated the motion of the performers. It was unlike anything she'd ever seen.
"May I ask what you're doing with my property, Major?" Commander Argent asked from behind her.
Startled, Ayesha sprang from her chair to face Kyle Argent who looked ready for anything with his sidearm drawn and an expression that did not belie pure civility.
"Commander Argent!"
"I'm glad you remember my name. Now, about those files of mine you liberated."
"Commander, I assure you. I can explain myself."
Kyle moved to sit down in the seat beside her and motioned her to do likewise. "I'm waiting."
Vaegans as a rule don't usually show signs of embarrassment, but Ayesha was sure that her dark face was beet-red. "Several years back, I rejected the advances of a pilot much like your Mister Masterson. Unfortunately for me, he decided to strike back by composing a decidedly lewd holo program of me that
promptly made the rounds and seems to follow me wherever I go. I now routinely check all computer files for references that might indicate the presence of this program."
"Ouch..." Kyle said as he put his sidearm away. "If you would have asked me, I would have gladly demonstrated this program to you." He paused a beat and added, "All us male pilots aren't alike."
"I know that, but the pain lingers." She replied quietly, and then looked at him. "I am very sorry for what I did here tonight, Commander."
"Apology accepted. You seemed to have been quite taken in by the performance. I didn't think that Vaegans got much out of music."
Ayesha sucked in a long breath, relieved that he understood. "As a rule, we don't, but...I just found myself quite captivated by the movement of the dancers and the rhythms expressed." She stared at him deciding whether or not she would venture down this path. "You seem to be quite knowledgeable on Vaegans, Commander."
"I have a reason."
She continued staring at Kyle deciding what a fellow Vaegan could see in him. He wasn't handsome by any means; in fact, she'd seen much better looking Terrans, even on this ship. But there was a certain manliness about him. And he was a man she could appreciate in more ways than one.
"So...I take it that the rumors are true," she ventured.
"I suppose you could say that."
"I see..." she mused. "While I can't speak for all Vaegan women, I find this...this... ballet you call it?"
"Correct."
"I find this ballet to be quite fascinating."
While Kyle Argent didn't answer her verbally, he responded with a slight smile and a look that seemed about as grateful as he was capable of being at this moment. She knew the type well...stoic, quiet, but oozing male sexuality from every pore.
"Now, could you tell me about this ballet?" she asked.
"The piece in question is called Ayesha's Song and is from an almost 400 year old piece by a Terran Armenian composer by the name of Aram Khachturian..."
* * *
Captain's Yeoman Duchamps Gateway was reading routine traffic when suddenly Commander Kyle Argent's medical dossier appeared on his terminal.
"Blimey!"
Boffin sprang from his chair and dashed into Captain Devlin's office.
"What's the problem, Boffin?" she asked her Yeoman.
"Mam'selle, you need to see this." Boffin ran to stand next to her and tapped a few keys on her comlink. He stepped back once the report had appeared on her screen.
* * *
MEDICAL DOSSIER
The following is Classified Omega 25
PERSONAL EVALUATION OF LT CMDR KYLE DESCOYNE ARGENT, STARFLEET FIGHTER CORPS BY DR. T'USOL, MD, PHD
The subject has a very interesting personal background in terms of his upbringing. Somewhat of a child prodigy, his intellectual efforts were most likely not just supported, but pushed upon him by his demanding father. His subsequent joining of Starfleet might very likely be interpreted as a gesture of protest towards his Father. His continued contact with his Mother seems to support this, as she encouraged him 'to be whatever he wanted to be' from an early age.
His sister, Ariel, his parents' lone remaining child, lived up to the heritage that the family seemed to be excessively proud of, and became an accomplished historian and lecturer. Currently in residence at the University of the Pacific Rim in Newport, Oregon, she also cares for her older brother's residence and on occasion, his cat, Mac. Though their family is closer to her then any other of her siblings, her family seems to have a most old-fashioned view of her lifestyle, which has resulted in some tension there as well.
Another issue pertaining to his upbringing was his tenure on Shonen VII. Home of a Federation military research facility where his father worked at for nearly ten years, much of Argent's childhood years where spent on this high-g planet. With the force of gravity being 1.72 times that of the gravity of Earth, it would explain his fabled quickness.
Argent's surprising entry into the Fighter Corps is somewhat of a mystery. As best, as I could ascertain from the subjects I interviewed, he has mentioned a deeply rooted dream of wanting to fly and be near the stars -- and do so as authentically as possible. If this were true, it would provide a somewhat likely explanation of his choice of profession and the deep spirituality that he seems to have towards flying a fighter craft.
However, when asked about it, Argent's only response was that flying seemed to be the profession he enjoyed the most. Answers of such simple and almost semi-cryptically nature are typical for Argent who is very reserved by nature.
Another aspect of influence on his life would be the loss of his wife, Reesa Ostland-Argent, in the waning days of the Szatrappi incursion. Though by all indications their marriage was a source of great happiness for Argent, his reaction to her death was not one of grief, but one of anger. Shortly after learning her death, he flew combat missions and flew even the same afternoon that he buried her. His wing members stated that they felt he became less opportunistic and more calculating after his death. However, the flight records state that after death for nearly a week, he flew more the twice the normal amount of sorties in the same time frame prior and nearly tripled his already prolific amounts of victories per sortie.
It is my belief that whatever grief Argent incurred from the loss of his wife, it still is with him and he has never satisfactorily dealt with it. This is evident by the fact that prior to his marriage and throughout it, Argent was known to be quiet but sociable and given time, quite outgoing. Since Reesa's death, however, he rarely laughs in public, keeps away from most social settings and generally avoids human contact.
There is also the issue of the court martial proceedings brought against him. However as per orders of the Judge Advocate General of Starfleet, all references to it must be kept out of Argent's record, and not available for commentary in this report.
Argent's case history does seem to indicate a personality of profound mystery and his constant refusal to divulge personal information should be suspect indicators of someone who is hiding something. However, throughout every psychiatric evaluation he has ever been subjected to, he has passed with flying colors.
I recommend that Starfleet order him to submit to further mind probes to further investigate the nature of his psyche. He has flatly refused any personal request to do so, citing the axiom of 'whatever is in my head is private, and I don't care for company'. This is of course, valid, but at this time, if there is to be any more information forthcoming about the nature and stability of his mental condition. I can't see any other way to obtain it.
* * *
Arcadia quickly scanned the document and grew very pale. "Boffin, I'm going to have to stand down the ship to put an end to this nonsense. We no longer have the luxury of time if we are to prevent more occurrences such as private dossiers appearing in public." She refocused on the terminal where Commander Argent's dossier was still on screen. She kept her eyes locked on the dossier as she said, "Please contact the XO and ask him to report to my office at faster than his convenience."
"Aye, Sir."
* * *
Gareth Roscoe's rotten luck had finally turned at cards when he noticed the sudden muffled silence surrounding him. He looked back at the card players and smiled.
"I'm so outta here," Roscoe crowed in triumph.
"What? Lemme have a chance to win it back!" one of them grumbled.
"Not a chance."
Roscoe grabbed his winnings and sauntered on into the hangar deck. On his way to join Virgil who was standing near a 'hawk, he overhead some one yell, "I always knew he was nuts." When he finally reached the 'hawk, Virgil simply stared at him. Roscoe grabbed him by the shoulders and shook him. "What the hell is going on, kid?"
Virgil handed him his datapadd. Roscoe quickly scanned it and mumbled, "Jesus H Christ..." He gave the padd back to Virgil and sought out Kyle figuring that he might want someone to talk to. Roscoe found him in his tiny office buried amongst vast quantities of datapadds.
"Say Kyle..."
"Yes, Mister Roscoe?"
Roscoe wasn't sure what to say so he just stared at him.
"Look, Roscoe, I have work to do. What do you want?"
"Ah... well...I just saw it."
Kyle went back to his paperwork. "I see."
"And... ah... I... ah..."
Kyle snapped his head back up at Roscoe. "As far as I'm concerned, this does not change the need to work out drill schedules, assign sim time, or anything else. Therefore, I suggest you return to your duties and inform the others to do likewise. That will be all."
"Yes...Sir..." Roscoe stammered as he backed out of Kyle's office.
* * *
"Thank you for coming on short notice," Captain Devlin began.
The Executive Officer nodded and sat in the chair offered to him.
"After careful consideration, especially after the appearance of Commander Argent's private medical dossier this afternoon, I have concluded that nothing on this ship is safe from interference. Therefore, I have decided that our only recourse is to stand the ship down and perform a low-level diagnostic run on all systems. Please see to it and tell my yeoman that I wish to see him."
"Yes, Sir," the XO replied on his way out of the door.
"Captain?" Boffin asked upon entry.
Arcadia waited until her office doors had closed. "Have Silver Talia here stat."
"Yes, Sir," Boffin replied as he went to put the call out.
* * *
Several days later, Captain Devlin snapped off the link and turned to her Yeoman. "Wonderful. Just bloody wonderful. I stand the ship down for several days. We run full diagnostics and we find nothing!"
"Mam'selle?"
"Boffin, I have the finest crew in the 'fleet and according to this report, the problems that we have experienced over the last few days shouldn't and couldn't have happened."
"That's news to me, Mam'selle."
She tossed the padd on her desk in disgust. "Count me in too." She sat back in her chair and crossed her arms. "Boffin, get me the Chief of Sciences. We might as well continue our survey of the gas giants."
"Aye, Sir."
* * *
Boffin told Roscoe that he had to stop by his office before they went off to Mortimer's for a drink and supper.
"Have a seat, Roscoe, I'll be right with you."
"Take your time, Bof, we have time." Roscoe sat down and waited for Boffin to finish. "Say Bof, what did you think of Argent's dossier showing up everywhere the other day?"
"Well...Mam'selle was really upset about as you can well imagine. She has Silver sniffing up and down the ship looking for clues -- been a regular visitor, that one."
"So, you made the moves on Silver yet, Bof?"
"Considering all the fuss around the ship, who the bloody hell has time?"
Roscoe snorted. "Yeah, right..."
Boffin busily checked the last of the messages when he suddenly said, "What the bloody 'ell is this?"
"What's up?"
"Some bloody fool has put in a formal protest about the holosuite always being occupied by the same party and..." Boffin stopped to scan the complaint further. "It's not as if this couple is using the 'suite night after night."
"Some people on this ship need to get a life," replied Roscoe.
"Get this, the people hogging up the holosuite are Argent and that new Marine, Deveraux."
Roscoe hopped out of the chair and went over to Boffin to read it himself. "Now that's interesting. Kinda makes some sense. I've seen them around the hangar talking with each other. Yeah...here I just thought it was just professional courtesy but now I wonder... Skye said that Kyle bitched slapped him and--"
"No joke!"
"Yup. Argent told Skye to get lost when Skye was talking to Deveraux. Hmmm...I'm sure it's just nothing but a lot of gossip."
"Yeah, but gossip has a way of having some truth to it. You should keep your eyes and ears open, mate, but in the meantime," Boffin began, "I'm done and hungry. Let's get going!"
"Mortimer's, here we come!" replied Roscoe, trailing Boffin out the door.
What the both of them didn't realize was that Arcadia was in her Ready Room and overheard the whole conversation concerning Kyle and Ayesha. She sat back in her chair and carefully considered what she had overheard. It now made some sense to her why Kyle had been suddenly unavailable the other evening –- her first evening free in a long while.
Arcadia shut off her terminal and left her Ready Room to return to her quarters. When she arrived, she decided that she was going to do something different and not think about Kyle and their future together.
* * *
"Morning Boris," Aubrey Maturin greeted Boris Brown as he walked into the office.
"Good morning, Sir."
"Coffee?" Aubrey asked as he walked over the replicator. "I figured we should save the good stuff until we really need it."
"Sir, having to continue to chart gas giants is reason enough in my book."
"True, but we'll be at it for a long while -- might as well save it."
"I agree." Aubrey handed Boris his cup, "Thank you sir." Boris took a long sip and continued, "I assume you heard that the low-level diagnostics found nothing wrong with the ship. News to me, I kept thinking that the ship was about to fall apart at any moment."
"Don't let Chief of Engineering hear you say that, but on the other hand, that thought did cross my mind."
"Think anything else is going to happen?" Boris wondered aloud.
"Please Boris," started Aubrey exasperated, "Let's not trouble trouble unless it comes troubling us."
"Doesn't charting gas giants count as trouble?" Boris asked with a mischievous grin.
"Boris," replied Aubrey with a laugh. "Get to work!"
* * *
Lieutenant Silver Talia stopped by the Captain's Ready Room before she went to her duty watch this morning to deliver her private report to Captain Devlin.
"I take it you found nothing?"
"I'm afraid not, Captain."
"Well, as we haven't had any further incidents on the ship, I think we should go back to charting the gas giants," Arcadia mused aloud. She turned back to Silver. "Thank for the report, Silver."
* * *
The Shadow in the Dark
I perused the current ship logs carefully, and then spent the next few moments browsing through the other classified logs to which I had access, with particular attention to Argent's medical dossier. I should've deduced that business about his having lived in a high-G environment from my own
observations; in retrospect, I see that he displays all the classic "bull-in-a-chinashop" mannerisms of a heavyworlder in an Earth-normal gravity field.
Serendipity, that one. My unique talents and privileges gave me free access to all the files of interest to me, but this one had actually been made public. Pure, unadulterated incompetence! What is Starfleet coming to these days? This was precisely the sort of thing that the Master File Plan and its dictates with regard to proper file management were designed to prevent! I reset the file permissions from implicit, based on work group, to explicit, based on ownership, and added a complete review of the applicable regulations to the offending computer technicians' training schedule. Fix the problem, not the blame!
As for Argent, well, it couldn't have happened to a more deserving party, now could it? And it would be a valuable lesson to that overly-lax CO. I must admit to some enjoyment in seeing her squirm -- a proper leader doesn't become intimate with any of her crew. I have been waiting for some time now to see her reap the consequences of her personal indulgence. All things come to he who waits!
It's about time I tested my control of the ship's power distribution systems.
* * *
Assistant Chief of Engineer Ian Comprehensible was taking another Bridge tour as the Officer of the Watch. His greatest hope was that it would be a quiet evening; despite his feelings of optimism, given the events of the past few weeks, such was not likely to be the case.
"Commander," the helmsman on duty began, "I'm having trouble with the con. Can you come and take a look?"
"Certainly." Ian reluctantly stood from "The Big Chair," as those on the bridge call the Captain's Chair, and went over to the helmsman's post. "What's the trouble?"
"She seems a bit sluggish."
"Hmmm...you're right." Ian continued to punch up several more commands on the console. Suddenly, the helm refused to respond to any commands. The Stellar Wind came to a complete stop.
Ian went ran back to the chair and contacting Engineering.
"Hawke? What's the story?"
"I don't know, Ian. We're having the same trouble down here too."
"Damn... thanks, Hawke."
Ian proceeded to perform a few more diagnostic tests before he had to do the inevitable. He carefully toggled the switch and began in a tentative voice, "Captain Devlin?"
"Devlin here," responded the CO in a tired, yet business-like voice.
"Captain, Commander Comprehensible, Officer of the Watch here. We are having a problem here on the bridge. The ship won't respond to any commands. I've had to go to back ups because we've lost all power to the engines."
"Bloody hell! I'll be right up."
It took no time for Arcadia to arrive and see for herself that Ian was quite correct. The ship was indeed quite dead and drifting in space.
"Commander, please continue running diagnostics and keep me informed. I'm going down to my Ready Room if you need me."
"Aye, aye, sir."
"So much for the quiet evening," Ian mumbled.
* * *
Arcadia hurried back to her Ready Room and put a call into Silver to come to her Ready Room stat.
"Thank you for coming so quickly and I am sorry to disturb you at this late hour."
"No problem, Captain," replied Silver Talia as she stifled a yawn.
"We have a problem, Silver. We have no main power and we're on back up." Arcadia stood up and walked around her desk to the front and leaned against it to face Silver. "We're stuck in space with no explanation -- except the one that I discussed with you not too long ago. I think we have someone on board whose agenda isn't assisting us in charting gas giants or anything else productive. I just hope that it doesn't get any uglier."
"Not wanting to sound the pessimist, Sir," Silver began, "but I believe our troubles are just beginning."
Arcadia let out an audible sigh. "I'm afraid you're right, Silver."
* * *
Music of the Night
Ship's power disengaged at 12:00 hours and re-engaged at 12:30 hours, right on schedule, confirming my total control of the ship's power distribution systems. The combined efforts of the entire crew have failed to discern any indication of possible cause, much less the actual one, confirming the efficacy of the spoofing and stealth subroutines.
I wonder what the much-revered Dr. Daystrom would say if he ever found out that his long-forgotten engrams were now being used to direct covert operations within the duotronic matrix of an isolinear core? It's such a simple notion, really -- subverting a starship computer system by appealing to its unsuspected baser instincts. No one expects a computer to lie to him or her, much less, that it can be induced to lie to itself. They all take things too much at their face value. No one else takes the time to look beneath the surface of things and understand them the way I do. It's criminal, the way they leave the system so open and vulnerable to attack from within. Is it any wonder that the entire Federation is in decline, when Starfleet itself is so lax?
Phase One, operational evaluation and testing, is complete.
It's time to begin operations in earnest, I think.
Initiating Phase Two. T-minus 47 hours 15 minutes and counting...!
* * *
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Portions of this work was published in InterStellar Medium, 1993-97, copyright John Burt, Allyson M. W. Dyar and Kurt F Roithinger. The editing and rewriting are copyright Allyson M.W. Dyar 2002, all rights reserved. Please don't repost this document, make this document publicly accessible via FTP, mail server, or archive site without my explicit permission. Permission is granted for one hard copy for personal use.
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Reverend Father Peter Stratos, Pastor
Reverend Father Christopher Retelas, Associate Pastor
778 S. Rosemead Blvd., Pasadena, CA 91107-5613
Tel. (626) 449–6943 ~ Fax: (626) 449–6974
www.saint-anthonys.org – firstname.lastname@example.org - www.pasadenagreekfest.org
Church office hours: Monday – Friday: 9:00 a.m. to 4:00 p.m.
(Closed Saturday and Sunday)
St. Anthony's calendar link: http://saint-anthonys.org/calendar
For pastoral emergencies please call 626-855-3640
August 26 th , 2018 – 13 th Sunday of Matthew
The Holy Martyrs Adrian & Natalie
Orthros ~ 8:45 a.m. Divine Liturgy ~ 10:00 a.m.
Today's Social Hour is hosted by the Kypreos and Soewers families.
Church School: Registration Sunday is just 2 weeks away! Be sure to attend on Sept 9! Parents will register their kids for a fantastic year of learning about their Faith, and kids get ice cream. Win-win! Sept. 16: First Day of Church School! Lessons, class pictures, group picture, and a Church School blessing will take place on this day! We can't wait to see all our students in class!
Greek Dance practices begin TODAY! Find your group below (based on the 2018-19 school year) and attend Sunday practices to prepare for our church's upcoming festival performances. Bouboukakia (TK-Kindegarten-4.5 years old as of 9/1), 1-2:30 pm, upstairs; New group (1 st -3 rd grade), 1-2:30 pm, upstairs; Neolea (4 th -6 th grade), 1-2:30 pm, in hall; Spitha (7 th to 11 th grade), 2-4 pm, upstairs; Pyrkagia (12 th through college), 3-6 pm, upstairs. Greek Dance registration will open Sept. 1 and ends Oct. 1 for dancers interested in dancing at the Folk Dance Festival in February. More details to come!
2018 Festival Pastry Preparation schedule: Please join us – everyone is invited (lunch will be provided). Cooking will start at 9 AM each day. Ending times vary depending on the items being prepared and the number of volunteers that attend. Any amount of time volunteered is a big help and greatly appreciated!
Personal Finance Classes will be conducted on nine (9) Sundays from 1 pm to 3 pm in classroom 2D of the community center. The dates are as follows: Sept 9, 16, 30, Oct 7, 14, 21, 28, Nov 4, and 11. Class info link: https://fpu.com/1070093
Divine Services for the months of August & September (saint-anthonys.org/calendar):
Monday, Aug. 27 th – St. Phanourios (Doxology & Liturgy 9:00am) BRING FANOUROPITA! Wednesday, Aug. 29 th – Beheading of John the Baptist (Orthros 9:00am, Liturgy 10:00am) Saturday, Sept. 8 th – Nativity of the Theotokos (Orthros 9:00am, Liturgy 10:00am) Friday, Sept. 14 th – Exaltation of the Holy Cross (Orthros 9:00am, Liturgy 10:00am) Wednesday, Sept. 26 th – St. John the Theologian (Orthros 9:00am, Liturgy 10:00am)
Greek Language school 2018-19: First day, Sept 10 th for all Monday students and September 14th for all Friday students. Registration forms for children and adult classes with curriculum and calendar can be found at: saint-anthonys.org/ministries/greek-language-school. Early children registration with a discounted rate will end Sept 4th. Tuition with complete registration forms shall be sent to the church office. For more information please contact Anastasia at email@example.com.
It's time to dust off your bowling ball and join the St. Anthony Bowling League! It will be a fun night once a week to spend time with friends! Tuesdays from 7-9pm (Sept-Nov) at AMF Bowling Square Lanes in Arcadia, for all Young Adults and Up! Please respond ASAP to Pana Gelt if you are interested. firstname.lastname@example.org or 626-293-7588. We will meet in early September to go over details and pick teams. Hope you can join!
St. Anthony's Greek Festival: will return to St Anthony Greek Orthodox Church and will take place from Friday, Sept. 21 to Sunday Sept 23. There are several ways to contribute to our festival success: adopt a whole booth or part of a booth, donate for festival needs, volunteer and be part of the energetic festival committee or to work on the days of the festival, various times and jobs will be available. Please watch for announcements about how to participate in this fantastic event where we share our faith and culture with our local community.
Hospital/Shut-in visitations: It is a priority for our priests to visit and minister to our loved ones in need, and we are not aware of parishioners in need unless we are directly notified. If you, or a loved one, are in the hospital, rehab center, assisted living, or hospice care, please contact the church office for a pastoral visit.
Union Station Homeless Services Thank you for supporting this worthwhile program by volunteering your time to serve the homeless. USHS staff and clients are always happy to see our group from Saint Anthony Greek Orthodox Church. This year we continue to provide nutritious hot meals and serve those less fortunate. Contact email@example.com, firstname.lastname@example.org or email@example.com.
Parish Pay (WeShare) is an easy method to make stewardship contributions to Saint Anthony Church. To sign up, please either: Visit saint-anthonys.churchgiving.com. If weekly envelopes are not your preference, Parish Pay is an easy alternative for your stewardship.
Order for Holy Communion (for Baptized and/or Chrismated Orthodox Christians): The acolytes, choir, and chanters receive Holy Communion first. Next, the parishioners from the front pew, one pew at a time should approach the chalice. Please allow ushers to dismiss you.
HYMNS OF THE DAY
(DURING SMALL ENTRANCE)
(1) Resurrectional Apolytikion. Mode 4.
When the women Disciples of the Lord had learned from the Angel the joyful message of the Resurrection and rejected the ancestral decision, they cried aloud to the Apostles triumphantly: Death has been despoiled, Christ God has risen, granting His great mercy to the world.
Τὸ φαιδρὸν τῆς Ἀναστάσεως κήρυγμα, ἐκ τοῦ Ἀγγέλου μαθοῦσαι αἱ τοῦ Κυρίου Μαθήτριαι, καὶ τὴν προγονικὴν ἀπόφασιν ἀπορρίψασαι, τοῖς Ἀποστόλοις καυχώμεναι ἔλεγον· Ἐσκύλευται ὁ θάνατος, ἠγέρθη Χριστὸς ὁ Θεός, δωρούμενος τῷ κόσμῳ τὸ μέγα ἔλεος.
(AFTER SMALL ENTRANCE)
(2) Resurrectional Apolytikion. Mode 4.
When the women Disciples of the Lord had learned from the Angel the joyful message of the Resurrection and rejected the ancestral decision, they cried aloud to the Apostles triumphantly: Death has been despoiled, Christ God has risen, granting His great mercy to the world.
Τὸ φαιδρὸν τῆς Ἀναστάσεως κήρυγμα, ἐκ τοῦ Ἀγγέλου μαθοῦσαι αἱ τοῦ Κυρίου Μαθήτριαι, καὶ τὴν προγονικὴν ἀπόφασιν ἀπορρίψασαι, τοῖς Ἀποστόλοις καυχώμεναι ἔλεγον· Ἐσκύλευται ὁ θάνατος, ἠγέρθη Χριστὸς ὁ Θεός, δωρούμενος τῷ κόσμῳ τὸ μέγα ἔλεος.
(3) Apolytikion of St. Adrian. Mode 3.
You forsook the ways and false religion of your ancestors, for you considered the saving faith to be wealth irremovable. And as you followed the steps of the Lord of all, you were enriched by the gifts of His grace divine. Glorious Adrian, beseech Christ God fervently, entreating Him to save our souls.
Ἀναφαίρετον ὄλβον ἡγήσω, τὴν σωτήριον πίστιν τρισμάκαρ, καταλιπὼν τὴν πατρῴαν ἀσέβειαν, καὶ τῷ Δεσπότῃ κατ' ἴχνος ἑπόμενος, κατεπλουτίσθης ἐνθέοις χαρίσμασιν, Ἀδριανὲ ἔνδοξε, Χριστὸν τὸν Θεὸν ἱκέτευε, σωθῆναι τὰς ψυχὰς ἡμῶν.
(4) Apolytikion for St. Anthony the Great. Mode 4.
Emulating the ways of Elijah the zealot, and following the straight paths of the Baptist, O Father Anthony, you made the wilderness a city, and did support the world by your prayers. Wherefore intercede with Christ our God, that our souls be saved.
Τὸν ζηλωτὴν Ἠλίαν τοῖς τρόποις μιμούμενος, τῷ Βαπτιστῇ εὐθείαις ταῖς τρίβοις ἑπόμενος, Πάτερ Ἀντώνιε, τῆς ἐρήμου γέγονας οἰκιστής, καί τήν οἰκουμένην ἐστήριξας εὐχαῖς σου· διὸ πρέσβευε Χριστῷ τῷ Θεῷ σωθῆναι τὰς ψυχὰς ἡμῶν.
(5) Seasonal Kontakion. Mode 4.
Both Joachim and Anna from their sterility's stigma, and Adam and Eve from their mortality's ruin have been set free, O immaculate Maid, by your holy nativity. For this do your people hold celebration, redeemed from the guilt of transgression as they cry to you, "The barren one bears the Theotokos, the nourisher of our Life."
Ἰωακεὶμ καὶ Ἄννα ὀνειδισμοῦ ἀτεκνίας, καὶ Ἀδὰμ καὶ Εὔα, ἐκ τῆς φθορᾶς τοῦ θανάτου, ἠλευθερώθησαν, Ἄχραντε, ἐν τῇ ἁγίᾳ γεννήσει σου· αὐτὴν ἑορτάζει καὶ ὁ λαός σου, ἐνοχῆς τῶν πταισμάτων, λυτρωθεὶς ἐν τῷ κράζειν σοι· Ἡ στεῖρα τίκτει τὴν Θεοτόκον, καὶ τροφὸν τῆς ζωῆς ἡμῶν.
READINGS OF THE DAY
Orthros Gospel Reading
The Gospel According to Mark 16:1-8
When the Sabbath was past, Mary Magdalene, and Mary the mother of James, and Salome, bought spices, so that they might go and anoint Jesus. And very early on the first day of the week they went to the tomb when the sun had risen. And they were saying to one another, "Who will roll away the stone for us from the door of the tomb?" And looking up, they saw that the stone was rolled back, for it was very large. And entering the tomb, they saw a young man sitting on the right side, dressed in a white robe; and they were amazed. And he said to them, "Do not be amazed; you seek Jesus of Nazareth, who was crucified. He has risen, he is not here; see the place where they laid him. But go, tell his disciples and Peter that he is going before you to Galilee; there you will see him, as he told you." And they went out and fled from the tomb; for trembling and astonishment had come upon them; and they said nothing to any one, for they were afraid.
Epistle Reading
The reading is from St. Paul's First Letter to the Corinthians 16:13-24
Brethren, be watchful, stand firm in your faith, be courageous, be strong. Let all that you do be done in love. Now, brethren, you know that the household of Stephanas were the first converts in Achaia, and they have devoted themselves to the service of the saints; I urge you to be subject to such men and to every fellow worker and laborer. I rejoice at the coming of Stephanas and Fortunatus and Achaicos, because they have made up for your absence; for they refreshed my spirit as well as yours. Give recognition to such men. The churches of Asia send greetings. Aquila and Prisca, together with the church in their house, send you hearty greetings in the Lord. All the brethren send greetings. Greet one another with a holy kiss. I, Paul, write this greeting with my own hand. If any one has no love for the Lord, let him be accursed. Our Lord, come! The grace of the Lord Jesus be with you. My love be with you all in Christ Jesus. Amen.
Gospel Reading
13th Sunday of Matthew The Gospel According to Matthew 21:33-42
The Lord said this parable, "There was a householder who planted a vineyard, and set a hedge around it, and dug a wine press in it, and built a tower, and let it out to tenants, and went into another country. When the season of fruit drew near, he sent his servants to the tenants, to get his fruit; and the tenants took his servants and beat one, killed another, and stoned another. Again he sent other servants, more than the first; and they did the same to them. Afterward he sent his son to them, saying 'They will respect my son.' But when the tenants saw the son, they said to themselves, 'This is the heir; come, let us kill him and have his inheritance.' And they took him and cast him out of the vineyard and killed him. When therefore the owner of the vineyard comes, what will he do to those tenants?" They said to him, "He will put those wretches to a miserable death, and let out the vineyard to other tenants who will give him the fruits in their seasons." Jesus said to them, "Have you never read in the scriptures: 'The very stone which the builders rejected has become the head of the corner; this was the Lord's doing, and it is marvelous in our eyes?'"
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IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE
In re:
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Chapter 11
DURA AUTOMOTIVE SYSTEMS, INC., et. al.,
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Case No. 06-11202-KJC Jointly Administered
Debtors.
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THOMAS A. AND PATTIANN KURAK)
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Adv. Pro. No.: 07-51715-KJC
Plaintiffs,
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v.
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DURA AUTOMOTIVE SYSTEMS, INC., et al.,
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Defendants
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BANK OF NEW YORK TRUST CO., N.A. Intervening Defendant
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MEMORANDUM 1
BY: KEVIN J. CAREY, UNITED STATES BANKRUPTCY JUDGE
On October 30, 2006 (the "Petition Date"), Dura Automotive Systems, Inc. and related entities (the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the District of Delaware. The Debtors are operating their businesses and managing their properties as debtors-in-possession pursuant to Bankruptcy Code sections 1107(a) and 1108.
1This Memorandum constitutes the findings of fact and conclusions of law required by Fed. R. Bankr. P. 7052. This court has jurisdiction over this matter pursuant to 28 U.S.C. § 1334(b) and §157(a).This is a core proceeding pursuant to 28 U.S.C. 157(b)(1) and § 157(b)(2)(A), (L) and (O).
The Debtors filed a proposed plan of reorganization (as amended, the "Plan") and corresponding disclosure statement (as amended, the "Disclosure Statement") on August 22, 2007. Revised versions of the Plan and Disclosure Statement were filed on September 28, 2007 and October 4, 2007. The Disclosure Statement was approved by the Court on October 4, 2007. The deadline for filing objections to the Plan was November 5, 2007 and the deadline for creditors to vote whether to accept or reject the Plan was November 15, 2007. Hearing on confirmation of the Plan is now scheduled for December 11, 2007.
Thomas A. and Pattiann Kurak (the "Plaintiffs") assert that they are beneficial holders of $81.5 million of certain subordinated notes issued by Debtor Dura Operating Corp. ("Dura OpCo") pursuant to the Subordinated Note Indenture (described in more detail below), who argue that the Debtors' Plan improperly excludes them from all distributions and recovery. 2 On September 19, 2007, the Plaintiffs filed this adversary proceeding against the Debtors, seeking a declaratory judgment that the Debtors' Plan violates applicable law by failing to provide for a distribution to Plaintiffs of New Common Stock (as defined below) and by failing to allow the Plaintiffs to participate in the Rights Offering (as defined below). See Complaint at p. 11. The Complaint also seeks a declaratory judgment that any plan proposed by the Debtors that distributes stock to general unsecured creditors must include a pro rata distribution that is received and retained by the Plaintiffs. Id.
2I do not consider as relevant, in these circumstances, that the Plaintiffs purchased their subordinated notes at a substantial discount to par. See Supplemental 2019 Statement filed by Plaintiffs' counsel (main case docket no. 2203).
By order dated October 15, 2007, the Bank of New York Trust Company, N.A. ("BNY" or the "Senior Notes Trustee") was authorized to intervene as a defendant in this adversary proceeding.
Currently before this Court are the following motions:
1. Motion by The Bank of New York Trust Company, N.A. to dismiss Adversary Proceeding, or, in the Alternative, for Summary Judgment (the "BNY Motion") (docket no. 14)
2. Defendants-Debtors' Motion for Summary Judgment (docket no. 19); and
3. Plaintiffs' Motion for Summary Judgment (docket no. 24)
(collectively, the "Motions"). The Plaintiffs filed a response in opposition to the BNY Motion and the Debtors' Motion for Summary Judgment (docket no. 37). BNY and the Debtors' filed responses in opposition to the Plaintiff's Motion for Summary Judgment (docket nos. 34 and 35). Each party also filed a reply brief in support of its own motion (docket nos. 42, 45, and 47). Oral argument on the Motions was held on December 3, 2007.
In the BNY Motion, BNY argues that the Plaintiffs lacked the right to commence the adversary proceeding because they failed to follow procedural requirements set forth in the Subordinated Note Indenture. For the reasons set forth below, BNY's request for dismissal of the complaint will be denied.
The issue in the competing motions for summary judgment is whether a provision in the Subordinated Notes Indenture (known as the "X-Clause") and applicable provisions of the Bankruptcy Code entitle the Plaintiffs (and other subordinated noteholders) to receive and retain a pro rata distribution of stock, and the right to acquire stock, which the Plan offers to other unsecured creditors. For the reasons set forth below, I conclude that the Plaintiffs' reading of the
X-Clause is inconsistent with the broader context of the Subordinated Notes Indenture. I agree with the Court's analysis in In re Envirodyne Indus., Inc., 29 F.3d 201 (7 th Cir. 1994), and related case law. Accordingly, and for the reasons set forth herein, BNY's and the Debtors' motions for summary judgment will be granted and the Plaintiffs' motion for summary judgment will be denied.
UNDISPUTED FACTS
From the parties' respective submissions, I discern the following undisputed facts, upon which I rely in my analysis of the Motions.
A. The Indentures.
In April 1999, Series A and Series B of the 9% Notes, denominated $300 million (U.S.) and $100 million, respectively, were issued pursuant to two indentures, each dated as of April 22, 1999 (as amended or supplemented, the "April 1999 Indentures"), among Dura OpCo, as issuer, U.S. Bank Trust National Association ("US Bank"), as indenture trustee, and certain of the Defendants listed on the signature pages thereto as guarantors (the "Guarantors"). Subsequently, Dura OpCo issued an additional $158.5 million in 9% Notes, Series C and D, pursuant to that certain indenture, dated as of June 22, 2001 (as amended or supplemented, the "June 2001 Indenture" and, together with the April 1999 Indentures, the "Subordinated Note Indenture"), among Dura OpCo, as issuer, US Bank, as indenture trustee, and the Guarantors, as guarantors. The holders of notes issued under the Subordinated Note Indenture are known herein as the "Subordinated Noteholders" or the "9% Noteholders."
In April of 2002, Dura OpCo issued the 8 5/8% Senior Notes (the "Senior Notes") in the aggregate principal amount of $400 million, pursuant to that certain indenture dated as of April
18, 2002 (as amended or supplemented, the "Senior Notes Indenture") among Dura Op Co, as issuer, BNY, as indenture trustee, and certain Defendants listed on the signature pages thereto as guarantors.
Article 10 of the Subordinated Note Indenture is entitled "Subordination" and contains the following provision:
Section 10.01 Agreement to Subordinate.
The Company agrees, and each Holder by accepting a Note agrees, that the Indebtedness evidenced by the Notes is subordinated in right of payment, to the extent and in the manner provided in this Article 10, to the prior payment in full of all Senior Debt of the Company, including Senior Debt incurred after the date of this Indenture, and that the subordination is for the benefit of the holders of Senior Debt.
See Subordinated Notes Indenture at §10.01. The term "Company" is defined in the Subordinated Notes Indenture as "Dura Operating Corp., and any and all successors thereto." See Subordinated Notes Indenture, §1.01. The Subordinated Note Indenture also provides a specific provision addressing the subordination in the event of a chapter 11:
Section 10.02. Liquidation; Dissolution; Bankruptcy.
Upon any distribution to creditors of the Company in a liquidation or dissolution of the Company, in a bankruptcy, reorganization, insolvency, receivership or similar proceeding relating to the Company or its property, in an assignment for the benefit of creditors or in any marshalling of the Company's assets and liabilities:
(i) holders of Senior Debt shall be entitled to receive payment in full of all Obligations due in respect of such Senior Debt (including interest after the commencement of any such proceeding at the rate specified in the applicable Senior Debt) before Holders of the Notes shall be entitled to receive any payment with respect to the Notes (except that Holders may receive (i) Permitted Junior Securities and (ii) payments and other distributions made from any defeasance trust created pursuant to Section 8.01 hereof); and
(ii) until all Obligations with respect to Senior Debt (as provided in subsection (i) above) are paid in full, any distribution to which Holders would be entitled but for
this Article 10 shall be made to the holders of Senior Debt (except that Holders of Notes may receive (i) Permitted Junior Securities and (ii) payments and other distributions made from any defeasance trust created pursuant to Section 8.01 hereof), as their interests may appear.
See Subordinated Notes Indenture, §10.03 (adding emphasis to the language at issue, known as the "X-Clause"). The term "Permitted Junior Securities" is defined in Section 1.01 as follows and is reproduced here precisely as it appears in the Subordinated Notes Indenture :
"Permitted Junior Securities" means:
(1) Equity Interests in the Company, DASI or any Guarantor; or
(2) debt securities that are subordinated to all Senior Debt and any debt securities issued in exchange for Senior Debt to substantially the same extent as, or to a greater extent than, the Notes and the Guaranties are subordinated to Senior Debt under this Indenture.
See Subordinated Notes Indenture, §1.01.
B. The Plan.
The Debtors' prepetition non-current debt structure is approximately $1.3 billion and comprised of: (a) credit facilities secured by first and second liens providing for aggregate borrowings of $325 million; (b) the Senior Notes, in principal face amount of $400 million; (c) the Subordinated Notes, in principal face amount of approximately $536.6 million (using the exchange rate applicable on the Petition Date for those Subordinated Notes denominated in Euros), and (d) certain convertible subordinated debentures, in principal face amount of $55.2 million (the "Convertible Notes"). (See Disclosure Statement at 5-8).
The Plan contemplates a rights offering ("Rights Offering") of between $140 million and $160 million in new cash investments in exchange for between 39.3% and 42.6% of the common stock of the reorganized company (the "New Common Stock"), with the balance of the New Common Stock being distributed to holders of the Senior Notes and certain large trade creditors.
(See Disclosure Statement at xi). Based on the valuations set forth in the Disclosure Statement, the Plan provides for holders of Senior Notes and other unsecured claimants to receive substantially less than full recovery on their claims. 3 (Id. at xiii).
The Plan provides the following classification and treatment of the Debtors' unsecured notes:
Class 3 – Senior Notes Claims. The Plan provides that claims in Class 3, the Senior Notes claims, will receive their pro rata share of New Common Stock (including the New Common Stock that would otherwise be distributable to the holders of the Subordinated Notes and the Convertible Notes but for the subordination provision) and be afforded the right to participate in the rights offering. (See Plan at III.B.3). Even with the enforcement of the subordination provisions, it is estimated that holders of Senior Notes Claims will receive a recovery of only approximately 55% of the value of their claim. (See Disclosure Statement at xiii).
Class 4 – Subordinated Notes Claims. With respect to claims in Class 4, the 9% Subordinated Notes claims, the Plan provides that "Holders of Subordinated Notes Claims shall neither receive nor retain any property under the Plan, pursuant to the Subordinated Notes Indenture, which subordinate their right to payment to the right of holders of Senior Notes Claims to payment in full prior to any distribution being made to holders of 9% Subordinated Notes Claims." (See Plan at III.B.4). The Plan further provides that holders of 9% Subordinated Notes claims are not entitled to vote, as they are "conclusively deemed to reject the Plan." (Id).
Class 6 – Convertible Notes Claims. Similarly, with respect to claims in Class 6, the Convertible Notes claims, the Plan provides that "Holders of Convertible Subordinated Debentures Claims shall neither receive nor retain any property under the Plan, pursuant to the Convertible Subordinated Indenture, which subordinates their right to payment to the right of holders of Senior Notes Claims to payment in full prior to any distribution being made to holders of Convertible Subordinated Debentures Claims." (See Plan at III.B.6). The Plan further provides that holders of Convertible Notes claims are not entitled to vote, as they are "conclusively deemed to reject the Plan." (Id.)
3The Plaintiffs, separately, have filed other objections to the Plan. The Plaintiffs say they have not conceded that the Debtors' valuations are accurate, but have presented no valuation evidence in connection with the Motions. While not relinquishing any Plan objection to the Debtor's enterprise valuation, the Plaintiffs intend to present no witnesses at the confirmation hearing in support of any alternate valuation or otherwise. See Joint Pretrial Memorandum related to confirmation (main case docket no. 2383) at p. 65.
The Subordinated Notes are not permitted to participate in the Rights Offering. Any New Common Stock otherwise distributable to the Subordinated Noteholders will instead be distributed to the 8 5/8% Noteholders.
DISCUSSION
A. BNY's Motion to Dismiss.
As a threshold issue, BNY argues that the Plaintiffs do not have standing to bring this adversary proceeding because the Plaintiffs failed to allege in their complaint that they satisfied the procedural requirements of Section 6.06 of the Subordinated Notes Indenture, which provides as follows:
A Holder of a Note may pursue a remedy with respect to this Indenture or the Notes only if:
(a) the Holder of a Note gives to the Trustee written notice of a continuing Event of Default;
(b) the Holders of at least 25% in principal amount of the then outstanding Notes make a written request to the Trustee to pursue the remedy;
(c) such Holder of a Note or Holders of Notes offer and, if requested, provide to the Trustee indemnity satisfactory to the Trustee against any loss, liability or expense;
(d) the Trustee does not comply with the request within 60 days after receipt of the request and [sic] the offer and, if requested, the provision of indemnity; and
(e) during such 60-day period the Holders of a majority in principal amount of the then outstanding Notes do not give the Trustee a direction inconsistent with the request.
See Subordinated Notes Indenture, §6.06. In response, the Plaintiffs argue that this section (known as a "no-action clause") only applies to pursuit of a default remedy and, therefore, is not applicable to their declaratory judgment action. The term "remedy" is not defined in the Subordinated Notes Indenture and I disagree that the language in the indenture necessarily limits application of this provision to specific types of remedies. Furthermore, the Plaintiffs argue that they were not required to ask the indenture trustee (US Bank) to bring the action because such a demand would be futile, since the deadlines for Plan confirmation prevent the Plaintiffs from
waiting sixty days for the indenture trustee's response. Finally, the Plaintiffs also argue that the Court should hear this action under principles of judicial economy because they have asserted the same issue as a confirmation objection.
A no-action clause is a bargained-for contractual provision that inures to the benefit of both the issuer and the investors. Feldbaum v. McCrory, 1992 WL 119095, *5 (Del.Ch. June 2, 1992). The main purpose of a no-action clause is:
to deter individual debentureholders from bringing independent law suits for unworthy or unjustifiable reasons, causing expense to the Company and diminishing its assets. The theory is that if the suit is worthwhile, [a significant percent] of the debentureholders would be willing to join in sponsoring it.... An additional purpose is the expression of the principle of law that would otherwise be implied that all rights and remedies of the indenture are for the equal and ratable benefit of all holders.
Feldbaum, 1992 WL 119095, *6 quoting The American Bar Foundation's Commentaries on Indentures, §5.7, at 232 (1971). Courts have recognized, however, that asking a trustee to take action may be excused if such a demand would be futile. Cypress Assoc., LLC v. Sunnyside Cogeneration Assoc. Project, 2006 WL 668441, *6-*7 (Del. Ch. March 8, 2006) (The court decided that a no-action clause is an important, but surmountable, barrier to lawsuits that may be overcome when proceeding under the clause would be futile. The court held that asking a majority of bondholders or the trustee to bring an action to enforce minority rights would be futile and, therefore, was not barred by the no-action clause); Ettlinger v. The Persian Rug and Carpet Co., 142 N.Y. 189, 193, 36 N.E. 1055 (N.Y. 1894) (The court held that any emergency which makes a demand upon the trustee futile or impossible, and leaves the right of the bondholder without other reasonable means of redress, should justify allowing the bondholder to appear).
Parties should not be readily freed from the constraints of a clearly written noaction clause. However, dismissing the complaint at this juncture to allow the Plaintiffs to comply with the procedural requirements would only cause further delay. Moreover, at oral argument the parties indicated that the indenture trustee was unlikely to pursue this action, due to a failure to reach a satisfactory indemnification agreement.
The Plaintiffs argue correctly that, regardless of the no-action clause, they have a right to be heard on this issue at confirmation under Bankruptcy Code §1109(b). The no-action clause's main purpose - - to prevent the expense of unwarranted litigation - - is not applicable to this adversary proceeding. As a practical matter, all of the parties consented to scheduling oral argument on this issue prior to the confirmation hearing and, further, expressed their interest in having this matter decided prior to confirmation, since a judgment against the Debtors on this issue would likely require - - at the least - - major revisions to the Debtors' Plan. Because dismissal of the complaint would not advance the interests of any party or further the purposes of the no-action clause, BNY's Motion to Dismiss, under these specific circumstances, will be denied.
B. The Motions for Summary Judgment.
(1) Standard for Summary Judgment.
Cross-motions for summary judgment do not require the court to grant summary judgment unless one of the moving parties is entitled to judgment as a matter of law upon facts that are not genuinely disputed. Manetas v. Int'l Petroleum Carriers, Inc., 541 F.2d 408, 413 (3d Cir. 1976). Summary judgment is appropriate when "the pleadings, depositions, answers to interrogatories, and admissions on file, together with the affidavits, if any, show that there is no genuine issue as to any material fact and that the moving party is entitled to judgment as a matter of law." Fed. R. Civ. P. 56(c), made applicable to this adversary proceeding by Fed. R. Bankr. P. 7056. In a motion for summary judgment, the moving party "always bears the initial responsibility of informing the...court of the basis for its motion, and identifying those portions of 'the pleadings, depositions, answers to interrogatories and admissions on file, together with the affidavits, if any,' which it believes demonstrate the absence of a genuine issue of fact." Celotex Corp. v. Catrett, 477 U.S. 317, 323, 106 S.Ct. 2548, 2553, 91 L.Ed.2d 265 (1986).
(2) The "X-Clause".
All of the parties agree on the following principles:
1. The Subordinated Notes Indenture should be enforced in accordance with its terms;
2. The X-Clause is enforceable in bankruptcy. Bankruptcy Code § 510(a) 4 ;
3. The Court must look to state law – in this case the law of New York state – to interpret the Subordinated Notes Indenture and to determine the intent of the parties; and
4. The contract provisions at issue here are not ambiguous. 5
It is also not disputed that the purpose of subordination provisions in the Subordinated Notes Indenture is to assure payment in full of the Senior Notes before there is any recovery on
4Section 510(a) provides: (a) A subordination agreement is enforceable in a case under this title to the same extent that such agreement is enforceable under applicable nonbankruptcy law.
5"[W]hen opposing parties agree that the document whose meaning they dispute is not ambiguous, all they mean is that they are content to have its meaning determined without the help of extrinsic evidence." Envirodyne, 29 F.3d at 304.
the Subordinated Notes. 6 The use and purpose of an x-clause was described by the court in Deutsche Bank AG v. Metromedia Fiber Network, Inc. (In re Metromedia Fiber Network, Inc.), 416 F.3d 136 (2d Cir. 2005) as follows:
Helpful guidance is found in the American Bar Foundations' Commentaries on Model Debenture Indenture Provisions (1971) [hereinafter Commentaries]. In a nutshell, when subordinated and senior note holders are given securities under a plan of reorganization, an X-Clause allows the subordinated note holder to retain its securities only if the securities given to the senior note holder have higher priority to future distributions and dividends (up to the full amount of the senior notes). This provides for full payment of the senior notes before any payment of the subordinated notes is made. In such a case, the senior note holder enjoys unimpaired the priority to payment that it had under its notes, i.e., payments on the subordinated note holder's securities are" subordinate...to the payment of all Senior Indebtedness." See Commentaries, supra, § 14-5, at 570 (X-Clause is triggered where "mortgage bonds, preferred stock or similar higher class security" are provided to senior note holders and "common stock" is provided to subordinated note holders because "this kind of distribution gives practical effect to the subordination and therefore turnover is not required"); Ad Hoc Committee for Revision of the 1983 Model Simplified Indenture, Revised Model Simplified Indenture, 55 Bus. Law. 1115, 1221 (2000)("If Senior Debt were to receive preferred stock and the subordinated debt were to receive common stock, for example, where the preferred stock precluded distributions to common stockholders until the preferred stock was redeemed, the X-Clause would permit that distribution."). This approach assures that the junior creditor remains fully subordinated without requiring it to yield assets that are not required for full payment of the senior creditor and that would therefore make a round-trip to the senior creditor and back with the attendant delay, friction, and transaction cost.
6The Plaintiffs, curiously, do not concede that the 8 5/8% Notes are senior to the 9% Notes, but assert that such a determination is not necessary to decide their Motion for Summary Judgment. Plaintiffs' Memorandum of Law in Support of Their Motion for Summary Judgment (docket no. 25) at p. 2 n.2. In any event, the Plaintiffs advance no specific basis for a challenge to the seniority of the 8 5/8% Notes.
Metromedia, 416 F.3d at 139-140 (footnote omitted). 7
The best summary of the Plaintiffs' arguments is contained in their Reply Memorandum of Law in Support of their Motion for Summary Judgment (docket no. 45)(the "Plaintiffs' Reply"):
Plaintiffs' argument is straightforward: they are entitled to receive New Common Stock because, by operation of the unconditional and absolute obligation of the Debtors to repay the 9% Notes and Section 1129(b) of the Bankruptcy Code, the 9% Notes must receive the same distribution as any other general unsecured
7The Plaintiffs contend that, in this exercise, the Court should not consider any source outside of the "four corners" of the indenture. The Metromedia Court noted that it was appropriate to consider the Commentaries and that it had done so to interpret indenture provisions in other cases. See, e.g., Elliott Assocs. v. J. Henry Schroder Bank & Trust Co., 838 F.2d 66, 71-72 (2d Cir.1988); Sharon Steel Corp. v. Chase Manhattan Bank, N.A. 691 F.2d 1039, 1048-50 (2d Cir.1982). Metromedia, 416 F.3d at 139 n.2. The Seventh Circuit Court of Appeals was even more detailed in its defense of the use of the
Commentaries in
Envirodyne:
The rule that bars the introduction of extrinsic evidence when a contractual provision is more or less clear "on its face" (e.g., Patton v. Mid-Continent Systems, Inc., 841 F.2d 742, 745 (7 th Cir..1988); Coplay Cement Co. v. Willis & Paul Group, 983 F.2d 1435, 1438-39 (7 th Cir.1993)) instantiates the broader principle that (with exceptions unnecessary to consider here) parol or extrinsic evidence is admissible to interpret but not to contradict or alter the written contract. 2 E. Allan Farnsworth, Farnsworth on Contracts § 7.12, pp. 272-73 (1990). If the written contract is clear without extrinsic evidence, then such evidence could have no office other than to contradict the writing, and is therefore excluded. The object in excluding such evidence is to prevent parties from trying to slip out of their clearly stated, explicitly assumed contractual obligations through self-serving testimony or documentswhich, though self-serving, might impress a jury-purporting to show that the parties didn't mean what they said in the written contract. Contractual obligations would be too uncertain if such evidence were allowed. But dictionaries, treatises, articles, and other published materials created by strangers to the dispute, like evidence of trade usage, which is also admissible because it is also evidence created by strangers rather than by a party trying to slip out of a contractual bind, do not present a similar danger of manufactured doubts and are therefore entirely appropriate for use in contract cases as interpretive aids. Appropriate, and sometimes indispensable. It would be passing odd to forbid people to look up words in dictionaries, or to consult explanatory commentaries that, like trade usage, are in the nature of specialized dictionaries.
Envirodyne, 29 F.3d at 305.
creditor of the Debtors, unless there is some basis for disparate treatment of the 9% Notes. The subordination provisions of the 9% Indenture provides this basis in most circumstances; however, Permitted Junior Securities are unambiguously excepted from the subordination provisions by the X-Clause, and therefore holders of the 9% Notes may receive such securities even if the 8 5/8% Notes have not yet received payment in full. Because New Common Stock and the Rights Offering clearly fall within the definition of Permitted Junior Securities, Plaintiffs and all other holders of the 9% Notes must share in the distribution of New Common Stock and be permitted to participate in the Rights Offering on a pari passu basis with holders of the 8 5/8% Notes. Otherwise, the Plan is in clear violation of section 1129(b) of the Bankruptcy Code [prohibiting unfair discrimination between classes of creditors of equal priority].
Plaintiffs' Reply at p. 1 (emphasis in original).
The key to this position rests upon the Plaintiffs' assertion that the Subordinated Notes Indenture's definition of "Permitted Junior Securities" sets forth phrases (1) and (2) as independent clauses. This interpretation rests on the use of a semi-colon and the word "or" at the end of phrase (1), a blank line, and the break which separates phrase (2). The consequence of this reading places "Equity Interests" within the definition without qualification, while "debt securities," the subject of phrase (2), are "Permitted Junior Securities" only if subordinated to the Senior Notes. Since the term "Equity Interests" would include, in this case, the distribution of New Common Stock and the right to participate in the Rights Offering, the Plaintiffs claim that the X-Clause exception to subordination applies, and the Subordinated Noteholders are entitled to retain their share of the Plan's distribution to general unsecured creditors. 8
8The term "Equity Interests" is defined in the Subordinated Notes Indenture as "Capital Stock and all warrants, options or other rights to acquire Capital Stock (but excluding any debt security that is convertible into, or exchangeable for, Capital Stock). Subordinated Notes Indenture, §1.01. The definition of the term "Capital Stock" states that it includes "in the case of a corporation, corporate stock." Id.
The Defendants respond to this by pointing out that "every subordinated noteholder that has litigated this issue has made precisely the same argument..." and lost. See Reply Memorandum of BNY (docket no. 42) at p. 23. The Defendants cite to three reported decisions (and one unreported decision) in support of this view. All three reported decisions are by circuit courts of appeals.
In In re Envirodyne Industries, Inc., 161 B.R. 440, 447 (Bankr.N.D. Ill.1993), aff'd, 29 F.3d 301 (7 th Cir. 1994), the x-clause at issue provided that:
all Superior Indebtedness shall first be paid in full before the Noteholder...shall be entitled to retain any assets (other then [sic] shares of stock of the Company, as reorganized or readjusted or securities of the Company or any other corporation provided for by a plan of reorganization or readjustment, the payment of which is subordinated, at least to the same extent as the Notes, to the payment of all Superior Indebtedness which may at the time be outstanding)...
Envirodyne, 161 B.R. at 444 (emphasis added). The proposed plan in Envirodyne provided that both the junior and senior debt would receive common stock of the reorganized company, but that the senior debt would receive the common stock initially allocated to the junior debt as a result of subordination. Envirodyne, 161 B.R. at 443-44. The junior debtholders objected to confirmation of the plan arguing, as Plaintiffs do here, that they were entitled to receive stock in the reorganized company on the same basis as the senior debt because, under the terms of the xclause at issue there, a distribution of "shares of common stock" (as opposed to a distribution of "securities") was not subject to subordination. Id. The junior debtholders argued that the clause beginning "the payment of which" applied only to "securities of the Company," and not to "shares of stock of the Company." Id. at 447. Plaintiffs advance a similar argument here.
The Envirodyne Bankruptcy Court rejected this purely grammatical interpretation, finding that the junior debt "fail[ed] to read the 'X' clause as a whole and that their interpretation ignore[d] the intent and plain meaning of a subordination agreement." Id. at 447. The bankruptcy court reasoned that an "'X' clause...provides a method for junior debtholders to retain existing shares of stock or new shares of stock in a reorganized company allocated to them pursuant to a plan of reorganization in the event the senior indebtedness is paid in full or receives stock or securities that is senior to that received by the junior noteholders." Id. at 446 (emphasis added)(citing Edward Everett, Analysis of Particular Subordination Provisions, 23 Bus. Law. 41, 44 (1967)). The Envirodyne Bankruptcy Court went on to hold that the x-clause "insur[es] that in a reorganization, the holders of [senior debt] receive payment in full, regardless of the form of consideration, before the [junior debtholders] are paid any consideration." Id. at 448.
The Seventh Circuit affirmed on appeal. In so doing, Judge Posner conceded, in his opinion for the panel, that the x-clause at issue there was poorly drafted. Envirodyne, 29 F.3d at 306. In fact, he acknowledged the possibility that "[o]n balance the [subordinated noteholders] have the better of the purely semantic argument" as to the significance of the grammar used in the drafting of the x-clause. Id. at 305. However, he rejected the appropriateness of such an "entirely grammatical and semantic" argument because "it makes no sense once the context of the terminology being used is restored." Id.
Despite an invitation extended by this Court at oral argument, neither BNY nor the Debtor would acknowledge that the X-Clause at issue here was poorly drafted. However, like the x-clause in Envirodyne, the X-Clause here, while not legally ambiguous, lacks the utter clarity that BNY and the Debtor would now surely prefer. But, like the Envirodyne courts, in interpreting the contract language before me, I will: "read the contract as a whole and consider all parts of the whole and not give undue force to certain words or phrases that would distort or confuse the primary and dominant purpose of the contract." Envirodyne, 161 B.R. at 445 (citing Empire Props. Corp. v. Mfrs. Trust Co., 288 N.Y. 242, 248, 43 N.E.2d 25, 28 (1942)) (emphasis added). See also id. at 445-46. (noting that "courts should construe an indenture as a whole to carry out the plain purpose and object of the indenture and not limit itself to literal interpretations.")(emphasis added). The Envirodyne courts were also applying the rules of New York contract interpretation that this Court must apply here. See id. at 445 (noting applicability of New York law).
The X-Clause must be read in context. When read as a whole, the Subordinated Note Indenture clearly manifests the intent to assure payment in full of the Senior Notes before permitting payment (in whatever form) to the Subordinated Noteholders. The Plaintiffs argue, in counterpoint, that the purpose of an x-clause is to carve out certain distributions from the otherwise applicable subordination provisions. Therefore, the X-Clause should be read generously in favor of those who are its intended beneficiaries so as to give the fullest effect to this intention. This argument must fail because an x-clause, as a general proposition, creates only limited exceptions to the otherwise applicable subordination provisions and, therefore, must be read narrowly, and in harmony, with the entire contract. This principle applies equally to the X-Clause at issue here.
In an opinion authored by the late Chief Judge Becker, the Third Circuit Court of Appeals followed Envirodyne. In re PWS Holding Corp., 228 F.3d 224 (3d Cir. 2000). In PWS, the debtor's plan provided no distribution to a subordinated noteholder. The subordinated noteholder argued that the x-clause created an affirmative obligation by the debtor to distribute
securities, so long as the securities distributed to the subordinated noteholder were junior to those issued to senior debt. Id. at 244-245. The x-clause in PWS provided:
[u]ntil all Obligations with respect to Senior Indebtedness (as provided in Subsection above) are paid in full in cash or cash equivalent, any distribution to which holders would be entitled but for this article shall be made to holders of Senior Indebtedness (except that Holder may receive . . . securities that are subordinated to at least the same extent as the Securities to (a) Senior Indebtedness and (b) any securities issue [sic] in exchange for Senior Indebtedness), as their interests may appear.
Id. at 244. The Court, citing the Envirodyne decision, explained that the purpose of the x-clause was to avoid the cumbersome procedure that would require junior creditors to pay over securities received pursuant to a plan of reorganization and then take the securities back once the senior creditors were paid in full. Id.
The Plaintiffs contend that PWS is not dispositive of this dispute because PWS involved a dispute over whether the x-clause at issue there required the debtor, when making a distribution to senior debt that was not excluded by the x-clause from the subordination provisions, to make a separate and distinct subordinated distribution to the junior creditors of a different class of security. Plaintiff's Reply at p. 3. The Plaintiffs further argue:
Here, the issue is quite different: whether a single class of securities the Debtors are issuing under their plan (the New Common Stock and the right to purchase the same through the Rights Offering) is exempted by the X-Clause from the general rule of subordination in Article 10 of the 9% Indentures, and must therefore be distributed pro rata to the holders of the 9% Notes because of the requirements of section 1129(b) of the Bankruptcy Code. . . . . Section 1129(b)'s prohibition of unfair discrimination mandates that holders of the 9% Notes receive the distribution of New Common Stock and the right to participate in the Rights Offering. PWS would only support Defendants' position if the Debtors were proposing to make a distribution of something other than Permitted Junior Securities only to the holders of the 8 5/8% Notes, and Plaintiffs were arguing that the Debtors were
nevertheless required by the X-Clause to also distribute Permitted Junior Securities to holders of the 9% Notes.
Id. The Plaintiffs' position conflates two related, but distinct, analyses: (1) proper interpretation of state law contract rights, including the subordination provisions and the X-Clause, and (2) Section 1129(b)'s prohibition of unfair discrimination. Notwithstanding the Debtors' state law obligation to repay the Subordinated Noteholders, the X-Clause cannot be read in conjunction with these rights and the prohibition in Section 1129(b)(1) to require the Debtor to propose a distribution to the Subordinated Noteholders.
The Plaintiffs also resist the Defendants' comparison of the X-Clause now before the Court with those considered in Envirodyne and Metromedia, and argue: 9
[T]he Metromedia court called the x-clause before it "not selfreading; the applicability of the clause in a specific case is not readily apparent. . . ." 416 F.3d at 139. The only thing missing here is actual use of the word "ambiguous." Similarly, the Envirodyne court, although stating at one point that "the meaning of the clause is plain," 29 F.3d at 304, also described the x-clause before it as "poorly drafted," id. at 306, and used policy considerations to reach a result contrary to "the better. . . semantic argument," 29 F.3d at 305-06. In other words, neither court was actually applying a "plain meaning" analysis to clearly drafted language, as is required by New York law when meaning is in fact plain. (See Pls.' Summ.J.Br. Pp.11-13)...Here, the X-Clause is "self-reading," and it is not poorly drafted. Indeed, Plaintiffs are not urging the "better semantic argument," they are urging the only semantic argument.
9The Defendants also rely on an unreported Bench decision by Bankruptcy Judge Gerber in In re Adelphia Communications Corp., No. 02-41729 (Bankr.S.D.N.Y. April 6, 2006), a copy of which transcript was provided to this Court. I do not know what precedential value my well-respected colleague attributes to his Bench rulings. I attribute none to my own and often caution litigants before me of this view. Therefore, I will not rely on the Adelphia decision, especially since the transcript reflects Judge Gerber's intention to follow "with a more extensive ruling to be issued in writing thereafter." Transcript of April 6, 2006 hearing in Adelphia at p. 55. See also id. at p. 62.
Plaintiffs' Reply at pp. 6-7. Neither of these courts found the x-clause at issue to be ambiguous. Rather, as with the X-Clause now before me, the draftsmanship falls somewhere outside of the realm of utter clarity, yet not quite in the region of ambiguity. The comparison of Envirodyne, Metromedia and PWS to the dispute before me is entirely apt, to some extent for the similar, but differing, language and structure of the various x-clauses, but perhaps more so for the approach taken by each of these courts in interpreting the contract language before them.
Plaintiffs argue, correctly, that each x-clause is different and must be considered only in the specific context of the applicable contract. Considering the X-Clause before me, I conclude that it must not be considered based upon its grammatical structure alone, but also within the context of the entire agreement, which, here, is more reflective of the parties' intent: that except in very limited circumstances, no payment can be made to the Subordinated Noteholders until (1) the Senior Notes are paid in full, or (2) the Senior Noteholders consent. Neither circumstance is present here. I conclude that the language which follows the words "debt securities" in phrase (2) of the "Permitted Junior Securities" definition modifies both phrase (1) and phrase (2). To interpret the X-Clause to include the New Common Stock and the Rights Offering in the definition of "Permitted Junior Securities" would eviscerate the purpose of the subordination provisions in the Subordinated Notes Indenture and expand the limited carve out beyond its intended scope. As the bankruptcy court in Envirodyne said, the interpretation advanced by the Subordinated Noteholders "defies explanation and logic. A senior creditor simply would not agree to a subordination agreement in which its priority depended upon the form of consideration chosen by the debtor." Envirodyne, 161 B.R. at 448. 10
10See also the Court of Appeals opinion in Envirodyne, 29 F.3d at 306: "The purpose of the clause...bears no relation to the interpretation for which the [subordinated noteholders] contend, under which the senior creditors' priority would depend on the form of distribution."
3. Section 1129(b)'s Prohibition of Unfair Discrimination. 11
The Subordinated Note Indenture requires nothing of the Debtor in this case, but this does not necessarily end the analysis. In re Exide Technologies, 303 B.R. 48, 78 (Bankr.D.Del. 2003)(To confirm a plan, the debtor must show there is a reasonable basis for the debtor's separate classification of general, unsecured creditors and that the debtor cannot confirm a plan absent separate classification of unsecured creditors.) As discussed in Matter of Genesis Health Ventures, Inc., 266 B.R. 591 (Bankr.D.Del. 2001):
The concept of unfair discrimination is not defined under the Bankruptcy Code. Various standards have been developed by the courts to test whether or not a plan unfairly discriminates. In re Dow Corning Corp., 244 B.R. 705, 710 (Bankr.E.D.Mich.1999), aff'd 255 B.R. 445 (E.D.Mich.2000). The hallmarks of the various tests have been whether there is a reasonable basis for the discrimination, and whether the debtor can confirm and consummate a plan without the proposed discrimination. See, e.g., In re Ambanc La Mesa L.P., 115 F.3d 650, 656 (9 th Cir.1997) cert. denied, 522 U.S. 1110, 118 S.Ct. 1039, 140 L.Ed.2d 105 (1998).
Genesis Health Ventures, 266 B.R. at 611.
Although some commentators have argued in favor of limiting a debtor's ability to discriminate among creditors of the same priority level, they have agreed that discrimination based upon subordination rights is viewed as fair. See Steven M. Abromowitz, et al., Making The Test For Unfair Discrimination More "Fair": A Proposal, 58 Bus.Law. 83, 107 (Nov.2002)(Arguing that the case law regarding unjust discrimination is too unpredictable and
11Bankruptcy Code §1129(b)(1) provides:
(b)(1) Notwithstanding section 510(a) of this title, if all of the applicable requirements of subsection (a) of this section other than paragraph (8) [regarding acceptance of the plan by impaired classes] are met with respect to a plan, the court, on request of the proponent of the plan, shall confirm the plan notwithstanding the requirements of such paragraph if the plan does not discriminate unfairly, and is fair and equitable, with respect to each class of claims or interests that is impaired under, and has not accepted, the plan.
inconsistent, and proposing an approach postulated by Professor (now Bankruptcy Judge) Bruce A. Markell which "would prohibit discrimination in amount of recovery subject to two exceptions, enforcing subordination rights and rewarding a reasonable equivalent contribution in money or money's worth.") Bruce A. Markell, A New Perspective on Unfair Discrimination in Chapter 11, 72 Am. Bankr.L.J. 227 (1998).
The Debtor argues that an adverse ruling on these Motions would render the Debtor unable - - over the opposition of the Senior Noteholders - - to confirm any plan which would eliminate the subordination and provide pari passu treatment of the Subordinated Noteholders. See Answering Brief of Defendants-Debtors in Opposition to Plaintiff's Motion for Summary Judgment (docket no. 25) at pp. 22-23. The Plaintiffs respond:
Not only is this statement based, quite inappropriately, on pure conjecture and not on any uncontroverted evidence before this Court, it also has absolutely nothing to do with the legal issue to be decided by this Court. The practical effect that a determination that the New Common Stock and the Rights Offering are excepted from the subordination provisions of the 9% Indentures and must be distributed on a pro rata basis to all unsecured creditors would have on the Plan the Debtors are currently seeking to confirm, or indeed their ability to confirm any plan, is simply not relevant to the determination of the correct interpretation of the X-Clause. The Court...cannot, as the Debtors ask, consider the consequences of such an application and then work backward to an interpretation that allows the outcome the Debtors prefer.
Plaintiffs' Reply at pp. 10-11. Based upon the Plaintiff's position, then, for purposes of disposition of the Motions now before me, I will not consider this factor.
CONCLUSION
For all of the above reasons, the Plaintiff's Motion for Summary Judgment will be denied. BNY's Motion will be denied, in part, with respect to its request to dismiss the adversary complaint, and will be granted, in part, with respect to its request for summary
judgment. Finally, the Debtor-Defendants' Motion for Summary Judgment will be granted. An appropriate Order follows.
BY THE COURT:
KEVIN J. CAREY UNITED STATES BANKRUPTCY JUDGE
Dated: December 7, 2007
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE
In re:
)
)
Chapter 11
DURA AUTOMOTIVE SYSTEMS, INC., et. al.,
)
)
)
)
Case No. 06-11202-KJC Jointly Administered
Debtors.
)
)
)
)
THOMAS A. AND PATTIANN KURAK)
)
Adv. Pro. No.: 07-51715-KJC
Plaintiffs,
)
)
v.
)
)
DURA AUTOMOTIVE SYSTEMS, INC., et al.,
)
)
)
Defendants BANK OF NEW YORK TRUST CO., N.A. Intervening Defendant
)
)
)
)
ORDER
AND NOW, this 7 th day of December, 2007, upon consideration of the following motions: (1) The Motion by The Bank of New York Trust Company, N.A. to dismiss Adversary Proceeding, or, in the Alternative, for Summary Judgment (the "BNY Motion") (docket no. 14); (2) The Defendant-Debtors' Motion for Summary Judgment (docket no. 19); and (3) The Plaintiffs' Motion for Summary Judgment (docket no. 24), and the respective responses and replies thereto, and after oral argument thereon, and for the reasons set forth in the accompanying Memorandum, if is hereby ORDERED and DECREED as follows:
(1) The BNY Motion is DENIED, in part, with respect with its request to dismiss the adversary complaint and GRANTED, in part, with respect to its request for summary judgment;
(2) The Debtors' Motion for Summary Judgment is GRANTED; and
(3) The Plaintiffs' Motion for Summary Judgment is DENIED.
Accordingly, judgment in this adversary proceeding is hereby entered AGAINST the Plaintiffs and in FAVOR Of the Defendants.
BY THE COURT:
KEVIN J. CAREY UNITED STATES BANKRUPTCY JUDGE
Copies to:
Daniel J. DeFranceschi, Esquire
Jason M. Madron, Esquire
Mark A. Kurtz, Esquire
Paul Noble Heath, Esquire
Marcos Alexis Ramos, Esquire
RICHARDS, LAYTON & FINGER, P.A.
One Rodney Square
P.O. Box 551
Wilmington, DE 19801
Judy A. O'Neill, Esquire
FOLEY & LARDNER LLP
500 Woodward Avenue,
Suite 2700
Detroit, MI 48226
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YOUNG, CONAWAY, STARGATT & TAYLOR
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BIFFERATO GENTILOTTI LLC
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BALLARD SPAHR ANDREWS & INGERSOLL LLP
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OFFICE OF THE UNITED STATES TRUSTEE
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TERMS AND CONDITIONS OF SERVICE AGREEMENT
1. DEFINITIONS
For Webtickets______________________
For Client____________________________
Initials of all parties
1.1 “ Agreement ” means this Agreement.
1.3 “ Client ” means the party whose details appear on page 5 of the Service Agreement;
1.4 “ Company ” means Webtickets CC, Registration Number: 2005/034454/23.
1.5.1 “ Event ” in the context of the Service Agreement shall refer to all events or performances marketing and distributed on the Company software or platform;
1.6 “ Services ” means the provision of web based booking system, acceptance of bookings and the selling and distribution of tickets and the ancillary services to be provided by Webtickets as set out in the Agreement;
1.7 “ Company Charges ” means the charges for the use of services provided by the Company.
1.8 “ VAT ” means Value Added Tax, calculated at the ruling rate, currently 14% (fourteen percent);
1.9 “ Venue ” means the theatre, cinema, arena, bus or place at which an Event is to take place;
1.10 Acquiring Bank means Nedbank Ltd which accepts credit card transactions from the Company;
1.11 Payment Gateway means Iveri Services that transmits data and customers information.
1.12 Client’s Standard Terms and Conditions of Sale means the standard terms of business published to customers of the Client in the ordinary course of transactions relating the Client’s Events or performances. These Terms and Conditions of Sale are attached hereto as Annexure A of this agreement and may be altered from time to time, in writing, by mutual agreement by the Parties.
2. SERVICE AGREEMENT
2.1 Company operates a software company that provides services for the distribution of tickets through internet and other distribution channels.
2.2 Client agrees, for the duration of the Service Agreement, not to instruct or allow any other third party to accept bookings or sell or distribute tickets to any of the Events which may be subject to the Service Agreement, without informing the Company in writing.
2.3 Company will only act on Client’s written instructions.
2.4 Client is fully responsible for ALL the content of the website infrastructure provided by the Company.
2.5 Client requires the services of the Company to accept bookings and to sell and distribute tickets to Events which may from time to time be promoted or managed by Client;
2.6 In providing the Services, Company acts as an agent for and on behalf of Client and as such Company accepts no responsibility or liability, of whatsoever nature, in respect of any loss, damages and/or injury which may be incurred or suffered by any person as a result of or arising, whether directly or indirectly, from any Event and Client hereby irrevocably and unconditionally indemnifies Company and agrees to hold Company harmless against any such loss, damage or injury and any claim which may be made against Company by any third party, arising directly or indirectly out of the provision of the Services by Company in terms of these Terms and Conditions
3. COMMENCEMENT AND DURATION
3.1 The parties agree that this Agreement shall commence on date of signature and terminate within one month of the client providing written notice of their intention of to terminate.
Webtickets CC
Webtickets
Trading as
Registration Number: 2005/034454/23
210 Long Street, Cape Town, 8000
4. CLIENT'S RESPONSIBILITIES
4.1 To advertise, market and manage the Event;
4.2 To control the information and the input into the Company provided web ticketing service;
For Webtickets______________________
Initials of all parties
4.3 The Client or a representative of the Client will be responsible for the access control and checking the validity of the tickets. In the case where the client requires the Company to be responsible for access control, it must be agreed between the Company and Client beforehand.
4.4 The Client will promote the availability of tickets through the Company’s network in all its advertising, all promotional material and in all media releases. Where applicable and space permits, Company’s corporate logo must be used. The Company’s brand guideline will be supplied to the Client.
4.5 The Client authorises the Company to create and distribute 10 standard complimentary tickets per performance. The tickets will be solely used by the Company to market and advertise the event to its own network and database or used internally. Under no circumstances will these tickets be sold by the Company.
4.6 It is the Client responsibility to ensure the following;
4.6.1 Where the client uses distribution channels other than that of the Company, it must ensure that it allocates the correct type, number and price of tickets per distribution channel;
4.6.2 The pricing of the tickets is correctly advertised;
4.6.3 To have the necessary infrastructure to control access and ensure validity of tickets.
5. CANCELLATION & POSTPONEMENT OF EVENT(S)
5.1 Client agrees to inform Company, in writing, immediately it becomes aware that an Event is to be cancelled or postponed.
5.2 In the event of a cancellation or postponement of an Event, where the Company accepted a credit card, EFT or Cash as a method of payment, the Company shall undertake ticket refunds and/or ticket exchanges on behalf of Client in respect of all tickets sold by Company to that Event on the following basis:
5.2.1 if an Event has been cancelled, the Company shall offer to refund the purchase price to ticket holders of all tickets purchased by the ticket holder through the Company and its authorised outlets,
5.2.2 if an Event has been postponed, Company shall, in its sole discretion, be entitled to EITHER refund the purchase price to the ticket holder of all tickets sold by Company to the ticket holder to such Event OR issue a ticket at the same purchase price (if still available) for the Event on the date to which it has been postponed.
5.3 In the event of a cancellation or postponement of an Event, where the Client has accepted an EFT, cash, deposit or any other method of payment;
5.3.1 the Client has full and sole responsibility to fulfill its obligations in respect of its Standard Terms and Conditions of Sale. The Company has no obligation nor responsibly to refund the ticket or any portion of the ticket for the Event.
5.3.2 for the avoidance of doubt, the Company will under no circumstances be responsible or liable for refunds to customers.
5.4 If Client does not provide Company with written confirmation of an alternative date for a postponement within 48 (forty-eight) hours of any announcement by Client that an Event has been postponed or within such further period as may be agreed by Company, Company shall be entitled to deem such Event cancelled and will follow the procedure set out in 5.2.1.
5.5 If an Event is cancelled, the amount due by Client to Company as a cancellation fee, as referred to in Clause 6.3.4, shall be:
5.5.1 the full charges on all tickets sold and/or distributed at the time as stipulated in Clause 6 of the Service Agreement
5.5.2 all other accumulated charges and fees if applicable subject to the provisions of the Consumer Protection Act No 68 of 2008.
6. COMPANY CHARGES
6.1 All Company Charges are exclusive of VAT, if registered for VAT.
6.2 In consideration for the provision of the Services in terms of the Service Agreement, Client shall pay to Company:
6.2.1 Card sales:
6.2.2 Cash, EFT:
6.2.3 Complimentary:
tickets:
6.2.4 Consignment tickets:
For Client____________________________
6.2.5 Staff costs:
6.3 The Company Charges provided for in clause 6.2 shall become due and payable as follows:
6.3.1 the commission referred to in clause 6.2.1 and 6.2.2 upon the sale of a ticket by Company;
6.3.2 the fee referred to in clause 6.2.3 upon the issuing of an complimentary ticket;;
6.3.3 the fee referred to in clause 6.2.4 upon the issuing of a consignment event ticket;
6.3.4 the cancellation fee referred to in clause 5.5 within 7 (seven) days from the time at which Company is informed of the cancellation or postponement, as the case may be.
6.3.5 staff costs referred to in clause 6.2.5 will be incurred on the actual time staff incur at the event.
6.4 Unless otherwise provided in the Service Agreement, all Company Charges shall be paid to Company by means of the deduction thereof from any amount due to Client by Company from time to time.
6.5 Client agrees that, in addition to the Company Charges set out above and the Service Agreement, Client shall reimburse to Company all expenses incurred by Company arising from:
6.5.1 all reasonable costs incurred by Company in advertising Event cancellations or postponements;
6.5.2 any other charges which the parties agree upon in writing from time to time, including Email, SMS correspondence with the customer.
7 ON-SITE BOX-OFFICE SERVICE/MACHINERY/ON-LINE REPORTING SYSTEM
7.1 If Client requires and Company agrees to provide an on-site box-office service in respect of an Event, Company might quote Client separately to the Service Agreement for each on-site box-office and the cost of such service will be for Client's account.
7.2 In such an event, Client will, at Client's expense, provide Company with a secure box-office facility, including availability of electricity and the required Internet connection and other infrastructure to operate Company's computerized system.
7.3 Company and Client may agree, either ad hoc (in respect of a particular Event) or generally, to provide to Client ticket-printing equipment, and computer hardware, for use by Client in the issuance of tickets for Events. In any such case Company will provide to Client, additionally to such machinery;
7.3.1 so many blank tickets as may be necessary for the purpose of each relevant Event; and
7.3.2 such advice as it considers appropriate in regard to the security of the systems used in relation to issuance of tickets, the security of the tickets themselves, the verification of the genuineness of tickets presented at access gates at Venues, and any other matter which it deems appropriate.
7.3.3 Company will, at the request of Client give training to Client's staff members who will be involved in the issuance of tickets to Events and/or controlling access to Events;
7.3.4 Company will not (and Client specifically acknowledges that Company is not obliged to) provide any protection or insurance cover against theft of tickets which cover shall if Client so requires be taken out by Client itself; and
8. FINANCIAL SETTLEMENT
8.1 The parties agree that the Company shall effect financial settlement of monies due to Client by Electronic Fund Transfer (EFT).
8.2 Client confirms that the banking details provided in the Service Agreement are correct and that it shall advise Company of any change in banking details at least thirty (30) days prior to the date on which a settlement to the new banking account is required to be made.
8.4 Client agrees that Company shall be entitled to and Client hereby authorises Company to deduct all Company Charges and other charges due by Client to Company, of whatsoever nature, prior to effecting the financial settlement and payment of monies due by Company to Client.
8.5 Client agrees that the information provided by Company at the time the financial settlements are effected are to be regarded as the final record of reconciliation relating to ticket sales done by Company on behalf of Client. Should Client disagree with the final reconciliation, Client should inform Company in writing with full details within 7 (seven) days of receipt of the final reconciliation. Any dispute not settled within 30 (thirty) days after the Event has taken place will be considered null-and-void.
8.6 Company will not accept cession or payment requests to Third Parties and will act in accordance with the agreement entered into with Client. Company cannot accept any liability in settling Third Party or creditor payments on Client's behalf.
8.7 Payment of any monies due to Client by Company form accepting payments from credit card bookings shall take place on the 5th working day after the following each Event and shall;
8.7.1 be made only once the Event has actually taken place;
8.7.2 be accompanied by the relevant tax invoice in respect of the Company Charges and any other applicable charges and expenses.
For Webtickets______________________
For Client____________________________
Initials of all parties
Banking details where funds will be transferred as follows:
Bank: ______________________
Account: ____________________
Branch:_____________________
Account Name:_______________
8.3 Company agrees to provide to Client all relevant documentation and tax invoices to which Client is entitled, at the time of financial settlement.
9. LIMITATION OF LIABILITY
9.1 Client shall be solely responsible for any liability arising from or in connection with the Events to which the Services relate and neither Company nor any of its employees or agents shall have any liability in respect thereof, save as provided for in this Agreement. Client hereby irrevocably and unconditionally indemnifies Company, its employees and agents against all claims, of whatsoever nature, arising from or connected with any Event or the provision of any of the Services by Company pursuant to this Agreement.
9.2 Client undertakes to comply with all applicable laws and legal requirements in regard to the staging of Event(s) and in regard to or in connection with the sale of the tickets to such Events, warrants to Company that no third party's rights in connection with such Event(s) will be infringed, and Client hereby irrevocably and unconditionally indemnifies Company against any loss, claim or liability, of whatsoever nature, arising from a breach of this undertaking or warranty.
9.3 Company shall not be liable to Client or anyone else in respect of any claim, loss or damages, of whatsoever nature, arising from or in connection with the Services provided by Company in terms of or pursuant to this Agreement and Client hereby irrevocably and unconditionally indemnifies Company in respect thereof, except where it can be proved that Company intentionally caused any such loss or damage.
9.4 Company shall not be liable to Client for any interruption or breakdown in any or all of the Services from whatsoever cause arising, including but not limited to:
9.4.1 any breakdown in a service provided by Telkom, electricity service providers or any other service provider etc.;
9.4.2 any failure in or unavailability of the connectivity services provided by any Internet Service Provider to Company's computers;
9.4.3 a temporary suspension in the operation of Company's network, its web-site or Call Centre Services, or any part thereof, for purposes of repair, maintenance or improvement, provided that Company shall give notice thereof to Client as soon as it is reasonably practicable in the circumstances to do so and Company shall restore the operation of Company's network as soon as it is reasonable possible to do so;
9.4.4 any cause whatsoever beyond the control of Company;
9.4.5 strike action or any service disruption experienced by Company's retail store agents / partners.
9.5 Client shall be obliged, unless Company agrees to the contrary in writing, to bring to the attention of ticket purchasers its conditions relating to refunds, exchanges and reinstatements and Company will not in any circumstances be liable to any ticket holder for any loss, of whatsoever nature, that the ticket holder may suffer as a result of any postponement or cancellation of an Event, howsoever arising.
9.5 Without limiting the generality of the aforegoing, Company shall not be liable under any circumstances, for any indirect, consequential or special loss or damages suffered by Client or any other person arising from this Agreement, and Client hereby irrevocably and unconditionally indemnifies and holds Company harmless against any claim in connection with, or arising therefrom.
10. PROOF OF CONTRACT
10.1 Client agrees that Company, in its entire discretion, may require Client to prove to its satisfaction that Client has a binding and enforceable contract entitling it to promote the Event for which it is securing the Services, provided that Company shall not request or be entitled to require any information relating to the financial arrangements to which such contract may be subject.
10.2 Company shall be entitled to require Client to furnish satisfactory proof of valid cancellation insurance in respect of every Event and to have Company's interest in regard to any amounts which Client may be or become obliged to pay to Company if an Event is cancelled, insured to Company's satisfaction under such insurance.
11. CONFIDENTIALITY
11.1 For the duration of this Agreement and thereafter, Client shall keep confidential and shall not disclose to any party the contents of this Agreement or any aspect thereof, the technologies employed by Company in the fulfillment of its obligations in terms of this Agreement, any Company Charges payable by Client to Company, sponsorship and advertising rates pertaining to Company and any other information to
For Webtickets______________________
For Client____________________________
Initials of all parties
which Client has access as a result of its relationship with Company and which relates to the business operations and affairs of Company, which Client acknowledges shall be confidential to Company. The provisions of this clause shall survive the termination of this Agreement.
11.2 Company shall keep confidential and shall not disclose to any third party (other than for the purposes of performing the Services) any of the confidential information of Client, disclosed to Company by Client for the purposes of this Agreement.
12. Duration of Contract
12.1 This is not a fixed term contract.
12.2 The Client is permitted to stop using the services of the Company within one month's written notice provided by the Client.
13. BREACH
In the event of either party breaching any of its obligations under this Agreement and failing to remedy such breach within a period of 10 (ten) working days of receipt of a written notice from the other party requiring it to do so, then the other party shall be entitled, without prejudice to any other right which it may have in law, to cancel this Agreement or to claim specific performance and to claim proven damages in respect of such breach.. The Company may withhold all monies from the Client until such breach is resolved.
14. DISPUTES
14.1 This Agreement shall be governed, interpreted and implemented in accordance with the laws of the Republic of South Africa.
15. PRIVACY
Client agrees that, to the extent that any information is gathered relating to a purchaser of tickets through the Company, including but not limited to the ticket purchaser's identity, telephone numbers, address or any other contact details or banking details, Client shall not under any circumstances use the information for any purpose other than to promote and advertise the Events through the Company sales channels and shall also not sell, disclose or transfer the said information to any third party for whatever reason.
16.
NOTICES
16.1 For the purposes of this Agreement, including the giving of notices and the serving of legal process, the parties choose domicilium citandi et executandi ("domicilium") as follows:
Company: 210 Long Street, Cape Town, 8000.
Client:
_________________________
For and on behalf of: Webtickets CC
For and on behalf of:_______________________
.
________________________________________
_________________________________________________
Name and Capacity
Name and Capacity
________________________________________
_________________________________________________
Duly authorized
Duly authorised
For Webtickets______________________
For Client____________________________
Initials of all parties
ANNEXURE A
URL - https://www.webtickets.co.za/item.aspx?itemid=1248
Welcome to Webtickets. The following are the rules or "Terms" that govern use of the Webtickets website ("Site"). By using or visiting the Site, you expressly agree to be bound by these Terms. Webtickets reserve the right to change these Terms at any time, effective immediately upon posting on the Site. Please check this page of the Site periodically.
Permitted Use
You agree that you are only authorised to visit, view and to retain a copy of pages of this Site for your own personal use, and that you shall not duplicate, download, publish, modify or otherwise distribute the material on this Site for any purpose other than to review event and promotional information, for personal use, or to purchase tickets or merchandise for your personal use, unless otherwise specifically authorised by Webtickets to do so.
Disclaimers
Webtickets does not promise that the Site will be error-free, uninterrupted, nor that it will provide specific results from use of the Site or any Content, search or link on it. The Site and its Content are delivered on an "as-is" and "as-available" basis. Webtickets cannot ensure that files you download from the Site will be free of viruses or contamination or destructive features Webtickets will not be liable for any damages of any kind arising from the use of this Site, including without limitation, direct, indirect, incidental, and punitive and consequential damages.
Webtickets disclaims any and all liability for the acts, omissions and conduct of any third party users, Webtickets users, advertisers and/or sponsors on the Site, in connection with the Webtickets service or otherwise related to your use of the Site and/or the Webtickets service. Webtickets is not responsible for the products, services, actions or failure to act of any venue, performer, promoter or other third party in connection with or referenced on the Site.
Indemnity
You agree to indemnify and hold Webtickets, officers, agents and other partners and employees, harmless from any loss, liability, claim or demand, including reasonable attorneys' fees, made by any third party due to or arising out of your use of the Site.
Purchase Policy
Webtickets sells tickets on behalf of promoters, teams, bands and venues. Policies set forth by our clients, such as venues, teams and theatres, prohibit us from issuing exchanges or refunds after a purchase has been made or for lost, stolen, damaged or destroyed tickets. When you receive your tickets, please keep them in a safe place. Occasionally, events are cancelled or postponed by the promoter, team, performer or venue for a variety of reasons. If the event is cancelled, please contact us for information on whether you are entitled to receive a refund from the responsible party.
Ticket Terms and Conditions
1. As an authorised ticket agent, Webtickets sells tickets on behalf of the venue, promoter or producer that produces the event for which you buy a ticket. We refer to the venue, promoter, or producer from whom we obtain tickets to sell to you as our "Event Partner". Unlawful resale (or attempted unlawful resale) of a ticket is grounds for seizure or cancellation of that ticket without refund or other compensation.
2. It is your responsibility to check your tickets; mistakes cannot always be rectified. While we try and ensure that all prices on our website are accurate, errors may occur. If we discover an error in the price of tickets you have ordered, we will inform you as soon as possible and give you the option of reconfirming your order at the correct price (and credit or debit your account as applicable) or cancelling your order. If we are unable to contact you, you agree that we may treat the order as cancelled. If you choose to cancel after you have already paid the incorrect ticket price for the tickets, you will receive a full refund from us.
3. It is your responsibility to ascertain whether an event has been cancelled and the date and time of any rearranged event. If an event is cancelled or rescheduled, we will use reasonable endeavours to notify ticket holders of the cancellation once we have received the relevant authorisation from the Event Partner. We do not guarantee that ticket holders will be informed of such cancellation before the date of the event.
4. This ticket is issued subject to the Rules and Regulations of the venue and Event Partner. The venue reserves the right to refuse admission should patrons breach any Rules and Regulations of the venue or Event Partner. The venue may on occasions have to conduct security searches to ensure the safety of the patrons.
5. Every effort to admit latecomers will be made at a suitable break in the event, but admission cannot always be guaranteed.
6. Tickets are sold subject to the venue or Event Partner's right to alter or vary the programme due to events or circumstances beyond its reasonable control without being obliged to refund monies or exchange tickets.
7. The venue, Event Partner and Webtickets accept no responsibility for any personal property.
8. Neither the venue, the Event Partner nor Webtickets shall have any further liability beyond the face value of the ticket purchased plus the relevant per ticket booking fee.
For Webtickets______________________
For Client____________________________
Initials of all parties
Privacy and personal data
We are committed to protecting your private data. We will collate the information which you give to us to provide you with services and personalize your use and visits of this site. We may also use such information to inform you, the user, about changes in the services we offer and/or about features we think you would find of interest.
Use of personal data
We may use your personal data for the purposes of executing transactions concluded with you, for customer's services and client administration. We also may send you information, special offers and advertising by email, through SMS, within our regular newsletters or our once-off promotional offers. We may also make available your personal information to the event owners (who may be located outside South Africa) in order to enable them to offer their goods and services that they think will interest you. By using our services and by submitting your personal details, you consent to this transfer.
If you do not want to receive the information as set above then please send an e-mail to us at email@example.com or amend your profile on the Webtickets site.
For Webtickets______________________
For Client____________________________
Initials of all parties
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Reverend Father Peter Stratos, Pastor
Reverend Father Christopher Retelas, Associate Pastor
778 S. Rosemead Blvd., Pasadena, CA 91107-5613
Tel. (626) 449–6943 ~ Fax: (626) 449–6974
www.saint-anthonys.org – firstname.lastname@example.org - www.pasadenagreekfest.org
Church office hours: Monday – Friday: 9:00 a.m. to 4:00 p.m.
(Closed Saturday and Sunday)
St. Anthony's calendar link: http://saint-anthonys.org/calendar
For pastoral emergencies please call 626-855-3640
April 29 th , 2018 – Sunday of the Paralytic
Jason & Sosipater of the 70
Orthros ~ 8:45 a.m. Divine Liturgy ~ 10:00 a.m.
We welcome His Eminence Metropolitan Nikitas of the Dardanelles who is praying with us today. May God continue to bless and guide His Eminence and his tremendous ministry in our Lord's Vineyard. Eis Polla Eti Despota!
St. Anthony Dance Program, Spring 2018! Our wonderful St. Anthony dance program is offering Spring dance classes. Sessions will be offered by age groups, starting from Pre-K age 4, all the way up to college. Cost is only $50, or free for any dancers who have already registered and paid for the 2017-18 dance program. Questions? Contact Elleni Ioannou email@example.com or Nikole Zoumberakis firstname.lastname@example.org. No dance experience necessary! Look for FLYERS in the Narthex and the hall!
Adult Greek Dance lessons to be offered: 5:30-7:00pm, every Monday for five weeks. Cost $100. Ages 22 and older. Contact Theoni Katsafados at email@example.com or Teresa Argueta at firstname.lastname@example.org for any questions.
St. Sophia Philoptochos Debutante Presentation Ball 2019! Plans are underway for the St. Sophia Debutante Ball on Sunday, January 20 th , 2019 at the Four Seasons Beverly Wilshire Hotel. Interested young ladies who will be high school juniors (ages 16) and older should contact Georgia Kezios (562) 822-2229 or email email@example.com. An informational meeting will be held at the Huffington Center on May 20 th , 2018 at 12:30pm.
HOPE and JOY (4 ½-10 years old) will meet May 6 following church school in room 1A & 1B. Lunch will be available. Our outreach this month is to bring a box of cereal to be donated to Friends in Deed. Your donation will help feed children and their families. Theme: Memorial Day, remembrance, crafts and games. Dance program will assemble after our meeting.
Divine Services for the month of May (saint-anthonys.org/calendar):
Wednesday, May 9 th – Christopher the Martyr of Lycea (Orthros 9:00am, Liturgy 10:00am)
Thursday, May 17 th – Holy Ascension (Orthros 9:00am, Liturgy 10:00am)
Saturday, May 26 th – Saturday of Souls (Orthros 9:00am, Liturgy 10:00am)
Monday, May 21 st – Ss. Constantine & Helen (Orthros 9:00am, Liturgy 10:00am)
REGISTRATION OPEN NOW! The 18th Annual Pasadena Golf Classic will be May 4th at the beautiful Brookside Golf Course, with the famous Taverna on the Green. Join us for a memorable day with friends and family. Be sure to go to pasadenagolfclassic.com.
St. Anthony Vacation Bible School 2018: Come sail away with us as we learn how Jesus rescues us every day in every situation! When: June 18-21, 1-4pm, St. Anthony's Greek Orthodox Church, ages: 4 ½-10, $25 per child. For more information contact Sophia firstname.lastname@example.org or Mary Udria- email@example.com.
St. Anthony Family Picnic on Sunday, June 3 rd at 1:00 at Lacy Park in San Marino: Join us for a fun filled afternoon of music, lunch, games, kid's playground, fellowship. San Marino Fire department, Snow Cones, and the famous Tug-O-War. You must reserve a table (holds 8 adults) to attend, $40/table. Table reservations help pay for the picnic. Additional donations also welcome to help support the picnic. You can bring your own food or pre-order a lunch ($15 for adults/$8 for kids under 12). We can't collect money in the park. All table reservations and lunch orders must be done ahead of time for information call the office at 626-449-6943.
Union Station Homeless Services Thank you for supporting this worthwhile program by volunteering your time to serve the homeless. USHS staff and clients are always happy to see our group from Saint Anthony Greek Orthodox Church. This year we continue to provide nutritious hot meals and serve those less fortunate. Contact firstname.lastname@example.org, email@example.com or firstname.lastname@example.org.
Save the date: GOYA VOLLEYBALL TOURNAMENT - May 12, 2018.
Attention High School Seniors – Philoptochos of Saint Anthony scholarship applications are now available. Contact Irene Albeck at email@example.com or Fontaine Malisos at firstname.lastname@example.org for information or application.
Parish Pay (WeShare) is an easy method to make donations to Saint Anthony Church. To sign up, please either: Visit ParishPay.com or call (800) 950-9952 and enroll over the phone. If weekly envelopes are not your preference, Parish Pay is an easy alternative for your donations.
Order for Holy Communion (for Baptized and/or Chrismated Orthodox Christians): The acolytes, choir, and chanters receive Holy Communion first. Next, the parishioners from the front pew, one pew at a time should approach the chalice. Please allow ushers to dismiss you.
HYMNS OF THE DAY
(DURING SMALL ENTRANCE)
(1) Apolytikion of Pascha. Mode Plagal 1.
Christ is risen from the dead, by death trampling down upon death, and to those in the tombs He has granted life.
Χριστὸς ἀνέστη ἐκ νεκρῶν, θανάτῳ θάνατον πατήσας, καὶ τοῖς ἐν τοῖς μνήμασι, ζωὴν χαρισάμενος.
(AFTER SMALL ENTRANCE)
(2) Resurrectional Apolytikion. Mode 3.
Let the heavens sing for joy, and let everything on earth be glad. For with His Arm the Lord has worked power. He trampled death under foot by means of death; and He became the firstborn from the dead. From the maw of Hades He delivered us; and He granted the world His great mercy.
Εὐφραινέσθω τὰ οὐράνια, ἀγαλλιάσθω τὰ ἐπίγεια, ὅτι ἐποίησε κράτος, ἐν βραχίονι αὐτοῦ, ὁ Κύριος, ἐπάτησε τῷ θανάτῳ τὸν θάνατον, πρωτότοκος τῶν νεκρῶν ἐγένετο, ἐκ κοιλίας ᾅδου ἐρρύσατο ἡμᾶς, καὶ παρέσχε τῷ κόσμῳ τὸ μέγα ἔλεος.
(3) Apolytikion for St. Anthony the Great. Mode 4.
Emulating the ways of Elijah the zealot, and following the straight paths of the Baptist, O Father Anthony, you made the wilderness a city, and did support the world by your prayers. Wherefore intercede with Christ our God, that our souls be saved.
Τὸν ζηλωτὴν Ἠλίαν τοῖς τρόποις μιμούμενος, τῷ Βαπτιστῇ εὐθείαις ταῖς τρίβοις ἑπόμενος, Πάτερ Ἀντώνιε, τῆς ἐρήμου γέγονας οἰκιστής, καί τήν οἰκουμένην ἐστήριξας εὐχαῖς σου· διὸ πρέσβευε Χριστῷ τῷ Θεῷ σωθῆναι τὰς ψυχὰς ἡμῶν.
(4) Kontakion of Pascha. Mode Plagal 4.
Though You went down into the tomb, O Immortal One, yet You brought down the dominion of Hades; and You rose as the victor, O Christ our God; and You called out "Rejoice" to the Myrrhbearing women, and gave peace to Your Apostles, O Lord who to the fallen grant resurrection.
Εἰ καὶ ἐν τάφῳ κατῆλθες Ἀθάνατε, ἀλλὰ τοῦ ᾅδου καθεῖλες τὴν δύναμιν· καὶ ἀνέστης ὡς νικητής, Χριστὲ ὁ Θεός, γυναιξὶ Μυροφόροις φθεγξάμενος, Χαίρετε, καὶ τοῖς σοῖς Ἀποστόλοις εἰρήνην δωρούμενος, ὁ τοῖς πεσοῦσι παρέχων ἀνάστασιν.
READINGS OF THE DAY
Orthros Gospel Reading
Fifth Orthros Gospel The Gospel According to Luke 24:13-35
At that time, two of them were going to a village named Emmaus, about seven miles from Jerusalem, and talking with each other about all these things that had happened. While they were talking and discussing together, Jesus himself drew near and went with them. But their eyes were kept from recognizing him. And he said to them, "What is this conversation which you are holding with each other as you walk?" And they stood still looking sad. Then one of them, named Cleopas, answered him, "Are you the only visitor to Jerusalem who does not know the things that have happened there in these days?" And he said to them, "What things?" And they said to him, "Concerning Jesus of Nazareth, who was a prophet mighty in deed and word before God and all the people, and how our chief priests and rulers delivered him up to be condemned to death, and crucified him. But we had hoped that he was the one to redeem Israel. Yes, and besides all this, it is now the third day since this happened. Moreover, some women of our company amazed us. They were at the tomb early in the morning and did not find his body; and they came back saying that they had even seen a vision of angels, who said that he was alive. Some of those who were with us went to the tomb, and found it just as the women had said; but him they did not see." And he said to them, "O foolish men, and slow of heart to believe all that the prophets have spoken! Was it not necessary that the Christ should suffer these things and enter into his glory?" And beginning with Moses and all the prophets, he interpreted to them in all the scriptures the things concerning himself. So they drew near to the village to which they were going. He appeared to be going further, but they constrained him, saying, "Stay with us, for it is toward evening and the day is now far spent." So he went in to stay with them. When he was at table with them, he took the bread and blessed, and broke it, and gave it to them. And their eyes were opened and they recognized him; and he vanished out of their sight. They said to each other, "Did not our hearts burn within us while he talked to us on the road, while he opened to us the scriptures?" And they rose that same hour and returned to Jerusalem; and they found the eleven gathered together and those who were with them, who said, "The Lord has risen indeed, and has appeared to Simon!" Then they told what had happened on the road, and how he was known to them in the breaking of the bread.
Epistle Reading
The reading is from Acts of the Apostles 9:32-42
In those days, as Peter went here and there among them all, he came down also to the saints that lived at Lydda. There he found a man named Aeneas, who had been bedridden for eight years and was paralyzed. And Peter said to him, "Aeneas, Jesus Christ heals you; rise and make your bed." And immediately he rose. And all the residents of Lydda and Sharon saw him, and they turned to the Lord. Now there was at Joppa a disciple named Tabitha, which means Dorcas. She was full of good works and acts of charity. In those days she fell sick and died; and when they had washed her, they laid her in an upper room. Since Lydda was near Joppa, the disciples, hearing that Peter was there, sent two men to him entreating him, "Please come to us without delay." So Peter rose and went with them. And when he had come, they took him to the upper room. All the widows stood beside him weeping, and showing tunics and other garments which Dorcas made while she was with them. But Peter put them all outside and knelt down and prayed; then turning to the body he said, "Tabitha, rise." And she opened her eyes, and when she saw Peter she sat up. And he gave her his hand and lifted her up. Then calling the saints and widows he presented her alive. And it became known throughout all Joppa, and many believed in the Lord.
Gospel Reading
Sunday of the Paralytic The Gospel According to John 5:1-15
At that time, Jesus went up to Jerusalem. Now there is in Jerusalem by the Sheep Gate a pool, in Hebrew called Bethesda which has five porticoes. In these lay a multitude of invalids, blind, lame, paralyzed, waiting for the moving of the water; for an angel of the Lord went down at certain seasons into the pool, and troubled the water; whoever stepped in first after the troubling of the water was healed of whatever disease he had. One man was there, who had been ill for thirtyeight years. When Jesus saw him and knew that he had been lying there a long time, he said to him, "Do you want to be healed?" The sick man answered him, "Sir, I have no man to put me into the pool when the water is troubled, and while I am going another steps down before me." Jesus said to him, "Rise, take up your pallet, and walk." And at once the man was healed, and he took up his pallet and walked. Now that day was the sabbath. So the Jews said to the man who was cured, "It is the sabbath, it is not lawful for you to carry your pallet." But he answered them, "The man who healed me said to me, 'Take up your pallet, and walk.' "They asked him, "Who is the man who said to you, 'Take up your pallet, and walk'?" Now the man who had been healed did not know who it was, for Jesus had withdrawn, as there was a crowd in the place. Afterward, Jesus found him in the temple, and said to him, "See, you are well! Sin no more, that nothing worse befall you." The man went away and told the Jews that it was Jesus who had healed him.
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Antibacterial and Antifungal Property of Actinomycetes Isolates from Soil and Water of Nepal
Binod Lekhak, 1 Anjana Singh, 1 Dwij Raj Bhatta 1
1Central Department of Microbiology, Tribhuvan University, Kathmandu, Nepal.
ABSTRACT
Background: Human pathogens are rapidly acquiring resistance to antibiotics leading to treatment failure. We carried out this study to isolate and screen actinomycetes strains that have potential to kill bacterial and fungal pathogens.
Methods: In this descriptive study 288 soil and water samples were processed by standard microbiological techniques at Central Department of Microbiology,Tribhuvan University from 2013 to 2015. Screened actinomycetes were cultivated for bioactive metabolite production and minimum inhibitory concentration (MIC) of metabolites were determined against bacterial pathogens including multidrug resistant bacteria and fungi.
Results: One hundred twenty isolates having antimicrobial property were screened. Out of them, four most potent strains, Nocardiopsis prasina, Streptomyces violarus, Streptomyces krainskii and Streptomyces tsusimaensis were identified all having both antibacterial and anti-fungal property.Highest zone of inhibition (ZOI)was given by N. prasina against Candida albicans(41.33 ±1.15mm) and among bacteria, maximum ZOI was against Acinetobacter baumannii(31.33±3.05mm). MIC value of metabolite of N.prasina was 0.125mg/ml for E.coli and C. albicans. It was 2.5 mg/ml each for methicillin resistant Staphylococcus aureus (MRSA), A. baumannii and Salmonella Typhi and 0.625 mg/ml for Bacillus Subtilis.
Conclusions: Bioactive metabolite producing actinomycetes were recovered from soil and tested against human pathogenic bacteria and fungiand found to have antibacterial and antifungal property.
Keywords: Actinomycetes; bioactive metabolite; MIC; zone of inhibition.
INTRODUCTION
Antimicrobial resistance creates a great threat for effective prevention and control of several diseases caused by bacteria, fungi, viruses and other parasites. Multidrug resistant Klebsiella pneumoniae, fluoroquinolone resistant E.coli, third generation cephalosporin resistant Neisseria gonorrhoae, methicillin resistant Staphylococcus aureus (MRSA) and Colistin resistant enterobacteriaceae and many other microbes have been reported from different parts of the globe. 1 Human pathogens such as carbapenem resistant Acinetobacter baumannii, Pseudomonas aeruginosa and enterobacteriaceae have been given top priority. Similarly, vancomycin resistant enterococci, MRSA, fluoroquinolone resistant Salmonella, Campylobacter and Shigella spp. along with many other multidrug resistant pathogens create problem so that new antibiotics should be developed to address resistance problem. 2 Antibiotics are bioactive secondary metabolites produced by bacteria, fungi and plants. Among diverse microbes actinomycetes are most capable candidates of producing antibiotics. Out of 22,500 biologically active compounds obtained from microbes, 45% are from actinomycetes, 38% from fungi and 17% from other bacteria. 3 Over 5000 antibiotics have been identified from the culture of Gram +ve, Gram –ve bacteria and fungi. 4 Among actinomycetes, various Streptomyces spp. account for more than 70% of total antibiotic production followed by other species. 5 Actinomycetes are Gram +ve, filamentous bacteria with high guanine+cytosine content of over 55% in their DNA. 6 Actinomycetes are natural inhabitant of soil, fresh water, marinewater, lakes and sediments and even found in extreme environment such as Himalayas and hot springs. 7 Hence, this study was conducted to isolate and screen potent antibiotic producing strains of actinomycetes against bacterial and fungal pathogens.
METHODS
This study was carried out at Central Department of Microbiology, Tribhuvan University. In this study, 240 soil and 48 water samples were collected from different geographical locations of Nepal and actinomycetes
DOI:http://dx.doi.org/10.3126/ jnhrc.v16i2.20298
Correspondence: Dr Binod Lekhak,Central Department of Microbiology, Tribhuvan University, Kathmandu, Nepal. Email: email@example.com, Phone:+9779849509243.
were isolated by spread plate technique on starch casein agar. 8 Isolates were primarily screened for antimicrobial property against bacterial and fungal pathogens by perpendicular streak method on Mueller Hinton agar. 9 The strains showing antimicrobial property were cultivated under optimum conditions in starch casein broth at 30 o C for 7 days at 150 rpm and bioactive metabolites were extracted in ethylacetate. The extracts were subjected to secondary screening against Bacillus subtilis, MRSA, E.coliATCC25922, Acinetobacter baumannii(MDR), Salmonella Typhi(MDR) and Candida albicans by agar well diffusion method. 10 Minimum inhibitory concentration(MIC) of extracts were determined by tube dilution method. 11 Strains exhibiting both antibacterial and antifungal activities were characterized phenotypically on the basis of gram straining, sugar utilization test (Glucose, Mannitol, Sucrose, Fructose, Xylose etc.) substrate utilization test such as starch casein and gelatin, tolerance to different temperatures and sodium chloride concentration. 12 Molecular characterization was carried out by extracting DNA running PCR using universal primer and sequencing. 13 All the data generated were entered in excel file and SPSS version 20 and mean, standard deviation, frequency and percentage were calculated.
RESULTS
A total of 288 soil and water samples from different geographical locations of Nepal were subjected to isolation of actinomycetes. Altogether 120 different actinomycetes showing antimicrobial properties were separated on the basis of pigmentation (Figure 1). Actinomycetes strains producing white and dirty white pigments were most predominant each 17%.
Among them 60 isolates were active against only Gram +ve bacteria, 44 isolates against only Gram –ve bacteria, 6 isolates showed activity against both Gram +ve and Gram –ve bacteria while 4 isolates exhibited both antifungal and antibacterial activity. Four most potent isolates were identified as Nocardiopsis prasina(A 3 ), Streptomyces violarus (D 2 ), Streptomyces krainskii (P 4 ) and Streptomyces tsusimaensis (J 1 ) (Table 1).
Table 1. Activity of bioactive actinomycetes against bacteria and fungi.
Active against
| Colony S.N. color | | Gram +ve only | Gram -ve only | Both Gram +ve and Gram –ve | Fungi and Bacteria |
|---|---|---|---|---|---|
| 1 White 8 8 2 2 | | | | | |
| 2 | Dirty White | 8 | 8 | 3 | 1 |
| 3 Black 3 7 0 0 | | | | | |
| 4 | Brown | 1 | 5 | 0 | 0 |
| 5 Green 4 2 0 0 | | | | | |
| 6 | Pink | 6 | 2 | 0 | 0 |
| 7 Red 4 6 0 0 | | | | | |
| 8 | Brown Black | 7 | 3 | 0 | 0 |
| 9 Grey 10 3 1 1 | | | | | |
| 10 | Yellow | 7 | 0 | 0 | 0 |
Antimicrobial activity of bioactive compound extracted in ethyl acetate is shown in Table 2. Out of 4 potent isolates N. prasina showed highest antimicrobial activity against Candida albicans (41.33±1.15), Salmonella Typhi(24.33±2.08), Acinetobacter baumannii (31.33±3.05), MRSA (30.67±7.02) and Bacillus subtilis(24.67±2.08) while S.krainskii showed highest zone of inhibition against E.coli (26±0.00).
In MIC evaluation of bioactive compound, Nocardiopsis prasina showed lowest values against all test organisms 0.125mg/ml for C. albicans and E.coli, 2.5mg/ml for S. Typhi, A. baumannii and MRSA. For Bacillus subtilis all isolates gave same value 0.625mg/ml (Table 3).
DISCUSSION
CONCLUSIONS
In this study, we have isolated and screened bioactive compound producing actinomycetes strains. White and gray colored actinomycetes were predominant and most of them were active against Gram +ve bacteria. This result is similar with Mabrouk and Saleh( 2014) who reported dominance of white and gray actinomycetes with 64.3% active against Gram +ve bacteria. 9 Higher susceptibility of Gram +ve bacteria is due to lacking outer lipopolysaccharide which is impermeable to lipophilic compounds. 14 Results of our study is supported by Vengadesh et al., who found actinomycetes isolate A 5 was inhibitory to Bacillus subtilis, E.coli, C.albicans and Aspergillus flavus. 15 Our results are in agreement with Singh et al (2016) who observed high antibacterial activities of three actinomycetes strains against many test bacteria including MRSA, vancomycin resistant enterococci (VRE) and Klebsiella pneumoniae. 16 Results of this study showed that all four potent actinomycetes were active against bacteria and fungi with N. prasinaas best candidate. MIC values of bioactive metabolite ranging from 0.125mg/ml to 5mg/ ml. Similar to our findings, MIC value of metabolite of active actinomycetes as 1.25mg/ml for MRSA and other many bacteria. Similarly, MIC was 2.5mg/ml against VRE, Shigella dysenteriae and Klebsella pneumoniae. 17 In contrast, Satish and Kokati(2017) reported low MIC value of 1mg/ml for MDRSA. 18 MIC value is affected by many parameters including susceptibility of organisms, type of microorganism, concentration and type of bioactive metabolites, composition of cultural medium, incubation temperature and time. 15
Our study showed that soil and water of Nepal contained diverse actinomycetes strain that can inhibit the growth of some bacteria and Candida albicans. Among screened isolates N. prasina was found to be the most effective against test bacteria and fungi. Further studies regarding characterization of bioactive compound is essential.
ACKNOWLEDGEMENTS
I am grateful to my supervisor Prof Dr Dwij Raj Bhatta and co-supervisor Prof Dr Anjana Singh for their valuable suggestion to develop concept and designing research and also guiding me during my laboratory work.Equally. I would like to acknowledge Prof Dr Giorgio Palu, Director, Department of Molecular Medicine, Padova University, Italy for providing laboratory facility to study antimicrobial activities of actinomycetes and sequencing actinomycetes strains.
REFERENCES
1. WHO. Antimicrobial Resistance.Fact sheet updated 2017. [Full Text]
2. WHO.WHO Publishes list of bacteria for which new antibiotics are urgently needed.News release, .Media center. 2017.[Full Text]
3. Berdy J. Bioactive microbial metabolites. J Antibiot. 2005;58(1):1.[Google Scholar]
4. Hayakawa Y, Shirasaki S, Shiba S, Kawasaki T, Matsuo Y, Adachi K, Shizuri Y. Piericidins C 7 and C 8, New Cytotoxic Antibiotics Produced by a Marine Streptomyces sp. J Antibiot. 2007;60(3):196.[Link]
5. Lam KS. Discovery of novel metabolites from marine actinomycetes. Curr Opin Microbiol. 2006 Jun 1;9(3):245-51.[Google Scholar]
6. Ventura M, Canchaya C, Tauch A, Chandra G, Fitzgerald GF, Chater KF, van Sinderen D. Genomics of Actinobacteria: tracing the evolutionary history of an ancient phylum. Microbiol Mol Biol Rev. 2007 Sep 1;71(3):495-548. [Google Scholar]
7. Gurung TD, Sherpa C, Agrawal VP, Lekhak B. Isolation and characterization of antibacterial actinomycetes from soil samples of Kalapatthar, Mount Everest Region. Nepal Journal of Science and Technology. 2009;10:173-82.[DOI]
8. Küster E, Williams ST. Selection of media for isolation of streptomycetes. Nature. 1964 May;202(4935):928. [Google Scholar]
9. Mabrouk MI, Saleh NM. Molecular identification and characterization of antimicrobial active actinomycetes strains from some Egyptian soils.American-Eurasian J Agric Environ Sci.2014;14(10):954-963
10. Boyanova L, Gergova G, Nikolov R, Derejian S, Lazarova E, Katsarov N, Mitov I, Krastev Z. Activity of Bulgarian propolis against 94 Helicobacter pylori strains in vitro by agar-well diffusion, agar dilution and disc diffusion methods. J Med Microbiol. 2005 May 1;54(5):481-3. [Google Scholar]
11. Jorgensen JH, Turnidge JD. Susceptibility test methods: dilution and disk diffusion methods. InManual of Clinical Microbiology, Eleventh Edition 2015 Jun 1 (pp. 12531273). American Society of Microbiology.[Google Scholar]
12. Bergey DH, Holt JG. Actinomycetales. In Bergey's manual of determinative bacteriology.2000.9th edition,Lippincott Williams and Wilkins, Philadelphia.
13. Lane DJ. 16S/23S rRNA sequencing. Nucleic acid techniques in bacterial systematics.. 1991.[Google Scholar]
14. Scherrer R, Gerhardt P. Molecular sieving by the Bacillus megaterium cell wall and protoplast. J Bacteriol. 1971 Sep 1;107(3):718-35.[Link]
15. Vangadeesh S, Sundarmurthi C,Karthic K, SelvarajuK. Production and evaluation of antibiotics from soil isolated actinomycetes. International Journal of Institutional Pharmacy and Life Sciences.2011;1(1):138-152
16. Chaudhary HS, Yadav J, Shrivastava AR, Singh S, Singh AK, Gopalan N. Antibacterial activity of actinomycetes isolated from different soil samples of Sheopur (A city of central India). J Adv Pharm Technol Res. 2013:4(2):118-123[Full Text]
17. Singh V, Haque S, Singh H, Verma J, Vibha K, Singh R, Javed A, Tripathi CKM. Isolation,screening and identification of novel isolates of actinomycetes from India. Front Microbiol. 2016;7:1921.[Full Text]
18. Kumar SR S, Rao KV. In-vitro antimicrobial activity of marine actinobacteria against multidrug resistance Staphylococcus aureus. Asian Pac J Trop Biomed. 2012 Oct 1;2(10):787-92.[Science Direct]
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Reverend Father Peter Stratos, Pastor
Reverend Father Christopher Retelas, Associate Pastor
778 S. Rosemead Blvd., Pasadena, CA 91107-5613
Tel. (626) 449–6943 ~ Fax: (626) 449–6974
www.saint-anthonys.org – email@example.com - www.pasadenagreekfest.org
Church office hours: Monday – Friday: 9:00 a.m. to 4:00 p.m.
(Closed Saturday and Sunday)
St. Anthony's calendar link: http://saint-anthonys.org/calendar
For pastoral emergencies please call 626-855-3640
February 25 th , 2018 – Sunday of Orthodoxy
Orthros ~ 8:45 a.m. Memorial ~ 9:45a.m.
Vasiliki Gizas, 2 years. Argyrios Gizas, 10 years.
Divine Liturgy ~ 10:00 a.m.
Today's Social Hour will be offered in memory of Vasiliki and Argyrios Gizas by their family.
Our 2018 Parish Oratorical Festival will take place on Sunday, March 18. Please encourage your young people to participate. The festival is open to grades 5 through 12, and is broken into three divisions: Elementary, Junior and Senior. Information will be provided by email to the families of eligible students. However, if you have a student who is interested in speaking or if you would like to assist in this worthy project, please contact Maria Grover at firstname.lastname@example.org or (818) 522-4225. Find the topics, rules, guidelines, and prize information at goarch.org/oratorical.
St. Anthony Pasadena Young Adults: The Great Lent Cookout @ Fr. Chris's house! Saturday, March 3 rd , 1:30pm. Fr. Chris wants to rally all the young adults together for fun day of food, fellowship, and light discussion, but also to hear more from YOU, the young adults! All college students and young adults ages 18-35 are welcome to attend. Cost: $0, RSVP to email@example.com or firstname.lastname@example.org by Feb. 28 th .
Our weekly Bible Study classes have returned every Tuesday morning at 10:00am. Please come and join us as we are enlightened with the Word of God together!
Studies in the Faith: A Lenten Journey through the Holy Land Feb. 21st – March 28th: These classes will give the participant a better understanding of the importance of the Holy Land as it relates to our Greek Orthodox Faith. This is a series for six weeks, held on Wednesday evenings from 7:15 to 8:15, after the Pre-Sanctified Liturgy. This Bible Study with an emphasis on the Holy Land will be held from Feb. 21st to March 28th. Participation in the discussions is encouraged to ensure that the Bible Study will become an exciting and meaningful experience for all.
Divine Services for the months of February and March (saint-anthonys.org/calendar):
th
Wednesday, Feb. 28 th – Pre-Sanctified Liturgy (6:00pm) followed by Studies in the Faith Friday, March 2 nd – Salutations to the Theotokos (7:00pm)
Wednesday, March 7 – Pre-Sanctified Liturgy(6:00pm) followed by Studies in the Faith
Friday, March 9
th
– Salutations to the Theotokos
Wednesday, March 14
th
(7:00pm)
– Pre-Sanctified Liturgy(6:00pm) followed by Studies in the Faith
Friday, March 16
th
– Salutations to the Theotokos(7:00pm)
Easter bake sale. Philoptochos is currently taking orders. Order early, deadline is March 25. All proceeds will benefit Kids n' Cancer, Camp Agape a Metropolis ministry of Philoptochos. Tsoureki, Kourambiethes, chocolate dipped koulouria, traditional koulouria and dyed red eggs will be available. Pick up date will be Palm Sunday, April 1. For more information contact: Kathy Lucas: email@example.com or 626-447-8336 or Yiota Poulos at 626-448-5034.
Philoptochos Membership Drive: St. Anthony Philoptochos is currently holding its Membership Drive. Membership renewal forms have just been mailed to all existing members. Please, be on the look out for your packet and return it at your earliest convenience. We will have a table as you exit church on Sunday to expedite your renewal and for your convenience. We welcome all who would like to join us in helping to provide support for those in need to become a member of Philoptochos.
Philoptochos general meeting will take place Tuesday, Feb. 27 th at 7 pm in the Trinity Ballroom. "Everything you wanted to know about Great Lent but never asked!" Father Peter will join us to answer questions and to help us with our personal journey through Great Lent. We will serve a light Lenten supper with recipes to take home and will discuss our Lenten outreach project, Kids'N'Cancer, the recipient of the proceeds from our Pascha Bake Sale. All are welcome and bring a friend!
HOPE & JOY – Our first meeting went very well thanks to parent helpers. We will meet March 5-cardboard challenge, don't ask, just come and enjoy the fun! No meeting in April-families will be celebrating Pascha. May 6-Theme to be announced, June-Vacation Bible School. Dates for
July, August and September to be announced. Youth volunteers are welcomed, contact Mary Udria, firstname.lastname@example.org or Irene Albeck, email@example.com
Save the date: GOYA VOLLEYBALL TOURNAMENT - May 12, 2018.
Union Station Homeless Services Thank you for supporting this worthwhile program by volunteering your time to serve the homeless. USHS staff and clients are always happy to see our group from Saint Anthony Greek Orthodox Church. This coming year 2018 we continue to provide nutritious hot meals and serve those less fortunate. Contact Sophia Angelos at firstname.lastname@example.org, Irene Albeck at email@example.com or Stephanie Soewers at firstname.lastname@example.org.
Parish Pay (WeShare) is an easy method to make donations to Saint Anthony Church. To sign up, please either: Visit ParishPay.com or call (800) 950-9952 and enroll over the phone. If weekly envelopes are not your preference, Parish Pay is an easy alternative for all your donations.
Order for Holy Communion (for Baptized and/or Chrismated Orthodox Christians): The acolytes, choir, and chanters receive Holy Communion first. Next, the parishioners from the front pew, one pew at a time should approach the chalice. Please allow the ushers to dismiss you.
HYMNS OF THE DAY
(DURING SMALL ENTRANCE)
(1) Apolytikion for Sunday of Orthodoxy. Mode 2.
We venerate Your immaculate icon, O good Lord, and entreat You to forgive our offences, O Christ our God. By Your own choice you were pleased to ascend the Cross in the flesh, to deliver us, whom You created, from our slavery to the foe. Therefore we cry to You with gratitude: You have filled all things with joy, O our Savior, by coming to save the world.
Τὴν ἄχραντον Εἰκόνα σου, προσκυνοῦμεν ἀγαθέ, αἰτούμενοι συγχώρησιν τῶν πταισμάτων ἡμῶν, Χριστὲ ὁ Θεός· βουλήσει γὰρ ηὐδόκησας σαρκί, ἀνελθεῖν ἐν τῷ Σταυρῷ, ἵνα ῥύσῃ οὓς ἔπλασας, ἐκ τῆς δουλείας τοῦ ἐχθροῦ· ὅθεν εὐχαρίστως βοῶμέν σοι· Χαρᾶς ἐπλήρωσας τὰ πάντα ὁ Σωτὴρ ἡμῶν, παραγενόμενος εἰς τὸ σῶσαι τὸν κόσμον.
(AFTER SMALL ENTRANCE)
(2) Resurrectional Apolytikion. Mode Plagal 1.
Let us worship the Word who is unoriginate with the Father and the Spirit, and from a Virgin was born for our salvation, O believers, and let us sing His praise. For in His goodness He was pleased to ascend the Cross in the flesh, and to undergo death, and to raise up those who had died, by His glorious Resurrection.
Τὸν συνάναρχον Λόγον Πατρὶ καὶ Πνεύματι, τὸν ἐκ Παρθένου τεχθέντα εἰς σωτηρίαν ἡμῶν, ἀνυμνήσωμεν πιστοὶ καὶ προσκυνήσωμεν, ὅτι ηὐδόκησε σαρκί, ἀνελθεῖν ἐν τῷ Σταυρῷ, καὶ θάνατον ὑπομεῖναι, καὶ ἐγεῖραι τοὺς τεθνεῶτας, ἐν τῇ ἐνδόξῳ Ἀναστάσει αὐτοῦ.
(3) Apolytikion for Sunday of Orthodoxy. Mode 2.
We venerate Your immaculate icon, O good Lord, and entreat You to forgive our offences, O Christ our God. By Your own choice you were pleased to ascend the Cross in the flesh, to deliver us, whom You created, from our slavery to the foe. Therefore we cry to You with gratitude: You have filled all things with joy, O our Savior, by coming to save the world.
Τὴν ἄχραντον Εἰκόνα σου, προσκυνοῦμεν ἀγαθέ, αἰτούμενοι συγχώρησιν τῶν πταισμάτων ἡμῶν, Χριστὲ ὁ Θεός· βουλήσει γὰρ ηὐδόκησας σαρκί, ἀνελθεῖν ἐν τῷ Σταυρῷ, ἵνα ῥύσῃ οὓς ἔπλασας, ἐκ τῆς δουλείας τοῦ ἐχθροῦ· ὅθεν εὐχαρίστως βοῶμέν σοι· Χαρᾶς ἐπλήρωσας τὰ πάντα ὁ Σωτὴρ ἡμῶν, παραγενόμενος εἰς τὸ σῶσαι τὸν κόσμον.
(4) Memorial Hymn. Mode Plagal 4.
Remember your servants O good and loving Lord, and forgive every sin they may have committed in life, for no one is without sin. O mighty one grant your departed servants who has fallen asleep, everlasting rest.
Μνήσθητι Κύριε, ὡς ἀγαθὸς τῶν δούλων σου, καὶ ὅσα ἐν βίῳ ἥμαρτον συγχώρησον· οὐδεὶς γὰρ ἀναμάρτητος, εἰ μὴ σὺ ὁ δυνάμενος, καὶ τοῖς μεταστᾶσι δοῦναι τήν ἀνάπαυσιν.
(5) Apolytikion of Saint Anthony. Mode 4.
Emulating the ways of Elijah the zealot, and following the straight paths of the Baptist, O Father Anthony, you made the wilderness a city, and did support the world by your prayers. Wherefore intercede with Christ our God, that our souls be saved.
Τὸν ζηλωτὴν Ἠλίαν τοῖς τρόποις μιμούμενος, τῷ Βαπτιστῇ εὐθείαις ταῖς τρίβοις ἑπόμενος, Πάτερ Ἀντώνιε, τῆς ἐρήμου γέγονας οἰκιστής, καί τήν οἰκουμένην ἐστήριξας εὐχαῖς σου· διὸ πρέσβευε Χριστῷ τῷ Θεῷ σωθῆναι τὰς ψυχὰς ἡμῶν.
(6) Seasonal Kontakion. Mode Plagal 4.
O Champion General, I your City now inscribe to you Triumphant anthems as the tokens of my gratitude, Being rescued from the terrors, O Theotokos. Inasmuch as you have power unassailable, From all kinds of perils free me, so that unto you I may cry aloud: Rejoice, O unwedded Bride.
Τῇ ὑπερµάχῳ στρατηγῷ τὰ νικητήρια, Ὡς λυτρωθεῖσα τῶν δεινῶν εὐχαριστήρια, Ἀναγράφω σοι ἡ Πόλις σου Θεοτόκε. Ἀλλ' ὡς ἔχουσα τὸ κράτος ἀπροσµάχητον, Ἐκ παντοίων µε κινδύνων ἐλευθέρωσον, Ἵνα κράζω σοι· Χαῖρε νύµφη ἀνύµφευτε.
READINGS OF THE DAY
Orthros Gospel Reading
Fifth Orthros Gospel The Gospel According to Luke 24:13-35
At that time, two of them were going to a village named Emmaus, about seven miles from Jerusalem, and talking with each other about all these things that had happened. While they were talking and discussing together, Jesus himself drew near and went with them. But their eyes were kept from recognizing him. And he said to them, "What is this conversation which you are holding with each other as you walk?" And they stood still looking sad. Then one of them, named Cleopas, answered him, "Are you the only visitor to Jerusalem who does not know the things that have happened there in these days?" And he said to them, "What things?" And they said to him, "Concerning Jesus of Nazareth, who was a prophet mighty in deed and word before God and all the people, and how our chief priests and rulers delivered him up to be condemned to death, and crucified him. But we had hoped that he was the one to redeem Israel. Yes, and besides all this, it is now the third day since this happened. Moreover, some women of our company amazed us. They were at the tomb early in the morning and did not find his body; and they came back saying that they had even seen a vision of angels, who said that he was alive. Some of those who were with us went to the tomb, and found it just as the women had said; but him they did not see." And he said to them, "O foolish men, and slow of heart to believe all that the prophets have spoken! Was it not necessary that the Christ should suffer these things and enter into his glory?" And beginning with Moses and all the prophets, he interpreted to them in all the scriptures the things concerning himself. So they drew near to the village to which they were going. He appeared to be going further, but they constrained him, saying, "Stay with us, for it is toward evening and the day is now far spent." So he went in to stay with them. When he was at table with them, he took the bread and blessed, and broke it, and gave it to them. And their eyes were opened and they recognized him; and he vanished out of their sight. They said to each other, "Did not our hearts burn within us while he talked to us on the road, while he opened to us the scriptures?" And they rose that same hour and returned to Jerusalem; and they found the eleven gathered together and those who were with them, who said, "The Lord has risen indeed, and has appeared to Simon!" Then they told what had happened on the road, and how he was known to them in the breaking of the bread.
Epistle Reading
The reading is from St. Paul's Letter to the Hebrews 11:24-26, 32-40
Brethren, by faith Moses, when he was grown up, refused to be called the son of Pharaoh's daughter, choosing rather to share ill-treatment with the people of God than to enjoy the fleeting pleasures of sin. And what more shall I say? For time would fail me to tell of Gideon, Barak, Samson, Jephthah, of David and Samuel and the prophets -- who through faith conquered kingdoms, enforced justice, received promises, stopped the mouths of lions, quenched raging fire, escaped the edge of the sword, won strength out of weakness, became mighty in war, put foreign enemies to flight. Women received their dead by resurrection. Some were tortured, refusing to accept release, that they might rise again to a better life. Others suffered mocking and scourging, and even chains and imprisonment. They were stoned, they were sawn in two, they were killed with the sword; they went about in skins of sheep and goats, destitute, afflicted, ill-treated -- of whom the world was not worthy -- wandering over deserts and mountains, and in dens and caves of the earth. And all these, though well attested by their faith, did not receive what was promised, since God had foreseen something better for us, that apart from us they should not be made perfect.
Gospel Reading
Sunday of Orthodoxy The Gospel According to John 1:43-51
At that time, Jesus decided to go to Galilee. And he found Philip and said to him, "Follow me." Now Philip was from Bethsaida, the city of Andrew and Peter. Philip found Nathanael, and he said to him, "We have found him of whom Moses in the law and also the prophets wrote, Jesus of Nazareth, the son of Joseph." Nathanael said to him, "Can anything good come out of Nazareth?" Philip said to him, "Come and see." Jesus saw Nathanael coming to him, and said of him, "Behold, an Israelite indeed, in whom is no guile!" Nathanael said to him, "How do you know me?" Jesus answered him, "Before Philip called you, when you were under the fig tree, I saw you." Nathanael answered him, "Rabbi, you are the Son of God! You are the King of Israel!" Jesus answered him, "Because I said to you, I saw you under the fig tree, do you believe? You shall see greater things than these." And he said to him, "Truly, truly, I say to you, you will see heaven opened, and the angels of God ascending and descending upon the Son of man."
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Premium Actuated Valve Part Number Selection
ENGINEERING GUIDE
Contact Spears ® for any Information not found.
Premium Actuated Valve Part Number Selection
The section is provided for formulation of part numbers on custom actuated valve packages. A 3-step process is used to build custom actuated valve part numbers:
Step 1 - Select the desired type, style, options and material of valve from appropriate Valve Selection Table. Specify nominal valve size from Size Code available.
Step 2 -Select the desired actuator style options from the Actuator Selection Tables
Step 3 - Select desired actuator accessories (if any) from the Accessories Selection Tables.
IMPORTANT: Custom accessories are ordered under a separate part number from the actuated Valve Package. Accessory part numbers are ordered individually and factory assembled with selected Actuated Valve Package. If any accessories are being ordered, add the suffix, "- A " to the end of the Actuated Valve Package part number. This suffix is added only if an Accessory(s) is being selected for add on to the initial Actuated Valve Package.
ACTUATED VALVE PACKAGE PART NUMBER POSITIONS
Butterfly Valve Selection
Table 2: BUTTERFLY VALVES
Notes:
1 - PVC and CPVC valves available through 16" only.
2 - All PP and 16" PVC/CPVC valves available in Standard Butterfly style only.
3 - Lugs specified with True Lug and Lug Insert styles only.
4 - PP valves are standard with EPDM or FKM.
6 - Tandem 3-Way part number includes two valves operated from one actuator, both closing or both opening at the same time.
5 - Actuated valve sizes 14" and larger are custom produced to order, contact Spears® Technical Services.
7 - Tandem Diverting part number includes two valves operated from one actuator with one opening while the other closes.
8 - Pool Butterfly Valves available in sizes 1-1/2" to 12" with SS316 Stem, EPDM Seats, PVC White only. No other options are available.
9 - Lug Inserts are used when Lug Style valve is ordered for Tandem Diverting valve type.
Diaphragm Valve Selection
Table 3: DIAPHRAGM VALVES
2 = FKM
Notes:
1 - All valves with socket, thread, or SR thread end connectors are True Union style only.
Socket end connectors available on PVC and CPVC valve sizes 1/2" - 2" only.
Thread and SR thread end connectors available on PVC, CPVC, and PP valve sizes 1/2" - 2" only.
DIN, JIS, and BSP end connectors available on PVC and CPVC valve sizes 1/2" - 2" only.
Flanged end connectors available on all sizes of PVC and CPVC valves.
Flanged end connectors available on PP valve sizes 3" and larger only.
Zero Dead Leg valves are Socket Tee x selected End Connector code.
2 - O-rings are use on True Union style valves sizes 1/2" - 2" with socket, thread, or SR thread end connectors only. Enter "0" for all other end connector selections.
Gate Valves Selection (special order)
®
Table 3A: GATE VALVES (Special Order Only - Contact Spears for Availbility)
(Valve Type - End Connector - O-ring - Special Options - Material - Size Selection)
6 = DIN Plain
Notes:
1 - SR thread style available on 3" & 4" size only.
Din Plain metric available in 20 mm - 63 mm only.
2 - PVC valves have polypropylene gate wedge, CPVC valves have CPVC gate wedge
3 - Standard valves are assembled with non-silicone lubricant.
4 - Valve size 2-1/2" is 3" valve with 2-1/2" reducer bushings.
Electric Actuator Selection
Step 2: Actuator Code Selection
Spears ® actuated valves are available with either electric or pneumatic motors. Actuators are pre matched to each type and size of valve with proper operating torque and cycle time. Additional actuator accessories are selected and are factory installed on the Actuated Valve Package in Step 3 instructions
Select the applicable options from either the Electric Actuators (Selection Table 4) or Pneumatic Actuators (Selection Table 5) and enter the designated Actuator Code portion of the package part number.
Table 4: ELECTRIC ACTUATORS (Voltage-Enclosure Rating-Manual Override-Duty Cycle)
ACTUATOR CODE Optional Control Number (not used on basic packages)
1 - 2 - 3 - 4 - 5
6 - 7 - 8 - 9
10 - 11 - 12
Reserved for Valve
Reserved for Size
Duty Cycle(see note 3)
1 = 25%
2 = 75%
3 = 100%
4 = 50%
5 = 70% (custom only)
6 = 80% (custom only)
7 = 40%
8 = 60%
9 = 20%
Voltage(see note 1)
A = 115 VAC 60 Hz
B = 230 VAC 60 Hz
C = 230 VAC 3-phase 50 Hz (EU)
D = 230 VAC 3-phase 60 Hz
E = 24 VAC
F = 12 VDC
G = 24 VDC
L = 460 VAC 3-Phase 50 Hz (EU)
M = 460 VAC 3-Phase 60 Hz
R = 415 VAC 3-Phase 50 Hz
S = 230 VAC 50 Hz (EU)
T= 575 VAC 3-Phase 60Hz (EU)
U = 115 VAC 50 Hz (EU)
V = 208 VAC 3-Phase 60 Hz
X = Single Indicator Switch Only (see note 2)
Y = Double Indicator Switch Only (see note 2)
Z = Actuator Bracket Only (see note 2)
1 = 480 VAC 50 Hz
2 = 480 VAC 60 Hz
3 = 480 VAC 3-Phase 50 Hz
4 = 480 VAC 3-Phase 60 Hz
5 = 380 VAC 3-Phase 60 Hz
Manual Override(see note 4)
0 = None
1 = Basic Manual Override
2 = Declutchable Manual Override
3 = Spring Return Open with Declutchable Manual Override (see not 5)
4 = Spring Return Close with Declutchable Manual Override (see note 5)
5 = Spring Return Open no override (see note 5)
6 = Spring Return Close no override (see note 5)
7 = RCE Battery Backup Actuator
8 = Spring Return Open with Basic Manual Override (see note 5)
9 = Spring Return Close with Basic Manual Override (see note 5)
Enclosure
1 = NEMA4 5 = NEMA 4 Double Powder Coated 9 = AWWA
C=NEMA 6P,prolonged
2 = NEMA4x 6 = NEMA 4x Double Powder Coated A = NEMA 7 Modulation enclosure submersion at a limited depth.
(for 1/2"-2" modulated Ball /Butterfly) D=NEMA 8
3 = NEMA 7 7 = NEMA 7 Double Powder Coated
4 = NEMA 9 8 = NEMA 9 Double Powder Coated B = NEMA 6
Notes:
1 - 460 VAC available on Butterfly Valves only.
2 - Bracket & Indicator Switch Only part numbers do not allow any other options(must be Z000, Y000, or X000).
3 -
Standard Duty Cycles vary according to valve type and size as indicated in chart below.
Standard
Duty Cycles can be upgraded
only.
Note: 50% duty cycle available on non-standard, special order actuators only.
| Size Range | 25% Duty Cycle | 75% Duty Cycle |
|---|---|---|
| 1/2" - 2" | | X |
| 2-1/2" - 4" | X | |
| 1-1/2" - 10" | X | |
| 12" - 24" | | |
| 1/2" - 8" | X | |
4 - Basic Manual Override is standard on Ball Valve sizes 1/2" - 3" with Declutchable Manual Override as an option.
Declutchable Manual Override is standard on Ball Valve sizes 4" & larger and all Butterfly Valves.
Standard Gate Valve and Diaphragm Valve packages have no override with Declutchable Manual Override as an option. Spring return not available on electric Diaphragm valves.
5 - Electric Spring Return Actuators come standard with no type of override. Need to verify if either Declutchable Manual Override or Basic Manual Overrides are available in all applications.
Actuator Only Selection
Actuator Only Part Numbers
Individual Premium Electric actuators can be ordered for specific Spears ® valve types and sizes. Includes actuator and mounting hardware for specified valve type and size. To specify valve type for actuator only, enter the first digit valve type code followed by zeros ("0") for remaining 4-digits of the valve code section of the part number plus the applicable 3-digit valve size code (see valve selection Tables 1, 2, or 3). Complete the actuator code selection as described in this section. See Step 3 for any desired actuator accessories. Example: A 115 VAC electric actuator only with NEMA 4 enclosure, basic manual override and 75% duty cycle for 2" standard True Union Ball Valve would have the following part number: 10000A112-020.
Optional Control Numbers (custom use) - Electric Actuators
5 = Oversize Housing
8 = AUMA SA07.1-26B Actuator
H = AUMA SAO7.5-38A 115 VAC Single Phase Actuator, (2) Gear Train Limit Switches, Open / Close Torque Switches, Space Heater,
Plug & Socket type terminals, Side Mounted hand wheel, Nema 4x enclosure, Reversing starters, Power Supply board, Interface Board
- 110 VAC, 3 Push buttons O/S/C, Selector Switch L/O/R, 3 Lights open / fault / close
9 = Actuator Upsize (one size to accommodate accessories)
K = Custom 2-position Actuator on 3-Way Ball Valve
X = Actuator assembled with Double Containment Valve & Valve Box (for use in "actuator only" part number)
Note: When control number is used on a package with accessories, the dash ( - ) is dropped before the "A" due to part number limitations.
Pneumatic Actuator Selection
Table 5: PNEUMATIC ACTUATOR (Operation - Operating Pressure - Manual Override)
(see note 2)
1 = 80 psi
2 = 60 psi
3 = 40 psi
4 = 20-100 psi specified (must use with optional Control Number below)
5 = 140 psi (Diaphragm Valve only)
6 = 150 psi
7 = 120 psi
8 = 90 psi(Diaphragm Valve w/Unitized Plastic Housing, 1/2"-2")
0 = None
1 = Polyester Powder Coated
2 = Stainless Steel Housing & Mounting
3 = Autocatalyticly Nickel Infused (ANI) housing
4 = Special Bracketing- TUMB2
5 = Diaphragm w/Unitized Plastic Housing(1/2"-2")
6 = FKM O-ring in Actuator
Notes:
1 - Bracket only part numbers do not allow any other options (must be Z000); available for Ball Valves only.
2 - Operating pressures (1-2-3) apply to Ball valve actuators.
3 - Basic Manual Override is standard on all Ball Valves and Butterfly Valves with Declutchable Manual Override as an option.
Standard Diaphragm Valve package has no override. No manual override option sizes 1/2" -2". Declutchable Manual Override is an option on valve sizes 2-1/2" & larger.
Actuator Only Part Numbers
Individual Premium Pneumatic actuators can be ordered for specific Spears ® valve types and sizes. Includes actuator and mounting hardware for specified valve type and size. To specify valve type for actuator only, enter the first digit valve type code followed by zeros ("0") for remaining 4-digits of the valve code section of the part number plus the applicable 3-digit valve size code (see valve selection Tables 1, 2, or 3). Complete the actuator code selection as described in this section. See Step 3 for any desired actuator accessories.
Example: An 80 psi, air-to-air pneumatic actuator only with declutchable manual override for 2" standard Butterfly Valve would have the following part number: 40000H102-020.
Optional Control Numbers (custom use) - Pneumatic Actuators
X = Actuator assembled with Double Containment Valve & Valve Box (for use in "actuator only" part number) Control Numbers for user specified pressure. Must be used with Operating (Supply) Pressure code 7, #4:
A = 20 psi
D = 50 psi
G = 80 psi
B = 30 psi
E = 60 psi
H = 90 psi
C = 40 psi
F = 70 psi
J = 100 psi
K = Custom 2-position Actuator 3-Way Ball Valve
Note: When control number is used on a package with accessories, the dash ( - ) is dropped before the "A" due to part number limitations.
Actuator Accessories Selection- Call for Application Detail
Step 3: Actuator Accessory Selection
Premium actuator accessories are available for both Electric actuators (Selection Table 7) and Pneumatic actuators (Selection Table 8 and 9). Actuator accessory options are selected and ordered separately as individual Accessory part numbers for the actuated valve. If accessory options are to be ordered, be sure the suffix, "-A", was added to the end of the selected Actuated Valve Package part number configured in Step 1 & 2 to designate that the accessories are assembled with the valve package.
A separate part number is used for each accessory ordered. Select the desired Accessory Part Number from the selection tables for each accessory.
Example: An electric actuated valve is desired with a heater and thermostat, an SPDT limit switch set and a 0-5 VDC signal positioner board. From Table 7, the following Accessory part numbers should be ordered with the actuated valve package: Heater & Thermostat = A-H1, Limit Switch Set = A-LS1, Positioner Board = A-PB2
Contact Spears ® for any desired accessories or functions not specified in the Accessory Selection Tables.
Selection Table 7: Diaphragm Valve Premium Electric Actuator Accessories
Note:
1 - "2-Wire" Control is not applicable to Diaphragm Valves
2 - Friction Brake are standard on Butterfly Valve and not applicable to Diaphragm Valves
3 - The A-LS2 is used on 1/2" - 2" basic Ball Valve packages; A-LS1 used on all other.
(CONTINUED NEXT PAGE)
Actuated Valves Technical Actuator Accessories Selection- Call for Application Detail
(Selection Table 7: Premium Electric Actuator Accessories - continued)
4 - Stem Extension Part Numbers: Enter size code for "xxx" in part number. Replace "000" with desired length code in part number; length is from top of valve to bottom of actuator.
(Selection Table 8: Ball Valve & Butterfly Valve Premium Pneumatic Actuator Accessories
Note:Pneumatic and Electro-Pneumatic positioners include brass gauges: 1 input gauge @0-30 psi and 2 output gauges @ 0-160 psi. Stainless steel gauges may be ordered separately.
(CONTINUED NEXT PAGE)
Actuated Valves Technical Actuator Accessories Selection- Call for Application Detail
(Table 8: Ball Valve & Butterfly Valve Premium Pneumatic Actuator Accessories - continued)
Note:1 - Stem Extension Part Numbers: Enter size code for "xxx" in part number. Replace "000" with desired length code in part number; length is from top of valve to bottom of actuator.
| Description | Accessory Part Number |
|---|---|
| 2-SPDT NEMA 4/4x | |
| 2-SPDT NEMA 4/4x w/ Visual Indicator | |
| 2-SPDT NEMA 4/4x w/ Green/Red Dome Indicator | |
| 2-SPDT NEMA 4/4x w/ Low Profile Indicator | |
| 2-DPDT NEMA 4/4x | |
| 2-DPDT NEMA 4/4x w/ Visual Indicator | |
| 2-Proximity NEMA 4/4x | |
| 2-Proximity NEMA 4/4x w/Low Profile Indicator NOTE - Requires user supplied intrinsic barrier | |
| 2-Proximity NEMA 4/4x w/ Visual Indicator | |
| 2-Proximity NEMA 7/9 | |
| 2-Proximity NEMA 7/9 w/ Visual Indicator | |
| 2-Proximity NEMA 7/9 w/ Low Profile Indicator | |
| 2-SPDT NEMA 4/4x/7/9 | |
| 2-SPDT NEMA 4/4x 7/9 w/ Visual Indicator | |
| 2-DPDT NEMA 4/4x/7/9 | |
| 2-DPDT NEMA 4/4x/7/9 w/ Visual Indicator | |
| 4-SPDT NEMA 4/4x w/ 180° Indicator | |
| Dome Indicator | |
| 4-20mA Output Transmitter | |
| Stainless steel case, 3-gauge set for use with positioners: 1 - input pressure gauge 0-30 psi, 2- output gauges 0-160 psi | |
| Plastic case, 3-gauge set for use with positioners: 1 - input pressure gauge 0-30 psi, 2- output gauges 0-160 psi | |
| Standard Sintered Bronze, 40 micron, 1/8" NPT | |
| Standard Sintered Bronze, 40 micron, 1/4" NPT | |
| Speed Control Muffler (Adjustable Air Flow) 1/8" NPT | |
| Speed Control Muffler (Adjustable Air Flow) 1/4" NPT | |
| Type 316 Stainless Steel ID Tag 1/2" x 3" (3-lines, 12-characters & spaces) | |
| Ball Valve Stem Extension1 | |
| True Union 2000 Ball Valve Stem Extension1 | |
| Butterfly Valve Stem Extension1 | |
Table 9: Diaphragm Valve Premium Pneumatic Actuator Accessories (Not applicable to Diaphragm Valves with Plastic Actuator Housing)
Actuated Valves Technical Actuator Accessories Selection- Call for Application Detail
Table 9: Diaphragm Valve Premium Pneumatic Actuator Accessories (Not applicable to Diaphragm Valves with Plastic Actuator Housing)
Note: 1 - Stem Extension Part Numbers: Enter size code for "xxx" in part number. Replace "000" with desired length code in part number; length is from top of
valve to bottom of actuator.
2 - Micro Limit Switches used on valve sizes 1/2" through 2".
3 - Limit Switches used on valve sizes 2-1/2" & larger.
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Expression and Ni-NTA-Agarose Purification of Recombinant Hepatitis C Virus E2 Ectodomain Produced in a Baculovirus Expression System
Julián Gómez-Gutiérrez # , Mar Rodríguez-Rodríguez $ , Francisco Gavilanes and Belén Yélamos #, *
Dept. Biochemistry and Molecular Biology, Complutense University of Madrid, Madrid, Spain; $ Present address: Hospital Universitario Ramón y Cajal, Ctra. De Colmenar Viejo Km 9,100, 28,034 Madrid, Spain
*For correspondence: firstname.lastname@example.org
#Contributed equally to this work
[Abstract] In this protocol, we describe the production and purification of the ectodomain of the E2661 envelope protein (amino acids 384-661) of the Hepatitis C virus, which plays a fundamental role in the entry of the virus into the host cell. This protein has been expressed in both prokaryotic and eukaryotic systems but in small quantities or without native protein characteristics. In our case, we use the Baculovirus expression system in insect cells. E2661 is secreted into the extracellular medium and purified by means of affinity chromatography a Ni-NTA-column because the protein has a tag of six histidines at its amino terminal end. The purified protein possesses a native-like conformation and it is produced in large quantities, around 5-6 mg per liter.
Keywords: Hepatitis C virus, Envelope protein, Affinity chromatography, Baculovirus expression system, Recombinant proteins, Ectodomain
[Background] Hepatitis C virus (HCV) is a major cause of chronic hepatitis, liver cirrhosis, and hepatocellular carcinoma worldwide (Major et al., 2001; Alter, 2006). At this moment, there is no vaccine for HCV and antivirals are used to treat the HCV infection (Imran et al., 2014). However, treatments are expensive and not 100% effective (Kohli et al., 2014). The HCV envelope glycoprotein E2 is responsible for the interaction with cellular receptors, thus it is a major candidate to study the first steps of the infective cycle of the virus. Previous expression systems produce low levels of heterogeneous protein due to glycosylation and aggregation, and it is difficult to distinguish between molecules that undergo productive and non-productive folding (Flint et al., 2000). In this protocol, we describe the production of the recombinant ectodomain of E2 tagged with a 6xHis extension at N-terminal end of the protein in a baculovirus/insect cell system. The gp67 signal peptide fused to the E2 ectodomain mediates the forced secretion of the recombinant protein. The protein is secreted to the cell supernatant and purified by means of affinity chromatography with a Ni-NTA-Agarose column. The yield of the process was 5-6 mg of protein per liter of media. This protein possesses a native-like conformation as determined by different spectroscopic techniques such as circular dichroism or fluorescence spectroscopy, as well as by its recognition in an enzyme immunoassay by a conformation specific antibody (Rodriguez-Rodriguez et al., 2009). The use of this independent folding domain that is able to acquire its proper folding in absence of the E1 glycoprotein, may contribute to shed light on the biology of HCV (three-dimensional or
Vol 8, Iss 19, Oct 05, 2018 DOI:10.21769/BioProtoc.3030
secondary structure of the protein and its role in the fusion of the HCV virus and the host cell membranes). Also, it could also be used as a vaccine in the prevention of HCV infection.
Materials and Reagents
1. Pipette tips 200 μl (Sigma-Aldrich, catalog number: P5161)
2. Tissue culture flasks F75 (75 cm 2 surface area) (TPP Techno Plastic Products, catalog number: 90075)
3. Tissue culture flasks F150 (150 cm 2 surface area) (TPP Techno Plastic Products, catalog number: 90150)
4. Cell culture flasks F25 (25 cm 2 surface area) (Corning, catalog number: 3055)
5. Tissue culture dish 35 mm (SARSTEDT, catalog number: 83.3900)
6. Sterile tube 50 ml (SARSTEDT, catalog number: 62.547.254)
7. Sterile tube 15 ml (Fisher Scientific, catalog number: 05-539-12)
8. Serological pipette 10 ml (SARSTEDT, catalog number: 86.1254.001)
9. Dialysis membrane Spectra/Por ® 6 (VWR, Spectrum, catalog number: 734-0646)
10. Insect cell line Spodoptera frugiperda (Sf9) (Oxford Expression Technologies, catalog number: 100201)
11. Insect cell line Trichopulsia ni (High Five) (Tni) (generously donated by PhD J. Pérez-Gil, Dpt. Biochemistry and Molecular Biology, Faculty of Biology, University Complutense of Madrid, Madrid, Spain)
12. Baculovirus transfer vector pAcGP37A (BD, BD Pharmingen TM , catalog number: 21220P)
13. Recombinant transfer vector pAcGP67A-E2661, obtained according to the procedure described in Rodriguez-Rodriguez et al., 2009)
14. FlashBAC GOLD kit (Oxford Expression Technologies, catalog number: 100201) composed of:
a. flashBAC TM DNA
b. Positive control transfer plasmid DNA (expressing lacZ)
c. Baculofectin II
15. Insect-XPRESS TM Protein-free Insect Cell Medium with L-glutamine (Lonza, catalog number: 12-730Q)
16. Neubauer's counting camera (VWR, MARIENFELD, catalog number: 631-0696)
17. Gentamicin (Sigma-Aldrich, catalog number: G1264)
18. TC100 Insect Medium (Lonza, catalog number: BE02-011F)
19. Ni 2+ -nitrilotriacetic acid agarose (Ni-NTA agarose) resin (QIAGEN, catalog number: 30230)
20. Tris-Base (Sigma-Aldrich, catalog number: T1503)
21. NaCl (Merck, catalog number:106404)
22. Imidazole (Sigma-Aldrich, catalog number: 56750)
23. EDTA (Sigma-Aldrich, catalog number: 03695)
24. Dodecyl sulfate sodium salt (Merck, catalog number: 1.13760.1000)
25. Glycerol (Sigma-Aldrich, catalog number: G5516)
26. Glycine (Sigma-Aldrich, catalog number: G8898-1KG)
27. Bromophenol blue (United States Biological, catalog number: 12370)
28. 2-mercaptoethanol (Sigma-Aldrich, catalog number: M6250)
29. Acrylamide (Sigma-Aldrich, catalog number: A8887-500G)
30. N,N′-Methylenebis(acrylamide) (Sigma-Aldrich, catalog number: M7279-250G)
31. Ammonium persulphate (Sigma-Aldrich, catalog number: A3678-100G)
32. N,N,N',N',N'-tetramethylethylenediamine (TEMED) (Bio-Rad Laboratories, catalog number: 1610801)
33. Coomassie Brilliant Blue R-250 (Sigma-Aldrich, catalog number: B8647)
34. Methanol (Sigma-Aldrich, catalog number: 322415-1L)
35. Acetic acid (Merck, catalog number: 1000063)
36. 3x Protein electrophoresis application buffer (see Recipes)
37. Running electrophoresis buffer (see Recipes)
38. Blue staining solution (see Recipes)
39. Bleaching solution (see Recipes)
40. Separating gel (see Recipes)
41. Concentrating gel (see Recipes)
Equipment
1. Pipettes
2. -80 °C freezer
3. CO2 Water-jacketed Incubator (NuAire, model: NU-2700 IR Autoflow)
4. Laminar flow chamber (Azbil Telstar, model: BV-100)
5. Laboratory centrifuge (MPW MED. INSTRUMENTS, model: MPW-223e)
6. Upright microscope (Nikon Instruments, IZASA, model: H550S)
7. 5 ml plastic syringe
8. Mini-PROTEAN ® Tetra Electrophoresis System (Bio-Rad Laboratories, catalog number: 1658001)
9. Plastic bucket (Labotienda, catalog number: BTL006)
10. UV-Spectrophotometer (Shimadzu, model: UV-1800)
11. 15 L Plastic bucket for dialysis
Procedure
A. Generation of recombinant baculoviruses by cotransfection
1. Seed the 35 mm tissue culture dishes with 1.5 x 10 6 Sf9 cells in 2 ml of Insect-XPRESS TM medium with gentamicin at a final concentration of 10 μg/ml to form a sub-confluent monolayer.
Vol 8, Iss 19, Oct 05, 2018 DOI:10.21769/BioProtoc.3030
The number of insect cells is determined by using a Neubauer's camera.
2. Incubate for 1 h at 27 °C in the CO2 incubator to allow cell attachment to the plate.
3. Add the following reagents to prepare the co-transfection mix of DNA and transfection reagent in a 1.5 ml polystyrene tube:
a. 100 μl of serum-free medium (TC100)
b. 100 ng of virus DNA from the flashBAC kit
c. 500 ng of transfer plasmid (pAcGP67A-E2661 recombinant plasmid or lacZ positive control transfer vector from the flashBAC kit)
d. 1.2 μl of baculoFECTIN II from the flashBAC kit
Mix and leave at room temperature for 15 min.
4. Wash the cell monolayers twice by pouring 5 ml of TC100 medium without serum onto monolayer, shake gently and decant into waste. Add 1 ml of TC100 medium without serum to each 35 mm dish. If the cells are maintained in serum-free medium, it is not necessary to wash the monolayer. In this case, remove and discard 1 ml of medium from the 35 mm dishes.
5. Add the transfection mix (111.2 μl) to the 35 mm dish.
6. Incubate overnight at 27 °C in the CO2 Incubator without shaking.
7. Add 1 ml of Insect-XPRESS TM medium with gentamicin at 10 μg/ml to the 35 mm dish.
8. Incubate at 27 °C for 4 days in the CO2 Incubator without shaking.
9. Harvest the culture medium that contains the recombinant virus by decanting the medium into a 15 ml sterile container. Centrifuge in the laboratory centrifuge for 15 min at 325 x g. Collect the supernatant and store in the dark in a refrigerator at 4 °C. For a long-term storage, save the container at -80 °C.
B. Amplification of recombinant viruses
Note: Once the purified recombinant baculovirus is available, it must be amplified in order to obtain recombinant protein.
1. Seed 2 x 10 6 Tni insect cells per 25 cm 2 of surface area and incubate for 1 h at 27 °C.
2. Add 1 ml of the supernatant containing the recombinant viruses for every 25 cm 2 of surface area (Flask F25, 1 ml; Flask F75, 3 ml; Flask F150, 6 ml).
3. Incubate for one hour at 27 °C in the CO2 incubator with very slow agitation (rock the flask every 10 min) to maintain the hydration of the cell monolayer with the minimum volume of inoculum.
4. Add the relevant volume of Insect-XPRESS TM medium with gentamicin at 10 μg/ml to the flask (Flask F25, until 5 ml; Flask F75, until 10 ml; Flask F150, until 30 ml).
5. Incubate at 27 °C for 5 days in the CO2 Incubator without agitation.
6. Collect the supernatant in a 15 or 50 ml sterile tube in order to recover the amplified recombinant virus and centrifuge in the laboratory centrifuge for 15 min at 325 x g.
7. Use the supernatant for a second round of amplification. Transfer the supernatant to a separate sterile tube and repeat Steps B2 to B6. Usually, two or three rounds of amplification are sufficient for large-scale infection to allow expression of the recombinant protein of interest.
4
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C. Production and Purification of HCV E2661 protein
1. Prepare 10 flasks of 150 cm 2 surface area with 8-10 x 10 6 Tni insect cells in 20 ml medium with gentamicin at 10 mg/ml and incubate for one hour at 27 °C in the CO2 incubator without agitation.
2. Remove the medium and add 6 ml of supernatant containing the recombinant E2661 baculovirus per flask.
3. Incubate for one hour at 27 °C in the CO2 incubator with very slow agitation (rock the flask every 10 min) to maintain the hydration of the cell monolayer with the minimum volume of inoculum.
4. Add 24 ml of Insect-XPRESS TM medium with gentamicin at 10 μg/ml per flask.
5. Incubate at 27 °C for 5 days.
6. Collect the supernatants and centrifuge for 15 min at 325 x g.
7. Dialyze the supernatant (300 ml, 10 flasks of 30 ml) against 20 L (10 L, 2x) of 50 mM Tris-HCl, pH 8.0, 300 mM NaCl buffer in a 15 L plastic bucket.
8. Load the supernatant onto a 2 ml Ni-NTA-Agarose column previously equilibrated with 50 mM Tris-HCl, pH 8.0, 300 mM NaCl buffer.
9. Wash the column by adding 20-40 ml of 50 mM Tris-HCl, pH 8.0, 300 mM NaCl, 10 mM Imidazole buffer to the top, let the solution flow into a beaker to collect the waste. Wash until optical density at 280 nm is below 0.03. The adsorption at 280 nm is determined by using an UV-spectrophotometer.
10. Wash the column by adding 10-30 ml 50 mM Tris-HCl, pH 8.0, 300 mM NaCl, 30 mM Imidazole until optical density at 280 nm is below 0.03.
11. Elute the E2661 protein by adding 50 mM Tris-HCl, pH 8.0, 300 mM NaCl, 200 mM Imidazole. Collect fractions of 1-1.2 ml. either in 1.5 ml Eppendorf or in glass tubes. Usually 10-12 tubes are enough for elution; thus, manual collection with the operator changing the tube after 1 ml is recommended.
12. The protein is detected by measuring the optical density at 280 nm of each fraction in the UVspectrophotometer.
13. Check the purification steps of the recombinant E2661 protein by SDS-PAGE. In order to check the purity of the protein, load 20 μl of sample per well from each 200 mM Imidazole fraction. After Coomassie blue staining, the purity of recombinant E2661 is tested by the appearance of a unique, isolated band at 48 kDa.
14. Collect the fractions containing significant amounts (optical density at 280 nm higher than 0.3) of pure E2661 protein in a single fraction.
15. Dialyze the E2
661
protein against 50 mM Tris-HCl, pH 8.0, 300 mM NaCl buffer.
A scheme to obtain the pure recombinant protein E2
661
is shown in the Figure 1. Note that step A
is not included in the protocol.
D. SDS-PAGE (Protein electrophoresis)
Note: A more detailed protocol to carry out SDS-PAGE is described in He (2011) and Yan (2011).
1. Prepare the electrophoresis system.
2. Prepare the separating gel (see Recipe 5).
3. Mix with a Pasteur pipette and deposite into the gel stand.
4. Prepare the concentrating gel (see Recipe 6).
5. Mix with a Pasteur pipette and deposit on top of the separating gel.
6. Add 10 μl of 3x Protein electrophoresis application buffer (see Recipe 1) to 20 μl of sample.
7. Heat at 95 °C for 5 min.
8. Load into the concentrating gel.
9. Develop the electrophoresis in the Running electrophoresis buffer (see Recipe 2) at room temperature at 25 mA per gel until the marker reached the end of the gel.
10. Incubate the gel in a Coomassie blue staining solution (see Recipe 3) at room temperature for 10 min.
11. Incubate the gel in the bleaching solution (see Recipe 4) to detect the proteins.
Vol 8, Iss 19, Oct 05, 2018 DOI:10.21769/BioProtoc.3030
Data analysis
The results of a standard purification process, corresponding to a PAGE-SDS gel, are shown in Figure 2. Lanes 2, 3 and 4 show washing steps with 10 mM (lane 2) and 30 mM (lanes 3 and 4) Imidazole buffer, where some contaminant proteins weakly attached to the Ni-NTA-agarose column are eliminated. As can be seen, the protein E2661 remains in the column and is only eluted when the 200 mM Imidazole buffer is used (Figure 2, lanes 5 and 6). As shown in the gel, the recombinant protein is pure.
Recipes
1. 3x Protein electrophoresis application buffer
Tris 150 mM, pH 7.6
EDTA 6 mM
3% (w/v) SDS
30% (v/v) Glycerol
0.06% (w/v) Bromophenol blue
15% (v/v) β-mercaptoethanol
2. Running electrophoresis buffer
Tris 0.025 M, pH 8.3
Glycine 0.192 M with 0.1% SDS
3. Blue staining solution 0.3% (w/v) Coomassie Brilliant Blue R-250 45% (v/v) Methanol
10% (v/v) Acetic acid
4. Bleaching solution
7.5% (v/v) acetic acid
20% (v/v) methanol
5. Separating gel
650 μl H
2
O
1.82 ml Tris 1 M, pH 8.8
2.5 ml acrylamide-bisacrylamide at 30%
55 μl SDS 10%
12 μl of 0.075% TEMED
14 μl 0.02% (w/v) ammonium persulfate
6. Concentrating gel
2.0 ml acrylamide-bisacrylamide at 4%
55 μl SDS 10%
8 μl of 0.075% TEMED
8 μl of 0.02% (w/v) ammonium persulfate
Acknowledgments
This work was supported by grant BFU 2006-13033 from the Ministerio de Educación y Ciencia,
Spain and the research project SANTANDER/COMPLUTENSE PR26/16-20271.
Competing interests
Authors declare that there are any conflicts of interest or competing interests.
References
1. Alter, H. (2006). Viral hepatitis. Hepatology 43(2 Suppl 1): S230-234.
2. Flint, M., Dubuisson, J., Maidens, C., Harrop, R., Guile, G. R., Borrow, P. and McKeating, J. A. (2000). Functional characterization of intracellular and secreted forms of a truncated hepatitis C virus E2 glycoprotein. J Virol 74(2): 702-709.
3. He, F. (2011). Laemmli-SDS-PAGE. Bio-protocol Bio101: e80.
4. Imran, M., Manzoor, S., Khattak, N. M., Khalid, M., Ahmed, Q. L., Parvaiz, F., Tariq, M., Ashraf, J., Ashraf, W., Azam, S. and Ashraf, M. (2014). Current and future therapies for hepatitis C virus infection: from viral proteins to host targets. Arch Virol 159(5): 831-846.
5. Kohli, A., Shaffer, A., Sherman, A. and Kottilil, S. (2014). Treatment of hepatitis C: a systematic review. JAMA 312(6): 631-640.
6. Major, M. E., Rehermann, B. and Feinstone, M. (2001). Hepatitis C Viruses. In: Knipe, D. M.
Vol 8, Iss 19, Oct 05, 2018 DOI:10.21769/BioProtoc.3030
www.bio-protocol.org/e3030
Vol 8, Iss 19, Oct 05, 2018 DOI:10.21769/BioProtoc.3030
and Howley, P. M. (Eds.). Fields Virology. Lippincott Williams & Wilkins, 1.
7. Rodriguez-Rodriguez, M., Tello, D., Yelamos, B., Gomez-Gutierrez, J., Pacheco, B., Ortega, S., Serrano, A. G., Peterson, D. L. and Gavilanes, F. (2009). Structural properties of the ectodomain of hepatitis C virus E2 envelope protein. Virus Res 139(1): 91-99.
8. Yan, Q. (2011). Rapid coomassie protein SDS-gel staining. Bio-protocol Bio101: e83.
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Week At A Glance
- Sabbath School Ministry: 9:20 AM
Sabbath, November 12TH
-
Divine Worship (Child Dedication/Baptism): 11:00 AM
- Sunset: 4:43 PM
Sunday, November 13TH
Church Board Meeting: 10:00 AM
-
- Church Planning Meeting: 11:30 AM
Monday, November 14TH
- Choir Rehearsal: 7:00 PM
- Prayer and Fasting: 6:00 AM - 6:00 PM
Wednesday, November 16TH
- Prayer & Bible Study: 7:00 PM
Friday, November 18TH
Sunset: 4:37 PM
-
Sabbath, November 19TH- Rhamie Family Farewell
Sabbath School Ministry : 9:20 AM
-
- Fellowship Lunch: After Divine Worship-lower level
- Church Worship: 11:00 AM
- Community Services Food Distribution: 2:00-4:00 PM
- Sunset: 4:36 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
"Where the Arms of Christ are Always Open!"
November 12, 2016 *Child Dedication and Baptism*
Sabbath School Ministry 9:20 A.M.
Song Service
Scripture Reading
Prayer
Adventist World Mission Story
Testimony
Closing Prayer
9:45 A.M. – Church at Study
Lesson Topic: " Retributive Punishment"
Memory Text: "Can you search out the deep things of God?
Thought to Pounder: "The problem of human suffering surely continues to daunt humanity. We see "good" people suffer immense tragedy, while evil ones go unpunished in this life. This theme, of course, is the theme of the book of Job, and in it we continue to explore why even "good" people, such as Job, suffer in this world. The crucial difference between the book of Job and the others, though, is that Job is not based on human perspectives of suffering (though we get plenty of that in the book); rather, because it's the Bible, we get a look at God's perspective on the problem. This week we read more speeches from the men who came to Job in his misery. What can we learn from them, especially from their mistakes as they, as others have done, try to come to grips with the problem of pain? ****
Can you find out the limits of the Almighty? " (Job 11:7, NKJV).
Classes/Programs are also held for our young people: Beginners (0-4); Kindergarten (Pre-School); Primary (Grade School); Youth (High School). For directions to the various classes please see one of our Greeters.
****
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 11:00 A.M.
Prelude Musicians
Introit “Oh The Glory of Your Presence”
Praise Team/Participants
Invocation Elder John Olive
Welcome Elder Troy Price
Children's Story Ms. Jeanne and Ms. Dative
Introit “Oh The Glory of Your Presence”
Praise Team/Participants
Invocation Elder John Olive
Welcome Elder Troy Price
Children's Story Ms. Jeanne and Ms. Dative
Child Dedication of Gabriel Mathews and Family
Presentation of Baptismal Candidates and Vows
Special Testimony
Brother Fonte Gladen
Baptism Service
Returning Tithes & Offering Brother Charles Shambry Loose Offering: World Budget-Annual Sacrifice/Global Mission
Praise Service Praise Team/Congregation
Intercessory Prayer
"Offering"
Prayer Response
Praise Team/Congregation
"Offering Continued"
Charge Pastor Kevin Rhamie
Presentation of gift and flowers
Benediction Elder John Olive
Postlude Musicians
Members of the Prayer Team are available for prayer after the service
Remember In Prayer
Church Family: if you know of anyone who should be added to the list or need visitation, please call the church office. Also, let's express our caring by tokens of love: such as calling, texting, visitation, cards, etc.
Message Notes
Title(s):_______________________________________________
Scripture(s):___________________________________________
Message Main Point(s)__________________________________ _____________________________________________________ _____________________________________________________ _____________________________________________________
What did God say to me during the Message?________________ _____________________________________________________ _____________________________________________________
Announcements - Page One
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.
Contact Information:
Church Address………………….....5209 NE 22
nd
Ave; Portland, OR 97211
Church Telephone......................................….………503-287-7649
Church Fax………………..…..……………..…
….…..………....503-287-8688 ....email@example.com
Church Email....... ………..
Church Website………….….…..….... ……..……....www.sharonsda.net
For Wi-Fi Access-see Sharon SDA……….. ….... ….code:5032877649
Child Dedication: Today Omega Mathews and family have brought Gabriel to be dedicated to the Lord. "Train up a child in the way he should go: and when he is old, he will not depart from it." Proverbs 22:6
We would like to congratulate those who are being Baptized/Profession of Faith today. As we celebrate their union with Christ and the Sharon, let us continue to encourage and pray for them.
More Prayer, More Power:
- Join us on Wednesday evening for Prayer and Bible Study on the book of Daniel from 7:00 - 8:00 p.m. If you are not able to attend in person, you can call our conference line by dialing 1.641.715.3313 and then enter the following pin: 993718#.
- 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.
The Audio Visual Ministry is looking for The Audio Visual Ministry is looking for individuals to be a part of the team. If you are interested in joining this dynamic team, please contact Brother Derrick Foxworth.
Education Committee is looking for those interested in serving on this committee to help promote Christian Education and support various school initiatives. If you are interested, please contact Linda Foxworth at 503-788-4404 or firstname.lastname@example.org.
The Transportation Ministry is in need of drivers. If you are interested in being a part of this powerful ministry, please see Elder Donald Cobbs.
Bulletin Information needs to be submitted Tuesday afternoon for inclusion in the current week's bulletin. Call the office at 503.287.7649 or send information via e-mail to: email@example.com.
Announcements - Page Two
- Please do not run in the building.
Church Courtesies:
- Please turn off or silence alarms, pagers, phones, etc.
- Please, no food or drinks are to be consumed in the Sanctuary.
- Please be sensitive to others…no talking during services.
- Please make sure that the Children's Quiet Bags are left after use.
- Please be sure to check around you and take all your belongings and any debris.
- Please do not use our Tithes & Offering envelopes to record notes.
- Please check the bulletin board for additional church and community announcements.
Events of Interest:
- Important Church Planning Meeting…November 13 at 11:30 AM
- Church Board Meeting…November 13 th at 10:00 AM
- NAAALEF (Northwest Adventist African American Local Elder Federation) Retreat on November 18-20 to be held at NPUC.
- Thanksgiving Service…November 24 th at 10:00 AM.
- The Rhamie Family Farewell Sabbath…November 19 th .
- Lower Division Sabbath School Christmas Program…December 3 rd during divine worship
- Family Christmas Program…Sabbath, December 24 th .
- Christmas Music Program…Friday, December 16 at 7:00 PM.
- Communion Service...December 31 st with Communion Prayer and Preparation-December30 th at 7:00 PM.
Portland Adventist Academy: Visit www.paasda.org for details.
- PAA Annual Fall Open House…November 17, 6:30 PM.
- Portland Adventist Academy Student Scholarship (PAASS) Annual Auction/Dinner…November 13, 4:00 PM at PAA.
Portland Adventist Elementary School Harvest Festival… Nov. 19th from 5:30-8:30 PM. Admission is 1 can of food. Tickets for games/activities cost .25¢ each. Please help support PAES! We Hope You Can Come! See flyer for details
You're invited to Adventist Health "A Celebration of Thanksgiving" featuring Laura Story on Saturday, November 19 at 7:00 PM (Doors open at 6pm) - New Hope Community Church (11731 SE Stevens Rd, Happy Valley, OR) .The concert is free to the public, however tickets are required for admission along with a non-perishable food item for the Oregon Food Bank and a new pair of socks for the Portland Rescue Mission. Tickets (limit of six (6) per family) are now being distributed from Sharon Church office on a first come, first serve basis and cannot be reserved by phone. See flyer on bulletin board.
Portland Adventist Community Services (PACS) urgently need volunteers. Apply online at pacsonline.org or call 503-252-8500.
Announcements - Page Three
Finance 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.
Combined Budget (Offerings) - The monies in Combined Budget will be used to help with the upcoming Homecoming Service, Supporting the Rwandan Children Project in Africa, supporting our young people pursuing Christian Education, Supporting Local Church Ministries along with ongoing church utility costs, repairs, upkeep and maintenance."
Updated Financial Information as of September 30, 2016:
| Headings | Year To Date |
|---|---|
| Local Combined Church Funds | $139,225 |
| Local Church Expenses | $131,822 |
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!
O Lord, I bring an offering to You
O Lord, I bring an offering to You
O Lord, I bring an offering to You
~ (PRAYER) ~
With all of my soul (echo)
With all of my heart(echo)
With all my mind(echo)
(repeat)
With all my strength(echo)
O Lord, I bring an offering to You
O Lord, I bring an offering to You
O Lord, I bring an offering to You
Overcome
Destined to die, poured out for all mankind
Seated above, enthroned in the Father's love
God's only son, perfect and spotless one
And He never sinned but suffered as if He did
And all authority, every victory, is yours All authority, every victory, is yours Savior worthy of honor and glory Worthy of all our praise, for you overcame Jesus awesome in power forever Awesome and great is your name, for you overcame
Power in hand, speaking the Father's plan Sending us out a light in this broken land
And all authority, every victory, is yours All authority, every victory, is yours Savior worthy of honor and glory Worthy of all our praise, for you overcame Jesus awesome in power forever Awesome and great is your name, for you overcame
And we will overcome, by the blood of the lamb And the word of our testimony, everyone Overcome (Repeat x2)
Savior worthy of honor and glory Worthy of all our praise, for you overcame Jesus awesome in power forever Awesome and great is your name, for you overcame.
You overcame (x2)
Praise Service
Sabbath, November 12, 2016
Introit: Oh The Glory of His Presence
By Carlton Pearson we Your temple,
Oh the glory of His presence, we give You reverence.
and be blessed by our praise.
So arise to Your rest
As we glory, in Your embrace.
Key Change
As Your presence, now fills this place.
Oh the glory of His presence, we Your temple, we give You reverence. So arise to Your rest and be blessed by our praise. As we glory, in Your embrace. As Your presence, now fills this place.
After Invocation
So arise to Your rest and be blessed by our praise. As we glory, in Your embrace. As Your presence, Now fills this place. Fills, this place!
Baptism Selections:
Take me to the water
Take me to the water
Take me to the water
To be baptized
Take me to the water
Take me to the water
Take me to the water
To be baptized
None but the righteous Shall see God
None but the righteous Shall see God
Lord, I want to be a Christian in my heart, in my heart,
In my heart, in my heart,
Lord, I want to be a Christian in my heart, in my heart.
Lord, I want to be a Christian in my heart, in my heart.
Lord, I want to be more loving in my heart, in my heart,
In my heart, in my heart,
Lord, I want to be more loving in my heart, in my heart.
Lord, I want to be more loving in my heart, in my heart.
Lord, I want to be more holy in my heart, in my heart.
Lord, I want to be more holy in my heart, in my heart,
In my heart, in my heart,
Lord, I want to be more holy in my heart, in my heart.
Lord, I want to be like Jesus in my heart, in my heart,
In my heart, in my heart, Lord, I want to be like Jesus in my heart, in my heart.
Lord, I want to be like Jesus in my heart, in my heart.
Praise Worship Selections: Soon and very Soon
Soon and very soon We are going to see the King
Soon and very soon We are going to see the King
Soon and very soon We are going to see the King
Hallelujah, hallelujah, We're going to see the king
No more crying there, We are going to see the King
No more crying there, We are going to see the King
No more crying there, We are going to see the King
Hallelujah, hallelujah, We're going to see the King
No more dying there, We are going to see the King
No more dying there, We are going to see the King
No more dying there, We are going to see the King
Hallelujah, hallelujah, We're going to see the King
Hallelujah, hallelujah, We're going to see the King
Soon I Will Be Done with the Troubles of the World
Soon I will be done with the troubles of the world, troubles of the world, troubles of the world. Soon I will be done with the troubles of the world Going' home to live with God (Repeat)
I want (I want) to meet my Jesus
I want (I want) to meet my Jesus
I want (I want) to meet my Jesus
I'm going' home to live with God
(Repeat)
→
Soon I will be done with the troubles of the world, troubles of the world, troubles of the world. Soon I will be done with the troubles of the world Going' home to live with God
I want (I want) to meet my Jesus
I want (I want) to meet my Jesus
I want (I want) to meet my Jesus
I'm going' home to live with God
(Repeat)
Prayer Song: Offering
There is no shadow in Your presence
The sun cannot compare to the glory of Your love
No mortal man would dare to stand before Your throne
It's only by Your blood
Before the Holy One of heaven
And it's only through Your mercy
I bring an offering
Lord, I come
Of worship to my King
The praises that I sing
No one on earth deserves
Jesus, may You receive
O Lord, I bring an offering to You
The honor that You're due
I bring an offering to You
There is no shadow in Your presence
The sun cannot compare to the glory of Your love
No mortal man would dare to stand before Your throne
It's only by Your blood
Before the Holy One of heaven
And it's only through Your mercy
And I bring an offering
Lord, I come
Of worship to my King
The praises that I sing
No one on earth deserves
Jesus, may You receive
O Lord, I bring an offering to You
The honor that You're due
I bring an offering
No one on earth deserves
Of worship to my King
The praises that I sing
Jesus, may You receive
The honor that You're due
PS-3
(Over)
|
Matching Verb Attributes for Cross-Document Event Coreference
Eleftheria Tomadaki and Andrew Salway
Department of Computing, University of Surrey Guildford, Surrey, UK GU2 7XH
{e.tomadaki, email@example.com
Abstract
Collateral texts of different genre can describe the same filmed story, e.g. audio description and plot summaries. We deal with the challenge of cross-document coreference for events by matching verb attributes. Cross document coreference is the task of deciding whether two linguistic descriptions from different sources refer to the same event. This is important for reliable information integration, as well as generating richer machine-executable representations of multimedia material in retrieval and browsing systems. Corpora of audio description and plot summaries were analysed to investigate how they describe the same film events. This analysis shows that events are described by different verbs in the two corpora and has inspired the algorithms for cross-document event coreference, which match verb attributes, rather than verbs themselves. The preliminary evaluation was encouraging, showing a significantly better performance than the baseline algorithm.
available information about one story and more reliable information integration, and on the other hand provide richer machine-executable representations of multimedia material in retrieval and browsing systems, such as film databases.
1 Introduction
The present era can be characterised by a vast amount of information available in different forms of media; text documents, images, audio and video files etc. Many kinds of electronic information artefacts convey the same story; a fire event, for example, can be broadcast on television or radio, or narrated in a newspaper by the people that were affected; or a fictional story, for example Cinderella can be presented in films, theatre, books, pantomime etc. Information can be conveyed in the form of stories in history, science, current affairs, financial news, fiction etc. The process of narrating a story comprises a sequence of causally connected events organised in space and time. Matching events can be one way to acquire major information about a story.
This research is motivated by the fact that associating information in different texts representing the same story can on the one hand enhance the collection and verification of most
Natural language textual descriptions can be collateral to a moving image and represent its content in words. Extracting information from collateral text (Srihari, 1995) can address higher levels of semantic video content than video processing alone, as language can express more information than colours, shapes, motion etc. and enhance video indexing, retrieval and browsing. Films entail stories and their content can be described by a range of collateral texts; a story told in a novel can be turned into a film. Novels can total 100,000's words and give detailed descriptions of charaters' cognitive states, which can be expressed by facial expressions in the moving images. Screenplays are the directors' scripts including dialogue, character and setting descriptions as well as instructions to the camera totaling 10,000's words. Audio descriptions are detailed descriptions of the characters' appearance and facial expressions, settings and what is happening on screen at the moment of speaking totaling 1,000's words. Audio description is scripted before it is recorded and includes timecodes to indicate when each utterance is to be spoken, enabling the alignment of the narration with the visual images. Plot summaries narrate the major events of the film in 100's words and include character's desires and goals. The challenge is to understand what is common in different collateral descriptions representing the same events. Consider for example, how the same event (burned) for the film English Patient is described in different collateral texts, Figure 1. Each source is heterogeneous, using different vocabulary, grammar structures, amount and kinds of information. These different collateral descriptions can be aligned to audio description fragments, which are temporally associated to the film data;
1.1 Towards Information Integration
A number of terms can describe the process by which information is extracted from different texts relating to the same theme and then associated and combined. The method followed in this work as a first step to integrate event-related information is called Cross-Document Coreference; this is the process of deciding whether two linguistic descriptions from different sources refer to the same entity or event and has been applied in specific sets of events, such as election and terrorist events (Bagga and Baldwin, 1999). Recent systems associate entities, extracting nouns and pronouns from different news texts and matching them (Radev and McKowen, 1998). Crossdocument coreference appears to be a sub-task of cross-document summarisation by selecting and matching of the crucial information in multiple texts before summarising multiple documents. The task of selecting candidate phrases is expressed in the Document Understanding Conferences (DUC) and is based on the principle of relevance: syntactic patterns are significant, as they describe either a precise and well-defined entity or concise events or situations. Cross Document Structure Theory (CDST) describes several relations included in pairs of matched fragments tested on news articles (Zhang et al, 2003). CDST is tested on relations in homogeneous texts. Related research includes the term information merging describing the process of integrating information about a set of football events, e.g. goal, free kick etc.; the technique applied includes extraction and matching of a set of specific entities, such as football players' names etc from different texts, e.g. tickers, radio transcriptions etc. (Kuper et al, 2003).
Although the two kinds of texts presented in this paper, audio description and plot summaries, describe the same story, they are very different in the vocabulary used, the content and amount of event-related information included; crossdocument event coreference in films is perhaps more challenging because it is harder to identify a set of common events.
The goal of the current work is to develop a computational account of how events are expressed in different narrative discourses of the same story in multimedia systems. We focus on the question of how information about an event can be related in different discourses. Our approach is inspired by the corpora analysis, which shows the challenge of matching events in heterogeneous texts, such as plot summary and audio description, as they include different verbs. However, several verb attributes, for instance nouns and proper nouns, are common in both kinds of texts. This analysis has led to the proposal of a method including algorithms that apply event cross-document coreference by matching combinations of verb attributes, rather than matching verbs themselves.
2 Collateral Texts for Films: audio description and plot summaries
Audio description (AD) narrates what is happening on screen for visually impaired people and is available for a range of television programmes, such as series, documentaries, films, children's programmes etc. It is produced by trained experts who follow guidelines while describing, for instance the use of present tense showing that the actions take place at the moment of speaking and the use of proper nouns when there are a lot of participants in a scene to avoid the confusion of the audience. The description is first prepared in electronic format, time-coded and then spoken. The audio description for films is a detailed, long description which involves a story, unfolded in a series of temporally and causally connected events, including characters and plot significant objects, location of the scene, who is speaking, what the characters are doing and wearing, facial expressions and body language, text shown on screen and colours. The following examples are from the audio description for the film English Patient from 3m 40s to 3m 55s:
[03:40] Bullets tear holes in the fuselage.
[03:47] The plane catches fire.
[03:55] His clothes on fire he struggles to escape In contrast, plot summaries (PS) are short descriptions mentioning the major points of a filmed story, the protagonists and their intentions, locations, time and duration of main events and cause of certain actions. The film is described according to the subjectivity of any author that decides to publish a film summary electronically, without following any guidelines. The following excerpt is from the plot summay for the film English Patient:
Burned horribly in a fiery crash after being shot down while crossing the Sahara Desert ...
2.1 Corpora Analysis
Two corpora were created to represent and analyse the language used in audio descriptions and plot summaries. The corpora include nine different film categories selected by audio description experts based on the choice of vocabulary, grammar structures and kinds of information conveyed: children's live action and animation, action, comedy, period drama, thriller, dark, romantic and other. The present audio description corpus includes audio description scripts for 56 films, approximately 376,000 words (6,000-8,500 words per script). The current plot summaries corpus includes summaries for the same films (Internet Movie Database), totaling 9,500 words approximately (around 200-400 words per summary). The 100 most frequent words include 41 open class words in the audio description corpus, and 27 open class words in the plot summary corpus. This suggests that audio description and plot summaries are special languages, while comparing them with common language (2 open class words in the first 100 words of the BNC corpus) and other corpora of special languages (e.g. 39 open class words in the linguistics corpus). The most frequent words in both corpora are proper nouns and nouns referring to characters, plot significant objects and time, as well as verbs. However, only a few nouns and proper nouns are the same. In language, an event is typically realised in the form of a verb or noun. We analyse verbs having selected a verb classification based on the semantic properties of the verbs, used to structure and represent event-related information. In functional grammar, verbs can be categorised in six kinds of processes: material, mental, behavioral, existential, verbal and relational (Halliday, 1994).
According to the frequency results, around 70% of the verbs in both corpora represent material processes, Figures 2a and 2b. However, the verbs included in the material processes category differ in the two corpora. Audio description includes verbs describing motion such as walk, come, open, fall etc., which, if separated by the context, do not give explicit information about major events, whereas plot summaries include verbs such as murder, escape, die, find, help, follow etc. that refer to the story plot; for example, a murder event may be described in audio description as he picks up the gun and points at the man…he pulls the trigger . In plot summaries there are more verbs expressing mental processes (20%) than in audio description (7%). Interestingly, the quality of the mental processes is also different. Mental processes of seeing are mostly depicted in audio description, by verbs such as watch and see , whereas plot summaries include mental processes related to cognition or affection, what the characters believe and feel, i.e. verbs such as love, want, know, plan, decide etc. which are not encountered in audio description.
The other verb categories encountered in audio description and plot summaries are different. In audio description, behavioral processes constitute the 17% including verbs such as smile, stare, look and glance , as the narrators describe what can be seen on screen relatively to the characters physiological and psychological behaviour. These processes may be proved to be important as they can sometimes describe emotions, for example a laughing process can express a positive feeling related to the character and concerning the event that has just preceded in the story. On the contrary, the 30 most frequent verbs in plot summaries do not include the behavioral category, as the authors do not describe the character's behavior. Plot summaries also contain verbal processes (3%), such as tell , that are not mentioned in audio description due to the dialogue's presence that actually represents the verbal processes.
The frequency results suggest that the same events are described by different verbs in the two corpora. Material verbs may compose the biggest category in both corpora, but the verbs differ completely as shown in Tables 1 and 2.
Table 1: The 30 most frequent verbs describing 4 types of processes in audio description
Table 2: The 30 most frequent verbs describing 4 types of processes in plot summaries
| Process | Verbs in plot summaries |
|---|---|
| Material | get, love, find, take, kill, help, go, become, plan, die, give, come, escape, make, murder, try, turn, change, follow, lose, need, run |
| Relational | be, have |
| Verbal | tell |
| Mental | want, know, decide, seem |
In the following example, the tending event included in the plot summary is expressed by the verb tend, a series of moving images in the film and a series of audio description utterances including the verbal groups make comfortable and wash, Figure 3. These verbs cannot be matched as they are not synonyms to the verb tend.
Audio description [23:54] Hana makes her patient comfortable
Plot summary a young, shell-shocked war nurse Hana remains behind to tend her doomed patient
Audio description [45:09] Gently Hana washes the tender skin on the patient's chest.
Figure 3: Audio description utterances for the same plot summary event
The wordlists of the plot summary and the audio description for the film English Patient do not include any verbs mentioned in both texts. However, they share other open class words; interestingly, the most frequent ones are proper nouns and nouns expressing the characters of the story, locations etc, Table 3.
Table 3: Common open class words and their occurrence (OCW) in the PS and AD wordlists for the film English Patient
| Common open class words | OCW PS | OCW AD | Cumulative OCW |
|---|---|---|---|
| Hana | 1 | 73 | 74 |
| Patient | 1 | 33 | 34 |
| Kip | 1 | 31 | 32 |
| Caravaggio | 1 | 22 | 23 |
| Desert | 1 | 17 | 18 |
| Nurse | 1 | 6 | 7 |
| Pilot | 1 | 2 | 3 |
A major event described by one verb in the plot summary, such as tend in the example used, may not be explicitly expressed in the audio description, but implied through a series of other events and actions, e.g. wash and make comfortable. Common event attributes are only the participants Hana and patient. It is therefore possible to match their combination instead of matching the verb tend.
2.2 Creating Test Data
We focus on a method to identify and relate event related information in plot summaries and audio description. The human task involves reading plot summaries and watching the corresponding films, associating the events read to the events visualised. The annotators detect and number the events read in the plot summary. While watching the film, they are told the number of the scene each time a scene commences and they associate the number of the event visualised on screen to the number of the scene, e.g. in the film English Patient, the plot summary event 2 burned horribly in a crash can be visualised in scene 2 of the film. The human task of matching the events can be characterised as cross-modal event coreference, as humans match events they have read to events they visualise on screen. This had caused disagreements on whether events not explicitely expressed by the visual images but inferred by the sound effects or the dialogue should be annotated or not. The annotation of all events, either explicit or inferred was taken into consideration for the preliminary evaluation of this work due to the multimedia nature of the data included.
2.3 Proposed Algorithms
To compute the human task of event association, we propose a method for cross-document event coreference by identifying and matching verb attributes. The task of event detection in plot summaries has not been automated and main events are already numbered by the human annotators that have read the plot summary. Having identified the main events in the plot summary, we have used the Connexor tagger to represent the plot summary sentences in terms of grammar and functional roles. The algorithms designed generate a list of combinations of event constituents, i.e. verbs and their attributes, according to the tags assigned and match them to the corresponding combinations in the audio description fragments, which are associated with the film data by time-codes and divided into scenes. The scene division was available as part of some scripts by the audio describers who authored the scripts, whereas we have separated the rest of the films according to the scene division in the visual data, i.e. when the location or time changes.
As shown from the verb frequency analysis, in 2.1, it is hard to match verbs from different collateral descriptions expressing the same event. However, characters, plot significant objects and usually locations can be matched. The suggested approach is to match the combination of all or most of the event ingredients, i.e. participants and their roles and circumstances. In the first algorithm, called Keyword Combination List Generation and Matching (KC), the identified plot summary events are grammatically tagged by the Connexor part-of-speech tagger. We then apply rules combining the event constituents, Figure 4; the participants are usually expressed by nouns or proper nouns (as nominal heads), and the circumstances, e.g. location, time, expressed by nouns or adverbs etc. An obligation is to retrieve the combination of the event participants, or one participant and another keyword.
Find Proper Noun / Noun + other keyword:
a. Proper Noun / Noun + Proper Noun-s / Noun-s
(+ Noun-s +/ Verb +/ Adverb +/ Adj.)
If no other Proper Noun / Noun is found then find b. Proper Noun / Noun + Verb +/ Adverb +/ Adj.
Figure 4: A Keyword combination rule
In the sentence A young, shell-shocked war nurse Hana remains behind to tend her doomed patient, the algorithm looks for the following combinations: Hana + nurse / patient (+remains +/ tend +/ behind +/ young +/ shell-shocked +/ doomed), as Hana is a proper noun and nurse and patient nouns, and then for the verbs remains and tend, the adverb behind and the adjectives young, shell-shocked and doomed. The next step is to match the generated list of keywords to the audio description utterances including all possible combinations of these keywords without tagging the audio description.
The second algorithm, called Keyword and Keyword Role Combination List Generation and Matching (KKRC), is based on the combination of the keywords and their functional roles in the sentence. Here we have used the machinese syntax function of the Connexor tagger, which assigns words with the roles of subject, agent, object etc. This time, the algorithm looks for the combination of the keywords in the specific roles assigned by the tagger, which means we have to tag the audio description script as well as the plot summary. An example of keyword role combination list rules is shown in Figure 5:
Find [keyword+subject/agent–role] + [other keyword+functional role]:
a.Find [keyword+ subject/agent-role] + [keyword +
object-role]
If no [keyword +object-role] is found then b.Find [keyword+subject/agent-role]+ [keyword +
prepositional complement]…
Figure 5: A keyword-role combination rule
In our example, the algorithm generates and matches the combination of patient plus the role of object plus another participant, Hana plus the role of subject (plus the verb tend); Hana[subject] + patient[object] (+tend [verb] etc.).
3 Preliminary Evaluation
The preliminary evaluation of the algorithms has been realised for four films, based on the comparison with human annotations, in terms of precision and recall. We first compare the scenes' identification number of the Computer-Retrieved Scenes (CRS) with the scenes' identification number of the Human Annotated Scenes (HAS) to find the number of Correct Computer-Retrieved
Scenes (CCRS). To find the percentage of the algorithms' precision, we multiply CCRS by one hundred and then divide it to CRS: CCRS + 100/ CRS. To find the percentage of the algorithms' recall, we multiply CCRS by one hundred and divide it to HAS: CCRS * 100/HAS. We have assumed a linear relation between plot summary and film time for the baseline algorithm, which divides the number of the audio description scenes to the number of the plot summary sentences and allocates the first plot summary sentence to the first audio description scene etc. The baseline's low performance (Table 4) is mainly due to the fact that events are ordered differently in plot summaries and in audio description. Film content can be organised in shots and scenes, which relate to film time and the events that comprise the semantic video content, which relate to story time; audio description is temporally aligned with the video data in film time, whereas plot summary is not, relating only to the story time (Salway and Tomadaki, 2002).
Table 4: The evaluation of the algorithms in terms of precision and recall
| Algorithm | Precision | Recall |
|---|---|---|
| Baseline | 0.1875 | 0.0261 |
| KC | 0.5625 | 0.6806 |
The evaluation of the KC algorithm presents a significantly better precision and recall than the baseline algorithm. Combining nouns and proper nouns can be useful to find characters although they may not always be plot significant, in which case the precision is low. The KKRC algorithm is more precise, as more retrieved scenes were accurate. Less scenes were retrieved, as assigning roles to characters can be strict sometimes.
4 Discussion
The corpora analysis suggests the heterogeneity of the audio description and plot summaries corpora and the challenge of relating pairs that describe the same events using different verbs, structures and amount of event-related information. This investigation guided the algorithms' approach to match verb attributes; characters and roles, objects, locations or other circumstances. This can show different relations in cross-document structures. The preliminary evaluation shows that precision is of more importance in our case and that semantic role matching is more precise than matching grammatical attributes. To increase the precision, an event classification for filmed stories may be proved useful; for example, the verbs kill, love , escape , help , murder , plan etc. are amongst the 30 most frequent verbs in the plot summary corpus. A preliminary evaluation of using systems such as CYC and WordNet to match events by query expansion has shown that the difference in the vocabulary choice used in the two corpora is not based on synonyms. Matching verb attributes in audio description and plot summaries may also automate the task of event decomposition into other events; for example a tending event may include making comfortable , washing etc. or a fighting event may include kicking, punching, firing at etc. The algorithms should also be tested on other kinds of data, such as news stories or witness accounts.
5 Acknowledgements
Our thanks to the EPSRC funded project TIWO (GR/R671940/1), the RNIB and ITFC for providing the audio description for this research
References
A. Bagga, A. and B. Baldwin. 1999. CrossDocument Event Coreference: Annotations, Experiments, and Observations. Workshop on Coreference and its Applications (ACL99)
A.J. Salway and E. Tomadaki, 2002. Temporal Information in Collateral Texts for Indexing Video Procs. LREC Workshop on Annotation Standards for Temporal Information in Natural Language
Connexor: http://www.connexor.com/demo/tagger/
D.R. Radev, and K.R. McKowen. 1998. Generating Natural Language Summaries from Multiple On-Line Sources. Journal of Computational Linguistics 24(3): 469-500
Internet Movie Database: http://www.imdb.com
J. Kuper, H. Saggion, H. Cunningham, T. Declerck, F. de Jong, D. Reidsma, Y. Wilks, and P. Wittenburg. 2003. Intelligent multimedia indexing and retrieval through multi-source information extraction and merging. 18 th International Joint Conference of Artificial Intelligence, Acapulco
M.A.K Halliday. 1994. Introduction to Functional Grammar. 2nd Edition, London
R.K. Srihari. 1995. Computational Models for Integrating Linguistic and Visual Information: A Survey. Artificial Intelligence Review 8 (5-6), pp. 349-369
Z. Zhang, J. Otterbacher and D. Radev, 2003. Learning Crossdocument Structural Relationships using Boosting 12 th International Conference on Knowledge Management
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VISUAL PLANNING CORPORATION – JELCO Products Pricelist, December 2011
For Government & Educational Pricing , please contact our Office nearest you. Thank you et merci.
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Camp Verde Adult Reading Program
TUTOR GUIDELINES
Help Our Students Succeed
Adopted 10/8/2019
Camp Verde Adult Reading Program Tutor Guidelines
Contents
Introduction
Welcome to the Camp Verde Adult Reading Program team!
As a tutor, you are part of a team of dedicated professionals. Your role as a tutor is important to the success of our students and CVARP as a resource to the community. We appreciate your willingness to share your strengths with others in this way. Regardless of your particular subject areas, you are facilitating success in learning and in life.
This handbook is designed to outline the basic processes of the Camp Verde Adult Reading Program tutoring program. As such, it is a guide for beginning teachers and tutors and a handy reference for experienced teachers and tutors.
One "right way" in tutoring does not exist. Tutoring can be both a challenging and deeply rewarding experience. Please always feel free to ask questions, offer ideas and suggestions, share your challenges and success and have some fun along the way!
Happy tutoring!
CVARP MISSION and VISION
The mission of the Camp Verde Adult Reading Program (CVARP) is to offer adults in Camp Verde and adjacent Verde Valley communities the opportunity to achieve personal goals through improved basic reading, writing, math, technological and life skills.
VISION
Everyone age 16 or older not enrolled in school who lives in the Verde Valley will have access to high-quality, free adult education. Through continuing adult education, they will improve their chances for meaningful employment, be able to help their children and grandchildren with schoolwork and understanding the world, develop critical thinking skills, and ultimately live better lives.
VALUES
- We value education for the sake of personal and community enrichment.
- We value critical thinking skills developed through reading and education.
- We value reading, both for education and for recreation.
- We value the freedom to read and learn.
- We value our children and grandchildren and believe that the more they read, the better their lives will become.
- We value democracy and believe that an educated person is a person who votes wisely.
- We value all members of our community and believe that education helps them to become better citizens.
The Learning Centers in the library contribute to our mission by offering a variety of learning support services and resources in Camp Verde.
These mission statements provide the foundation for everything we do at the CVARP Center. Please remember that what you do -or fail to do- as a tutor in the CVARP Center affects the quality of people's education and their lives. You make a difference!
Tutor Purpose and Responsibilities
Purpose
The tutoring program is the heart of CVARP. Tutoring can be an invaluable resource for any student. Your efforts as a tutor help Camp Verde Adult Reading Program help students to learn, to stay in the program, to reach their goals, and grow as individuals.
Goals
Here are some general tutoring goals to remember:
- to increase students' general understanding of and confidence with a specific subject
- to provide direction and support for academically disadvantaged students, i.e., the development of positive study habits, testing skills, positive attitudes and increased confidence toward learning
- to serve as a coach for those who are academically strong but have forgotten some skills
Guidelines
- As you work with students, remember:
- Your goal as tutor is to help students be successful learners.
- Our primary focus is on the students and their learning needs.
- There is no one method or technique that works best, but there are suggested strategies. Please learn and practice good tutoring strategies.
- All students can learn, but all students do not achieve at the same level or learn in the same way.
- We are an educational service.
- Tutors are facilitators to the students. Know your own limits; ask for help when you need it.
- You are a role model. Be professional. Present a positive image of CVARP and its staff, which includes YOU!
2.
Responsibilities
You provide both direct and indirect support in your role as a Learning Center tutor. You provide direct academic assistance to students, help supervise the CVARP Center, and maintain general CVARP Center operations.
Expectations
- Fill out your Volunteer Time Sheet each day that you volunteer.
- Remind students to sign the Student Attendance Sheet.
- Maintain a professional attitude. Be on time. Be positive. Be attentive.
- Immediately notify the Adult Education Program Director of any CVARP Center concerns or incidents. In an emergency call 911.
- If you are going to be late or absent, notify the CVARP Program Director in advance whenever possible.
- Be familiar with the resources available in the CVARP Center including the laptop computers and educational software.
- Note needed supplies on a message to the Office assistant.
- Attend scheduled staff meetings and training sessions, if at all possible. Make arrangements to get the information that was covered if you cannot.
- Communicate your successes and challenges. Make suggestions!
My signature below acknowledges that I have read, understood and agree to the responsibilities as outlined on the previous pages. I have been given an opportunity to ask questions and to have these responsibilities explained to me. I agree to carry out my responsibilities to the best of my abilities.
TUTOR SIGNATURE _________________________________DATE ______________
OUR STUDENTS
CVARP students have widely varying backgrounds and educational experiences. Students who seek your assistance may be academically inexperienced. Some are attending school in this country for the first time, others may be returning to school after a long absence. Still others are experienced successful students who understand fully how to use our resources. Some may be under-prepared or over-anxious. Students must be 16 years and older. They come from many different ethnic backgrounds and many different socio-economic conditions.
Our goal is to help all of our students have a positive and successful learning experience. Build trust and strengthen their self-esteem by treating all students with respect. Your commitment to your job and to each individual student is vital to reaching our goal. Your encouragement and enthusiasm are essential. The rewards are great!
Confidentiality and Commitment
- Confidential information you may hear or see must remain CONFIDENTIAL! This would include student names, test grades or scores, any personal information shared by a student, and computer user names and passwords.
- Gossiping about students is unacceptable.
- Do not criticize the lesson, materials, or teacher. If a student feels that a lesson is too easy, too difficult, or is not meeting his or her needs, ask the student to speak with the Program Director.
General Suggestions for Tutoring
There is no one right way to tutor. You will develop many methods that work for you. Don't be afraid of trying something new or making mistakes.
Model positive attributes:
- Be on time.
- Be enthusiastic about the subject you are tutoring.
- Be flexible.
- Show that you feel good about what you are doing (tutoring).
- Maintain professionalism.
Display empathy and respect for your students:
- Give the student 100% of your attention.
- Inquire about their concerns, but limit personal discussions.
- Always LISTEN to the student.
- Be positive about the student and the lessons you are tutoring.
- Offer praise and encouragement.
- Offer strategies that you found helpful in solving similar problems from your previous experience.
Establish rapport:
- Be honest and open.
- Maintain appropriate eye contact.
- If you don't know an answer, say so and suggest that you and the student find the answers together.
- Sit beside your student, creating a sense of equal status.
- Be aware of each student's need for individual space.
- Be sensitive to cultural differences.
Help students relax and gain self-confidence:
- Express confidence in their ability.
- Encourage them to do their best.
- Be positive. Find something to praise.
- Be patient.
Explain and clarify:
- Don't assume the student knows or understands a concept.
- Start with what the students do know. (Ask questions!)
- Build concepts by moving from simple to complex, concrete to abstract, known to unknown.
- Relate materials to the student's background when possible.
- Use examples to illustrate your points.
- Have your student explain how to do a certain problem or assignment.
- Give your student enough time to answer your questions.
- Explain concepts in more than one way.
- Try to show the underlying reason for doing something a certain way.
- Check for understanding. Ask your students to explain what you have said; clarify if necessary.
- The students should be doing at least half of the talking!
Understand Learning Styles:
Students who are:
- Visual rely on books, handouts, pictures, or other printed or visual objects.
- Auditory learn better through hearing and listening; use tapes, audio CD's and DVD's.
- Kinesthetic learn by movement or writing; let them walk, make gestures.
- Tactile use the sense of touch to learn ideas and concepts; let them do things.
- Using a combination of methods is often helpful, as most people learn from more than one learning style.
Foster Independence:
- Let the students do the work, take notes, search, and explore.
- Don't do students' homework or just give out the answers.
- Encourage students to come up with their own ideas and solutions.
- Encourage students to identify and correct their own mistakes.
- Increase students' self-reliance by encouraging them to use resource materials: dictionary, index, glossary, website, etc.
- Build self-confidence!
- Accentuate the positive: point out what has been done well before discussing what is wrong or omitted.
- Express your confidence in the student's abilities.
Common Mistakes:
Be aware of these potential problems. Monitor yourself for your own success and that of our students. Common mistakes made by tutors include:
- Giving an incorrect response.
- Not recognizing the student's real problem
- Not listening actively
- Doing too much work for the student.
- Giving personal advice.
- Not giving enough respect to the student.
TUTOR TASKS AND OTHER RESPONSIBILITIES
Safety: If you have any doubts about the coherence or ability of a student to function once they get out the door, check with the Program Director or with a teacher if the Program Director is not available. Let them call 911, if possible. We want to prevent any possible situations of harm. For this reason, at least one other staff person must be in the library with you at all times. If for any reason you need to call 911, let the other person in the library or CVARP office with you know as soon as possible.
Circulate: Walk around and be visible.
- Do not interrupt a test. If the student is not testing, ask questions ("What are you working on now? Do you understand that? Is there anything I can help with? Do you have everything you need? Is there anything I can get you that might help?") Be available. Make sure the student knows you are there and willing to help.
- Be aware of non-verbal messages from students that might show a need for help (puzzled looks,
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scratching their heads, drumming fingers on the table, raised eyebrows, anxious glances, staring into space, etc.)
Maintain an academic atmosphere: The CVARP Center should be reasonably quiet. Please keep your voice low; you may need to remind others to do the same.
Monitor computers: Students may need help with login to use the computer.
- The Office Manager or a teacher may be able to verify a student's username or password.
- Regularly check to see that people have turned off the computers and plugged them into the proper charger after use.
- As you circulate, check to see that the computers are being used properly. If you notice a student using an inappropriate website, remind the student that such use is not permitted. The library has controls over the internet sites but CVARP student use of internet and our computers is strictly for educational purposes. If the student does not comply immediately; tell the teacher or Program Director.
- Only drinks with lids may be around the computers.
- If you have problems with a computer or printer that you can't fix, first check with the Office Manager or a teacher.
Printers: Tutors, other volunteers, and students may use the printers to print learning materials, with approval from the Program Director.
- Print one copy of document only. Any personal or extra copies should be made at the copier for the fee of ten cents per page. Our supplies budget is limited, so please do not waste paper or ink. Print in black printers rather than color whenever possible.
- Monitor paper in printer.
- Add paper when it gets low or runs out. If ink runs out, ask the Office Manager to put in a new cartridge.
Keep the Learning Center clean and organized: This is everyone's responsibility. Help keep chairs pushed in, paper scraps picked up, etc. Remember that your responsibilities include helping maintain the Learning Center.
Supplies: If you notice that we are low on any supplies, please leave a message for the Office Manager. Note exactly what supplies are needed.
What if the Center is not busy with students? Please try out the software programs (TABE Academy, GED Academy, Kahn Academy etc.) so that you can better assist students with their use. We also want you to contribute your ideas and suggestions for improving the Centers. Write an e-mail to the Program Director with your suggestions or with success stories about students you have tutored and techniques you used that worked well.
We want you to use all of your skills and abilities. If you don't have any "customers," please check with the supervising teacher or the Program Director. There are MANY other volunteer tasks to be done!
DAILY TUTOR LOG
Tutor/Teacher Name: _____________________________
Date:_______________
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Sermon for Reformation Day (October 31, 2010)
Revelation 14:6-7; Romans 3:19-28; John 8:31-36
Rev. Shane R. Cota
Today we celebrate the Lutheran Reformation. We remember Martin Luther's rediscovery of the biblical Gospel that we heard so clearly proclaimed in today's Epistle: "For we hold that one is justified by faith apart from works of the law." (Rom. 3:28) It seems so simple. Nothing you do can save you and give you eternal life—it is purely a gift, given to us through faith in Christ. The Scriptures seem so clear on that. Yet, this teaching is so easily lost. At the time of Luther, it was almost totally darkened and obscure. People commonly thought that to be saved, you had to keep the law, you had to earn God's favor, you had to work your way up the ladder to Him.
Luther, through the study of Scripture, found that this was not true. God has come down to us in the incarnation of Jesus Christ, to be our Savior from sin, to keep the law of God perfectly on our behalf. And because of Christ, we are justified in the sight of our heavenly Father—meaning we are declared righteous, without sin, pure and holy in His sight, not because of anything we have done, but because of what Christ alone has done. This is the doctrine of justification, the doctrine that was central to the Reformation, the doctrine that is the center of Lutheran theology. We are justified by faith apart from works of the law.
Keeping the doctrine of justification, the clear teaching that Christ alone is our righteousness, our redemption, our propitiation, is why we still need a Lutheran church. Sometimes people will say that all churches teach "pretty much the same thing." Or they'll say, "can't we all just be 'Christian.'" The sad fact is that all churches do not teach pretty much the same thing. And there are all kinds of false preachers and false teachings that go under the name of "Christian." It's not enough to just say that you're a "Christian." If you listened all the different definitions of what different people think it means to be a Christian, you would end up not having any idea what a Christian is.
It's not even really enough to say that you're a Lutheran anymore, since we have so many Lutheran churches that have thrown out the Word of God and have allowed the words and opinions of men to triumph. We live in a day and age when people are willing to give up any concept of truth, just as long as they can have their own personal desires fulfilled and all their itches scratched. Our sinful nature would rather be amused than accused by the law. We would rather be entertained than repent. We would rather have passing and temporary emotional fulfillment than everlasting certainty that what God says is true, no matter how we may feel.
As Lutherans, if we really are such, we need to say that we are Lutherans who believe the Scriptures, who believe, teach, and confess the Word of God. We believe the Confessions found in the Book of Concord, the teachings of the Lutheran church, because they are in accordance with the Word of God. And at the center of all these things is the doctrine of justification, that we are justified by faith apart from works of the law. Luther wrote that "upon this article [justification] everything that we teach and practice depends…we must be certain and not doubt this doctrine. Otherwise, all is lost." (SA II I:5) You lose the center, you lose everything.
The church of Luther's time darkened the doctrine of justification by teaching that the law of God is doable for you, that there are works that you can do to please God apart from faith. Yet, what does our Epistle to the Romans say about the law? "Now we know that whatever the law says it speaks to those who are under the law, so that every mouth may be stopped, and the whole world held accountable to God." (Rom. 3:19) The law isn't some kind of direction for us by which we can save ourselves. It strips us down to nothing and shuts our mouths. It shuts our mouths because it leaves us without any way to justify ourselves, without any way for us to make ourselves righteous before God. We have nothing to say in the face of God's law. No "I tried" or "I did some of it" or "I did my best." With the law it is either all or nothing. And so God's verdict for us is: "For all have sinned and fall short of the glory of God." (Rom. 3:23) If you really understand what God's law demands of you and believe what it says about you, your mouth will be shut. "I have nothing to say in the face of your law, O Lord. Have mercy on me, a sinner." As one who tried to save himself by following the law, this was Luther's realization, that no one can be saved by the law, and for a time it led him into deep depression and despair.
Yet, the condemnation of the law and the verdict that we do not, cannot and will not do what God demands—this is not God's last word to us. The law of God does drive us into the dust and shut our mouths, but only so that in our silence we may be able to hear God's last word to us and that last word is Jesus. It is Jesus who lifted Luther out of the pit, it is Jesus who does the very same thing for you this day and every day that you are crushed and driven to repentance by your sin. You and I cannot save ourselves, but God has justified us "by His grace as a gift, through the redemption that is in Christ Jesus." Our justification, our being put right with God, is a pure gift, given by His grace to us unworthy sinners. We do nothing to earn it, and even more than that, we don't deserve it, but out of His great love for His Father and for us, Jesus sacrificed Himself for our sins. He stood in your place and took your condemnation upon Himself, so that in Him, you now become the righteousness of God, forgiven of all your sins.
This Gospel, this good news of Jesus Christ is sure and certain for you. It is an eternal Gospel, as we heard from Revelation, an eternal Gospel that is for all people, in all places, including you, right now. It is a Gospel that does not change depending upon our human circumstances. It doesn't change for the times or for the people it is to be preached to. It is the same Gospel for all. It was true for St. Paul, for Martin Luther, and now for you and me. We receive the forgiveness and eternal life this Gospel offers through faith. And even having faith isn't something we do or muster up in ourselves. Faith is given to us as a gift, which is why we have no room to boast. "Then what becomes of our boasting? It is excluded." All the glory for our salvation goes to God alone, who has rendered His judgment upon us as "not guilty." And this is true for all who have been given the gift of faith in Christ. We need not doubt the "not guilty" verdict that He pronounces upon us because He has told us in His Word that it is true, and His Word cannot be broken. We are justified by faith apart from works of the law.
Anything that gets in the way of the doctrine of justification, or anything that pollutes it with something we have to do, comes not from God, but from the devil, the world, or our own sinful flesh. The church of Martin Luther's time did believe that Jesus died on the cross for our sins, but it also taught that Jesus only did part of the work. You had to do something to help make up for your sins too. You had to say so many certain prayers, or do so many good deeds. But that thinking contradicts Jesus' words from the cross: "It is finished." Sadly, the Roman church of today still refuses to teach justification by faith alone. It still adds man-made works and doings to the equation in order for you to be saved. So we still need a Lutheran church that confesses that we are justified by faith apart from works of the law.
On the other side of the coin, we also have churches around that do claim to believe in the doctrine of justification, yet they will say that you have to "make a decision" to believe in Jesus. They say you have to "choose" Him. You hear this from most non-denominational churches, "Bible" churches, Baptists, Pentecostals, Assemblies of God, and so forth. Again, this "decision" theology boils down to something you have to do, some work required of you to save yourself. But in reality, Jesus chooses you by His grace alone. He decided for you before you were even born when He died for your sins on the cross and then He applied His decision to you personally when the water was poured on you in the name of the Father and of the Son and of the Holy Spirit.
And speaking of Baptism, most of the churches that teach the "decision for Jesus" theology, also believe that Baptism and the Lord's Supper are things that we do for God. But Baptism and the Lord's Supper are things that God does for us. He comes to us in the water of Baptism to give us the gift of His Holy Spirit and eternal life. He comes to us through the bread and wine to give us the body and blood of Jesus Christ for the forgiveness of our sins. So Baptism, the Lord's Supper, and the Word of Absolution, or forgiveness spoken by the pastor, are means of grace. They are instruments through which our Lord creates faith in us and keeps us in that faith. They are not works or things we do for God, but things He does for us, to give us Christ, for our eternal everlasting benefit. They are pure grace, pure gift, pure Gospel. So we still need a Lutheran church that confesses that we are justified by faith apart from works of the Law.
Unfortunately, even many Lutheran churches have perverted the doctrine of justification. They do this by denying or ignoring the Word of God. They fail to preach the law and without the law justification makes no sense and there is no real preaching of the Gospel then either. They say that the Gospel is all about love. Everything is OK, just as long as you love, and any lifestyle is fine as long as people love one another. That is not the Gospel. Love is the fulfilling of the law. Preaching about love and loving everyone, as nice as it sounds, is all law preaching. Again, we need a Lutheran church that confesses that we are justified by faith apart from works of the Law.
The Reformation of the church that Martin Luther ushered in 493 years ago today was nothing new. It was a call to repentance for the church. It was a call to quit muddying, obscuring and diluting the Gospel of Jesus Christ with legalistic nonsense. It was a call back to the Scriptures alone which teach that we are saved by grace alone, through faith alone in Christ alone. Reformation in the church, like repentance in the life of the believer, is an ongoing need. We need to continually examine ourselves to see if this is what we believe, if this is who we are. Otherwise we'll end up like the Jews in our Gospel reading. They thought they were in good with God just because they were descendants of Abraham. But they didn't have the faith of Abraham.
We are not faithful Lutherans, faithful Christians, just because our forefathers may have been, or just because we go to church, or just because our name may be on a membership list in a drawer in the church office. We are faithful Christians when we believe the Scriptures alone, which give us Christ alone, who saves us by grace alone through faith alone. We can never sit back and say, "I know all that. I heard it all before." We need this Word of God constantly, to keep us and to grow us in the faith. In 2 Corinthians 13, St. Paul writes, "Examine yourselves, to see whether you are in the faith. Test yourselves. Or do you not realize this about yourselves, that Jesus Christ is in you?—unless indeed you fail to meet the test! I hope you will find out that we have not failed the test." And what is the test, what do you use to examine yourself? Do you look at
what other churches are doing? Do you look at what "we've always done here"? Do you look inward to your thoughts and feelings? No, as Martin Luther did, you use the Scriptures, the Word of God to test and examine yourself. That is the standard.
"Lutheran" shouldn't just be a word on the church sign out front. It should stand for something, for what we believe and confess. We shouldn't be Lutherans just because we were raised as such, or because we married a Lutheran, or for any other reason than that the Lutheran confession of the Christian faith is true. Lutheranism alone preaches the Gospel purely and administers the sacraments rightly, when Lutherans are being faithful to their Scriptural confession of faith. The world still needs a Lutheran church that confesses that in Christ Jesus we are justified by faith apart from works of the law. Each of us needs that. You need that. Otherwise, how can you know that even though the law condemns you, you are justified by His grace as a gift? For in Christ alone you have been redeemed. In Christ, you have been freed from condemnation, freed from sin, freed from death, freed from the power of the devil. "And if the Son sets you free, you will be free indeed." Amen.
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THE INDIAN PEOPLE'S TRIBUNAL ON ENVIRONMENT AND HUMAN RIGHTS
FIRST REPORT
BY JUSTICE S. M. DAUD (RETIRED JUDGE, BOMBAY HIGH COURT)
The Bargi (Rani Avantibai Sagar) Project Salient Features
Justice Daud retired as a Judge of the Bombay High Court. He was born in 1931 and completed his schooling from Bishop Cotton School, Nagpur. In September 1954, after graduating with an M.A. in Political Science and obtaining an LLB degree from Nagpur, he joined the sub-judicial service. He was appointed Judge of the Bombay High Court in July 1985, a position he continued to hold with honour till he retired in December 1992.
NOTE ON JUSTICE S. M. DAUD'S VISlT TO BARGI by Advocate Mihir Desai (Convenor IPT)
On behalf of the IPT, I requested Justice Daud to visit the Bargi area, in response to disturbing reports that the condition of the oustees of the Bargi dam was such that some were facing starvation. Also that almost all had been deprived of their rights and property without adequate compensation or consultation. Bargi held particular significance as it was a part of the Narmada Project and the conditions here would be indicative of what was in store-for the many other dams being planned in the Narmada Valley, including the Sardar Sarovar Project which is currently at the centre of a storm of controversy. I accompanied Justice Daud on his two-day field investigation between July 7 and 9, 1993. Before the visit, we undertook two weeks of background research on the Bargi Project in Bombay. What follows is, of course, a preliminary investigation. What is called for now is a thorough investigation by the Central Government into the execution of the entire project. The IPT was assisted in its investigations by the representatives of the Bargi Bandh Visthapit Sangh.
We reached Bijasen, or what remained of it, after an adventurous journey through slushy, inhospitable territory, which the oustees had to live with as a matter of routine. Anurag Mody, an activist working with the oustees had informed us in Bombay that he would arrange for us to meet the affected people on our arrival. We were taken aback to see that more than 1,000 ousts, who had travelled various distant affected areas, came to share with us their tales of woe. It was at Bijasen that we recorded most of the statements, which could only be collected through their spokespersons.
In looking at the Bargi Project, we were concerned with the extent and adequacy of rehabilitation and the performance of the dam in relation to the promise it had held out to the nation.
From Justice Daud's Report it becomes clears that:
1. Many oustees have not been paid any compensation and where it has been paid the compensation has been very meagre;
2. Many of the oustees owned large plots of agricultural lands and all of them owned houses prior to the submergence. Only a few of them received any alternative land after the submergence for tilling or residence. Many of those who did receive alternative sites had to suffer a second round of submergence.
3. Not only have they lost their land, but also their livestock, which perished for lack of alternative grazing, pastures.
4. The present living condition of the oustees is not just deplorable but positively dangerous to their health.
5. In the 'ideal' villages set up by the Government for rehabilitation, conditions are so dismal that some have actually died of starvation.
6. The dam itself has failed to irrigate its potential area and has not been able to generate its rated capacity of electricity worse, it has caused a reduction in crop yields as it has caused massive waterlogging and salinity thanks to its leaking canal system.
It goes without saying that no investigation can be deemed to be truly complete unless both sides of the issue have been carefully looked into. This is why we sent special fax and hand delivered messages requesting the following people to meet with Justice Daud at the Circuit
House at Jabalpur at 8 AM on July 9, 1993: Mr. S.S. Mathur, Divisional Commissioner, Jabalpur and Mr. B.B. Ghosh, Chief Engineer of the Bargi Project, Jabalpur and Mr. Ajit Singh, Advisor to the Governor, Bhopal. We had asked that they depute representatives in case they were not able to make the appointment, or at the very least send us a written response to our queries. Not only was our request ignored, but even the Circuit House booking had mysteriously been cancelled, causing great inconvenience to Justice Daud who reached Jabalpur at 1.00 A.M. on July 9,1993, only to be forced to return the same night for Nagpur. We must regretfully conclude that the authorities had no interest in cooperating with this people's fact-finding mission. Despite this lack of response, we were able to rely on various official documents and correspondence relating to the Bargi Project on which we placed extensive reliance.
I acknowledge the assistance of Sonali Ojha, Deepika D'Souza, Varsha Chawda and Dilip D'Souza in helping to prepare this report and hope that on receiving it the authorities will send us their measured response.
Meanwhile, we intend to bring the facts to the notice of a wide cross-section of Indian society in the expectation that this will focus light and attention on an issue which the authorities would obviously prefer remained forgotten in the realm of darkness.
Advocate Mihir Desai Convenor - IPT
REPORT ON THE STATUS OF THE OUSTEES OF THE BARGI PROJECT by JUSTICE S.M. DAUD
INTRODUCTION
When the Secretariat of the Indian People's Tribunal on Environment and Human Rights first approached me to travel to the Bargi Dam project site to assess what was described as `the pitiable condition of the oustees' I wondered what might be the purpose... since the dam had already been built. I felt that it was too late to turn the clock back even if I came across any evidence of injustice or faulty planning. When I came to learn that this was only the first of many dams being built across the Narmada, however, I realised that an investigation was indeed necessary. Not merely to ameliorate the condition of the Bargi oustees, but to shine a light on the future of millions who I understand await displacement at the hands of the Narmada Project.
I travelled to meet with the oustees and came away deeply distressed at their condition, and at the apparent apathy of the authorities towards their plight. I have appended some of the hundreds of pleas and plaints for justice that were placed before me by people who asked that their case be brought to the notice of those who might be able to mitigate their problems. I trust that citizen's groups, or conscientious government servants who may not have been aware of the Bargi problem, will take up cudgels on their behalf of the victims on reading what follows.
It appears to me, in this instance at least, that the benefits of development were never intended to be shared with those who were forced to pay the highest cost. On the face of it, the human rights of the people affected by the Bargi Project were violated and their environment callously and irreparably damaged. I can only hope that theirs is the exception and not the rule where India's development projects are concerned.
Those looking for more details on the Bargi Project than becomes apparent from my report could obtain a background note titled "The Bargi Project" from the IPT Secretariat.
THE PROMISE
The Bargi (Rani Avantibai Sagar) Project is one of the firsts of the 10 large dams planned across the Narmada River, of the Narmada Project. It was in 1947 that the Central Water & Power Commission (CWPS) undertook its preliminary investigations for multipurpose projects in the Narmada Basin. An ad hoc Committee was then set up by the Government of India which recommended detailed investigations in regard to four projects, in the first instance, one of them being Bargi. The matter remained in limbo until 1960 and it was only in 1968 that a modified report emerged.
At the time, the Project was universally supported and designed to be a great asset to the country with 1.99 lakh hectares of land to be irrigated so as to produce an additional 10 lakh tonnes of food, plus 90 megawatts of non-polluting, renewable, hydroelectric power.
PERFORMANCE
Government data available to me from reports I inspected reveals that the Bargi project has failed to live up to its expectations. Instead of the promised 1,99,000 hectares, a mere 12,100 hectares of land is being irrigated by the project today! Instead of increasing food production by 10 lakh tonnes, the yields have actually fallen! It seems that the canal system was not properly constructed and water therefore began to seep into adjoining lands, causing waterlogging, salinity and the growth of unpalatable weeds. The performance on the electricity generation front is no better. The figures put out by the State Government suggest that the actual generation work out to 35 to 44 megawatts as opposed to the projected 90megawatt capacity. .
That the benefits fall short of the estimates is bad enough. To my dismay I discovered, however, that a still greater cost had been paid by the country in terms of irreparable damage done to its affected citizens who were asked to make major sacrifices in the national interest.
To begin with, owing to 'miscalculations' instead of 162 villages, 184 villages were submerged. This is extraordinary. I can only put down to incompetence and negligence the fact that whereas the government estimated a total of 26,729 hectares would be submerged, the actual submergence amounted to 80,860 hectares!
The 162 villages, which were to be submerged, included 11 villages situated on unalienated land, which was still Government property. The remaining 151 villages were located thus: 19 from District Jabalpur, 87 from District Mandla and 45 from District Seoni. The work of acquisition of land started as early as 1978 and was to be completed in 1984. When the State intended to acquire so much land and dispossess such a large number of citizens, it should first have devised a scheme of relief and rehabilitation. This is a complex process, requiring openness, trust and cooperation of all concerned. The only way to conduct such a delicate and sensitive operation would be through almost constant interchange of ideas and incessant dialogue between the representatives of the affected people and the administration. This, however, did not take place. Even as intimately connected a person with the Administration as the Commissioner of the Jabalpur Division had this to say:
"What really appears about the project is the situation of the proverbial cart having been placed before the horse. Any such project requires meticulous planning and careful implementation including complete and accurate information of all the important variables to be dealt with - socio-cultural environmental, economic and the rest of them. A plan for the resettlement of the persons to be displaced should be ready before the work starts on the project. In the instant case the dam is more or less complete and is expected to attain full reservoir level this year. But the plans for resettlement are being thought of now - a clear example of placing the cart before the horse. Rehabilitation of a people uprooted from their lands and homes is a delicate matter and requires a good deal of understanding and dedication. The socio-cultural patterns of the oustees the level of the economy, their cultural ethos and psychological make-up and all such other aspects need to be studied and understood before any scheme for their resettlement could be thought of."
At another place in his report the learned Commissioner comments upon the amount spent on the rehabilitation a s compared to the total cost of the project. The rehabilitation amount is as niggardly as Rs. 16.98 lakhs when the cost of the project is Rs. 409 to Rs. 412 crores.
I would further emphasise that from what I could establish that even this amount was spent on an ad hoc basis without any planning much less any consultation with those affected.
According to the 1981 census, the proportion of cultivators was as high as 66 per cent of total working hands, agricultural labourers constituting a further 20 per cent. Surely, the valuable members of society who feed the nation should have been better treated. At the very least, a viable scheme for rehabilitation should have been designed to relocate the displaced persons on arable land. If this was not available and if, as was pointed out, the people could not be settled in the command area "since it fell outside the ethnic zones of the oustees," then the project itself should have been reconsidered.
In so far as the preference of the oustees is concerned, 74 per cent of those from Mandla wanted to remain in the same District, while the remaining 26 per cent wanted to move to the adjacent area of Jabalpur District in the same ethnic region. In Seoni 93% of the oustees wanted resettlement within the District itself, while the remaining desired resettlement in the adjacent ethnic regions of Mandla and Jabalpur Districts.
The government seems quite aware of the basic considerations, which should be followed when displacing people. Ministry of Home Affairs guidelines vis-a-vis the rehabilitation of tribals displaced by irrigation and other projects reads thus:
"For tribals there is no rehabilitation more effective than providing them with land as a source of livelihood. Even if quantity of land lost by a tribal family cannot be entirely made good by alternative land it must be ensured that some land is provided so that the family is not completely uprooted from its traditional occupation. "
The Ministry goes on to recommend to other State Governments that they follow a law enacted by the Maharashtra Government which provides for economic rehabilitation to oustees on the basis of grants of arable lands.
MADHYA PRADESH OUSTEES ACT
As late as 1985, the Madhya Pradesh Government enacted the Madhya Pradesh Prayojik Visthapith Adhiniyam. The preamble suggests that the Act be designed to provide for resettlement of persons displaced from lands, which are acquired for irrigation projects or public utility projects. The Act does contain provisions, which would give some measure of relief to those losing their properties, but, unfortunately, Section 10 states that the State Government must specifically notify a project for it to be governed by the Act.
Therefore the precedent condition is that the State Government has to form an opinion of it being necessary or expedient in the public interest to provide for the resettlement of the displaced persons that are going to be affected by any project. Next, the State Government has to issue a notification declaring the project to be subject to the provisions of the Act. There is no logical reason for it, but the Bargi Project was not so notified.
REPORT OF THE COMMISSIONER FOR SC/ST
I note that Dr. B.D. Sharma, the ex-Commissioner for Scheduled Castes and Scheduled Tribes, had been in constant touch with the problems of persons displaced because of the Bargi Project. He had carried out a survey and prepared a note in June 1986. His incisive observations make interesting reading. In paragraph nine, for instance, he refers to some unresolved problems. These are listed below:
1. Those allotted lands have not been conferred Bhoomiswamy rights (i.e. ownership rights). The compensation to which they are entitled thus remains unfixed.
2. Certain persons had encroached on revenue lands and had been tilling those lands for generations. According to the Government circular the encroached upon land could be settled upon eligible persons. Rules laying down the eligibility and priority had not been framed with the result that the occupants were declared not eligible for compensation.
3. Dhimars had been cultivating lands in the Kachhars of the Narmada raising watermelons and other crops. These lands were being cultivated based on annual leases. No compensation had been assessed in their cases.
4. The Kotwals had been tilling the service tenure lands. Their lands had also been submerged but they were not held eligible for compensation.
STATEMENTS OF OUSTEES
In preparing this Report, I have referred to on a joint statement of the assembled oustees at Bijasen on July 8, 1993. The representative of these persons, Chatarsingh, son of Parmoo, was the sarpanch of a group of gram panchayats comprising 11 villages.
Chatarsingh's village was wiped out in 1990 as the reservoir filled to capacity. Prior to its obliteration, the village must have been a place of great productivity, peace and happiness. The village had about 300 households and the cultivable land came to about 500 acres. Each cultivator had a holding ranging from 10 to 150 acres. Homestead and holdings were submerged, compelling the population to migrate to new habitations. It is worth examining Chatarsingh's story somewhat closely for the fate of other villages was similar and this gives us some idea of the terrible injustice meted out to the people in the name of development; particularly when contrasted to the abject failure of the project to meet its stated goals. ,
Chatarsingh states and I have no reason to disbelieve him, that "the initial promises of the administration was to give each landed family five acres of land. They also promised a constructed house in the new area to each family. Artisans were promised an interest-free loan of Rs. 5000/-to start anew in their vocations. As cultivators could only be given small patches of land, they were promised interest-free loans for livestock and agricultural inputs, of which half were to be written off as subsidies. However we were shown were patches of abide (barren) land on which we were to put up houses. Neither any funds nor any material was supplied for the construction of new houses. The promised five acres of land were never given." As I read the retinue of complaints, a picture began to emerge of a lack of intent, to deliver justice to the affected, not just of inability.
Loans, where advanced, were given to five or ten persons from each village and that too on interest ranging from 12 to 13 per cent per annum. Recoveries of the installments have been effected for 1990-91. There have been no recoveries in the subsequent period. This was not, as Chatarsingh was at pains to tell me, a concession to the Bargi oustees, but something, which they enjoyed in common with all agricultural debtors favoured on account of drought conditions. The land submerged was very valuable. According to Chatarsingh the utility was 20 grains to each grain sowed. The crops raised by the tribals covered a wide range, from millet of the coarse variety to rice of the finest variety. The principle food crop was wheat. Every acre of land had palas trees, which are exceedingly valuable as, apart from their leaves, which furnish building material for the impoverished cattle shed and huts of the adivasis each tree yields shellac worth about Rs. 1,000/- per annum.
Chatarsingh went on to say that the village had about 200 mahua trees whose flowers and fruit were the mainstay of the people, serving to supply food, oil and even liquor. The estimated yield per mahua tree was between Rs.4000/- to Rs.5000/- per annum. There were about 204 mango trees, each yielding fruit worth Rs.5040/-. The S00 tamarind trees in the precincts together with other fruit trees met all the nutritional needs of the village, particularly the young children and the elderly: Additionally, lemon, bananas, jamun and papaya harvest yielded handsome returns to the village at mandi sales. Teak trees provide timber enough for the construction of house supports, ploughs and other simple yet vital requirements. All 11 villages had an independent pond, stocked with fish, which supplemented the diet of the villagers. Their fields were layered with fertile black cotton soil, which delivered crops with virtually not application of chemicals.
There can be absolutely no doubt that the quality of life of the people was high, if simple as compared to the luxuries we have become used to in large cities. For this rich legacy -handed down from father to son and nurtured collectively by a people who Gandhiji had pleaded should at the centre of all development -- the villagers received paltry sums ranging from Rs. 500/- to Rs. 5,000/- per acre. The only person who was compensated at the rate of Rs. 5,000/- per acre had to go to court to obtain justice. One of the villages, Karaiya, was actually paid the ridiculous amount of Rs.300/- per acre! No compensation was paid for the trees, except in the case of palas for which some retrieved Rs. 10/- per tree... after fighting for nearly three years with the concerned authorities.
DOUBLE DISPLACEMENT
The plots allocated to the oustees for construction of new homes were chosen in cavalier fashion by the authorities. This become apparent when one learns of the fact that their carefully re-established homes -- such as they were -- fell victim to submergence once more without the slightest hint of a warning from the engineers and planners of the dam. Traumatised once, the loss of their security for the second time was unimaginable. For this second displacement, no compensation was paid to the villagers, compounding several times over the original injustice of forcing them to occupy plots barely one-tenth the size of their original holdings. The villagers had no choice but to put up the money to re-house them, as they had no alternate shelter or place to stack provisions and stores safe from the vagaries of weather. In the process almost all have lost their most prized possession by which their wealth was once counted -- livestock
The Indian villager is a hard working and thrifty individual. Despite their entire adversary, the Bargi oustees had been able to scrape together a few assets and securities. Now, in one fell swoop, all this was taken away as the hard-earned savings of people were diverted to buy fresh housing materials. However, not even transport charges to shift to newly allocated sites were paid to these unfortunate people. This second displacement completed the devastation of the oustees. Now, without arable land, without any assets, a once-self reliant people were reduced to the status of manual labourers with men, women and children taking up any and all employment, just to feed themselves. Most are now rickshaw pullers, coolies, or construction, workers. Not used to this kind of labour, the displaced are best with an assortment of ailments ranging from gastric and lung conditions to general debilitation and malnutrition. In the words of Chatarsingh, those who were once prosperous and selfemployed are now beggars.
The new homesteads situated at higher levels were in some cases reduced to the status of islands. One person compelled to live on such an island, Lalaram, spoke of being forced to live with his family within two to three terrifying metres of swift flowing water. According to him fear was a constant companion for he never knew when the flowing water would submerge his home and carry away not only his meagre belongings but members of his family. Lalaram had been given only 4.5 acres of land and had to feed nine mouths. Under the circumstances he was surprised, amused and upset at the question as to whether or not his starving children were receiving any education. In fact, he stated bitterly, children from several other homes who were studying in the high school also had to be withdrawn.
These were not isolated instances. Nanibai Raiyyat lost two houses in quick succession both built at great expense. Minia, whose husband expired 10 years ago, lost her house twice. No compensation was paid to her. Basantibai, an articulate woman, indignantly said that the Government had given all manners of assurances, but had not the decency to honour even one. She spoke of the displaced getting neither the employment nor property nor even alms.
Annilal, a landless labourer, spoke of some of the landless having been given 'pattas' (strips of land) but without adequate compensation having been negotiated. The duplicity or, if one wishes to be charitable, the inefficiency of the administration, was commented upon by Bhausingh of Batiwad. He said the Land Acquisition Officer pointed out sites, which the oustees were to occupy. They acted on his direction only to be faced with prosecutions, initiated by the Forest Department! Between 60 and 70 persons faced such prosecutions with the attendant harassment of lengthy trials. The persons prosecuted had to attend the distant Mandla court resulting in the waste of one full day's wages for each one of several hearings. This in addition to the actual expenses, which amounted to at least Rs.100/- per person, a king's ransom for a people already, pauperised by the State. On one unconscionable occasion, the whole lot was arrested. To secure bail each had to incur an expenditure of about Rs. 5, 000/-.
Sakarsingh of Kudwar even disclosed of instances where the administration refused to honour awards passed by the Civil Courts! Bupatsingh was one among many who were not compensated for wells, which had cost as much as Rs.30, 000/- to build. Kondi, relying on the word of the patwari, occupied a site pointed out by the latter. In fact, the site belonged to someone else and Kondi was thrown out. No alternative site was ever provided to him.
Dhansingh was promised compensation in two installments, the first of which was paid on June 16, 1990. He still awaits the second installment! Endless letters complaining of the nonpayment have inspired no response. The plight of those eking out a living, as fisherman is best exemplified by Munna Barman. He is from Piparia in Mandla district and apart from catching and selling fish he grew and sold vegetables. His income ranged from Rs. 1000/- to Rs. 1500/- per month. His area of operation became submerged and this has caused his income to fall to between Rs. 500 to 600/- per month. Adding insult to injury, even the right to catch the fish in the resultant reservoir has been denied such people. Worse, he is subjected to constant threats of violence and prosecution by the employees of contractors and those of the State Government.
A large number of those displaced have been forced into vocations to which they are temperamentally and physically unsuited. Social workers suggest this has adversely affected the health of many. Some such as Dabble and Gangaran are even said to have expired; though, this would be difficult to establish post facto.
Those in search of new lands acquired with the meagre compensation they received have not found the going easy either. The new habitations are at desolate locations, some accessible only by boat. Villagers say that the crafts are old, leaky, and unreliable and that they fear for the lives of their near and dear ones who must perforce use them to get around. Even travelling has become a nightmare said Harishchandra who narrated how, while being ferrying to work, two of his co-villagers drowned.
While negotiating, the road to Bijesan I was able to witness first hands the trials and tribulations of the villagers who had to get from one place to another. The road surface, is virtually non-existent, dotted by huge craters and is washed away in places. During the rains, the route is slushy and muddy. Off the road, quicksands and quagmires abound and several heads of cattle are said to have perished as a result. From a life in virtual paradise, the villagers have been delivered tragically to one characterised by penury. They have been done a grave injustice and it ill-behooves our nation to presume they can be ignored, while continuing along our path towards development.
By any measure, the plight in which the oustees find themselves is grim. Yet, the government continues to mislead us into believing that it is creating `ideal villages' for the resettlement of the oustees. To establish the truth for myself I visited one such village, Gorakhpur. Even from a distance, it looked for all purposes like a ghost village. It was only after we had reached the heart of the village and called out, that some tired and suspicious faces emerged from behind scrappy huts nearby.
Upon enquiry, we learned that the people had virtually no means of livelihood save for the collection and sale of deadwood, which yielded a mere Rs.6/- per day, per family. Gorakhpur did boast of one hand pump. However, that was all it had to show in terms of amenities provided to the people. One structure, which was supposed to house a school and a dispensary, was in a state of extreme disrepair.
I could not conceive of any teacher or medical personnel ever agreeing to spend extended periods working at the village. Little wonder then that the oustees's children attended no functioning school and that the people had no hospital or market available to them. To treat an ailment they had to cover a long distance by boat, cart and bus -- a marathon exercise at best. The so called ideal village did not provide employment easily and at Five starvation deaths were reported from Gorakhpur leading residents to make a plea for yet another alternate site to which they said they would migrate no sooner the 1993 monsoon was over.
CONCLUSION
It is strange that Narmada Project, pride of the Government of India and the largest multipurpose project of its kind in the world cannot even ensure something as basic as the adequate resettlement of the people it has decided to displace. While claiming to be the harbinger of prosperity, it has revealed itself, at Bargi, to be the graveyard of its most illustrious and innocent children. A callous administration has made matters worse by pretending that it is unaware of the steps expected of it to mitigate damage already done. What is even more appalling is that we seem poised to inflict a similar fate on many, many more people in the near future.
I am not surprised that the people I met were sullen and angry. I hold out a word of caution to the highest authorities in the State and Central governments. The situation I witnessed at Bargi cannot continue for long. I am deeply concerned that in the not-too-distant-future the patience, fortitude and non-violent attitude of the victims of Bargi might metamorphose into frustration and violence, prompted entirely by the forced breakdown of their social fabric. I dread to think of the consequences. In addition, dread even more to consider that Bargi might well be representative of the situation that prevails in thousands of places in India where our desire to `develop' has left a trail of social and environmental destruction.
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Between the Temple and the Baths – Anneka Freeman
The street in front of the baths was always swirling with people. The baths were the beating heart of the town, and the crowds flowed through them like blood. There were slaves, running errands for their masters, and masters sweeping through with all the self-importance they imagined was right. And there were simple people, neither slave owners nor masters, who wanted only a bath and a moment to meet with friends and business partners.
The only spot of stillness was beside the gate of the temple precinct, in the L-shaped corner where the wall of the temple precinct met the wall of the baths. A man stood there, stock still, his eyes far away. He was well-dressed in the Roman style, but a mass of red curls proclaimed that his ancestors — or at least some of his ancestors — had probably always come from this part of the empire.
"Magnius!" called a voice from the throng, but the man seemed not to hear it. "Magnius!" They called again, and a man limped out the crowds. The limping man wore fine clothes as well, but his face and hair were dark. He was wrapped in a heavy cloak, as if the chill and damp in the air bit at him more than the other bath-goers. "My friend, how are you?"
The red-haired Magnius started and blinked. He saw the cloaked man for the first time. "Lucius," he said, and gave a forced smile. "How are you?"
Lucius shrugged and shivered under his cloak. "Suffering as usual. The old wound plagues me in this weather. I miss the heat of Caurium on days like this." Lucius peered closely at Magnius. "Are you... entirely well, my friend?"
Magnius gave one slight nod, but his smile had faltered and vanished.
"I hear you are to be congratulated," Lucius said. "It is no easy thing to make a fortune in times like these, but I gather your investments are prospering."
Magnius said nothing to that.
Lucius cleared his throat, confused at his friend's silence. "Well... I've an appointment to keep,"
he said, angling his head towards the entrance to the baths. "I'll see you around, Magnius?"
"Yes," Magnius replied. "Vale, Lucius."
"Vale, Magnius." Lucius turned and left Magnius standing in the quiet space between the temple and the baths.
Nonetheless, the conversation pushed Magnius out of his stillness. He shook himself and turned, stepping through the gateway of the temple precinct and into the courtyard there. The altar stood just ahead of him, and beyond that, he could see the Corinthian front of the temple itself, with the glowering face above its pediment. According to his Roman father, it was in the shape of a Gorgon's head, and it would turn you to stone if you entered the temple without the goddess' blessing and permission. Only priests of Sulis Minerva were allowed inside.
But Magnius' mother had been Celtic, and along with her wild red hair she had given Magnius some of her stories. She said the face was the ancient guardian of Sul's springs, and his staring eyes could see any evil in your soul.
Magnius rather thought the poor fellow looked a bit confused, not sure whether to be a female gorgon or a male guardian, whether to turn you to stone or see into your soul. Magnius felt the same way, sometimes. He was half Roman and half Celtic, a citizen of the empire, but what kind of citizen?
Someone bumped into Magnius as they passed, recalling him to the present. The temple precinct was only barely quieter than the street outside, full of people moving this way and that, coming out of the Building of Luna, speaking with the man who was writing out curses on lead strips, and bustling around the steaming doorway off to the left that led to the sacred spring.
Again, Magnius moved away from the crowds and found a spot of stillness in the corner, near a side altar erected in honour of some priest from years past. He watched the crowds ebbing around the courtyard and didn't notice the man approaching him until he was within arm's reach.
"You seem troubled, young man."
Magnius jumped a little and looked — for a moment, his wide blue eyes and wild red curls made him look like the face above the temple — Gorgon or guardian, Roman or Celtic.
The man who had come up beside him was old— very old, by his white hair, deeply lined face, and bent back. But his smile was kind and the lining of his fine toga declared him to be a priest here, and a very senior one. There was only one man that this could be. "Gaius Calpurnius Receptus."
The priest smiled, his eyes all but vanishing into wrinkles. "You know my name," he said, apparently extremely pleased by that. But who didn't know Gaius Calpurnius Receptus? He'd been the priest of Sulis Minerva for a decade before Magnius was even born. "But I do not know yours, my son."
"Magnius Jucundus Rufus," Magnius replied automatically.
"Oh! You are the son of Magnius Jucundus Rostratus, you are Magnius the Red!"
Magnius sighed. As the elder Magnius had always been known by his nose, so the younger Magnius was known by his bright red hair. Rostratus meant "beaked" in Latin, and rufus meant "redhaired." He patted the unruly mass of it self-consciously, but the priest was still talking.
"You are Magnius the very fortunate, I hear," he said.
Magnius looked down, hands dropping to his sides. Aquae Sulis was not such a big town, after all. Everyone knew everyone, and rumours traveled fast. Of course Gaius Calpurnius would know of his successes. He stared at the slabs of stone under his feet and tried to think how to explain how unlucky he really was.
The priest was quick to read his silence. "Or perhaps not so fortunate. What troubles you?"
Magnius looked up, looking much older than he really was. He looked haunted. "I think... I fear that I am cursed."
Gaius Calpurnius looked suddenly very grave. "That is a serious matter. Do you know who has cursed you?"
Magnius shook his head.
The priest considered this for a moment. A few feet away, a lesser official was attempting to get his attention, but Gaius Calpurnius waved him away. "It is all over the town that you have recently come into a great deal of money. Money may come with enemies, if it is acquired unscrupulously."
"I have done nothing wrong!" Magnius declared. "If I knew who had cursed me, I would give them the money, gladly. It is no treasure to me. But no one has confronted me. Even my competitors have nothing but congratulations."
Gaius Calpurnius folded his hands in front of him and rocked back on his heels, as he always did when considering a serious matter. "Curses are not always what they seem, and the gods have minds of their own. They are capable of laying a curse without being asked to do so, and frequently, those curses are the worst. And the most difficult to clear."
Magnius looked up, horrified. "You think the gods themselves have cursed me? Why? What have I done?"
"I do not know if that is the case. And I do not know what you have done. There is only one who knows that." The priest smiled sadly and waved a hand to the left, towards the door of the sacred spring, the home of the goddess herself.
Magnius' eyes followed the gesture and he swallowed nervously. The thought that Sulis Minerva herself might be angry with him made his stomach squirm. How could he escape the anger of a goddess? He felt very small and afraid.
Gaius Calpurnius laid his hand on Magnius' shoulder. "There is never harm in asking for forgiveness," he said. "The goddess is wise, and never unjust."
Magnius nodded.
"I will leave you to think," the priest said, and then turned away, finally going over to the official who'd been waiting for him so impatiently. There was to be a sacrifice shortly, and both the priest and the haruspex would be needed. People were already beginning to crowd around the altar, and they would have to be cleared away so the procession could take place.
While the officials began to urge people to move back, to make space, Magnius edged towards the door to the sacred spring. He barely heard the orders that were called, barely noticed the people around him. He was focused on the doorway, the steam curling out of it and vanishing into the cool air. What if the goddess really was angry? What if she struck him down the moment he entered the space? What if she dragged him into the spring, never to be seen again?
He closed his eyes as he stepped across the threshold, and felt the warm, steamy atmosphere of the place wash over him.
Nothing happened. No lightning, no divine hands dragging him down, no terrible retribution. He opened his eyes.
The interior of the sacred spring building was dark and full of quiet, echoing drips. It seemed that all the people had gone out to watch the sacrifice, because the room was empty. His eyes gradually adjusted to the dim light from the candles and from a few narrow windows high above. The water was dark, its surface roiling with bubbles. Steam coiled up through the air to the roof of the building, where it collected and dripped back down in a perpetual, gentle rain. It did not feel like retribution in here. It felt like a summer day after a thunderstorm; humid but still now, and warm.
In the spring building stood a statue of the goddess: a beautiful statue so lifelike he could almost see her breathing. The colour painted onto her marble cheeks was softly pink, and her grey eyes seemed to glitter in the darkness. She seemed to be walking on the water, and she stared over his head with cool and distant dignity. Her crested helmet gleamed in the dim light, and the spear in her hand looked sharp, but her gaze was not threatening. She looked ready to listen to his request.
Movement caught his eye. The sacred spring connected the temple complex to the bath complex, and as he looked, a girl appeared there in the viewing area from the baths. She couldn't have been more than thirteen years old, and she wore the simple garb of a slave. Her eyes and hair were dark, but he couldn't quite tell if she was Roman or Celtic or something else entirely. She leaned out of the viewing window and squeezed her eyes shut a moment before tossing something into the water. A curse or an offering, he did not know.
Then she opened her eyes and saw him there. Her eyes widened as she recognized that he wore the clothes of a free man, and a rich one. She jerked back, like she was about to run.
"Don't go!" Magnius said, holding out a hand. She froze on the spot, not daring to disobey a direct order. "Sorry," he said, and her eyes widened. "Forgive me, I did not mean to interrupt your prayers."
The slave blinked in surprise. "Nor I yours," she said. Her accent was strange. She looked uncomfortable. "It is not often that a master apologizes to a slave," she noted, carefully, like she thought he might shout at her.
He smiled thinly. "I suppose it isn't. But my mother was a slave."
Her eyes widened and she leaned out of the sill again, staring across the water at him with sudden eagerness. "Were you?"
Magnius laughed. "No, never. My father freed her before he married her. I was born free."
"That would be quite a thing, to have your children be free," the slave girl whispered, but her words echoed loudly in the space.
A sudden frown quirked at the corners of his mouth, pulling them down. "Yes. It would, I think. My mother thought so." He looked down and swallowed thickly. Sudden tears filled his eyes and he swiped at his cheeks.
"Are you alright, master?" asked the slave girl.
Magnius nodded. Then he shook his head suddenly. "I had a daughter," he said, quietly. "She was a slave, but she was mine. I freed her, adopted her, but... She is dead now. She was only eighteen months old."
The slave girl considered this, just as gravely as the priest outside had considered the news that Magnius believed himself to be cursed. "I am sorry."
"I feel that it is my fault somehow," Magnius confessed. "I fear that I have angered the goddess and this is her punishment."
"Have you done anything to upset her? I knew a boy who shot down an owl to prove he could and the goddess cursed him with stuttering," the girl said seriously.
Magnius shook his head. "I don't know-- I am a pious man, and I have had good fortune in all other things," he said, still rubbing tears from his eyes. "My investments have prospered, I was able to afford new slaves—"
"Including your daughter's mother?"
Magnius looked up at the girl and nodded mutely.
The girl looked uncomfortable again. "And... you freed her daughter."
"I did."
"But... you didn't free her first?" she asked, hesitantly.
Magnius blinked. He hadn't thought of that. He frowned. "She hasn't... she never asked."
The slave girl gave him a pitying look. "Master, a slave can never ask."
Magnius stared down at the bubbling water. His mother would have scolded him roundly for being so thoughtless. His lovely Mercatilla, and his beautiful daughter, who he'd named after her. She'd said that to have a freed child was the greatest gift she had ever been given. But perhaps that was because she'd never been given enough.
Yes, he would free her. Then they could be married, if she wished it. They would leave this place together, find a new home, and start again. Surely that would lift the curse?
"Set that right," the slave girl advised him. "And I wager your luck will turn." She leaned back from the sill of the viewing window. "You might want to leave a sacrifice, though, just in case."
Magnius would give anything, everything, to lift the curse and be happy again, with his Mercatilla. But what could he give that would be grand enough?
He thought of bags of coins lying safe in his house. More than he needed. More than he could ever use. In that moment, he decided. He would take only enough to support himself and to give Mercatilla every comfort. Then he would return the rest to the goddess.
But he could hardly haul all his bags of coins in here, to the temple precinct. He'd never make it that far without being robbed. Then he remembered something his mother had always said. That anything buried found its way to Sulis eventually. He had a house, didn't he? And a box and bags and a shovel. He would take what he needed and bury the rest. Sulis Minerva would know that it was for her and leave him in peace.
He glanced at the face of the goddess. She seemed to be smiling. He looked to the slave girl, and saw that she was smiling the exact same smile: cool and reasonable and forgiving.
"Thank you," he said, and he didn't know which one he was thanking. Or maybe they were one in the same.
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Performance of a Reverse Osmosis System when Reclaiming High pH - High Temperature Wastewater
Rich Franks Manger of RO Applications and Technical Support Hydranautics Oceanside, CA
Craig Bartels PhD Vice President of Technology Hydranautics Oceanside, CA
LNSP Nagghappan Technical Director Veolia Water Solutions & Technologies Moon Township, PA
Abstract
The performance of the RO membrane when reclaiming high fouling produced water at an elevated pH and temperature is distinctive from more common municipal wastewaters. This unique process offers an opportunity to better understand RO membrane salt passage and durability, as well as RO element and system design, at more extreme conditions. The purpose of this paper is to discuss the characteristics of the RO membrane in a system reclaiming high pH/high temperature produced water from the oil and gas extraction process. This characterization will be based on laboratory studies, pilot studies, and actual plant performance.
In addition to understanding salt passage when treating high pH water, a better understanding of membrane longevity is necessary considering the high pH and high temperature operation associated with this process. Operation at high pH can mitigate organic fouling of the RO and act as a kind of continuous cleaning. But exposure to high pH can also adversely affect the integrity of the membrane's polyester support. An analysis of flow, salt passage, and strength was performed to characterize the effects of long term exposure of the membrane to these extreme conditions.
Introduction
Produced water is that water which is brought to the surface as part of the oil and gas extraction process. The produced water contains a high level of dissolved salts and other organic and inorganic contaminants. The concentration of these contaminants can vary significantly due to natural variations in the geologic formations and due to the type of oil based product being produced. Not only does the poor quality make produced water a challenge, but the large quantities make handling difficult as well. The volume of produced water can be as much as ten times the volume of oil extracted.
The typical method for dealing with produced water is deep well injection. A portion of the produced water is reinjected into oil producing zones to improve oil recovery through water or steam flooding. Another portion of the produced water is disposed of through deep well injection. Deep well injection is limited by the capacity of the injection wells which in turn limits the oil field productivity and results in decreased revenue. As far back as the 1990s, processes for reclaiming and reusing the produced water were researched and piloted (Bartels and Dyke, 1990, Tao et. all, 1993). These processes were shown to be effective, but were never widely used due to their high cost relative to the then low cost of oil. However, due to the increase in oil prices in recent years, with oil climbing above $150 a barrel in 2008, there has been a renewed interest in processes to reclaim and reuse the produced water and therefore increase oil production. Since the 1990s, the technologies have also improved to make treating produced water more economically attractive to the oil companies. Several treatment technologies, including membranes, are used to treat produced water for environmental and agricultural reuse. Among these technologies is desalination by reverse osmosis. Specifically, reverse osmosis membranes are used as one of the final treatment steps after oil, grease, solids and hardness removal and pH elevation. The RO step is designed to remove the remaining dissolved salts and organics, including sodium, silica and boron.
Produced water characteristics
The specific characteristics of produced water vary depending on the age and geology of the formation, but most produced waters contain contaminants that pose a challenge to the successful long term operation of the RO. These contaminants include suspended silt and clay, suspended oil droplets, dissolved organics such as acetic acid and acetone, dissolved gases such as hydrogen sulfide, heavy metals, and sparingly soluble salts. The temperature of the produced water can also pose a challenge to the RO system. The practice of steam injection can increase water temperatures to as high as 80 C while the RO membrane is limited to less than 40 C. Table 1 below compares the produced water characteristics from two different sites in North America.
Table 1. Example of produced waters from two locations in North America.
| pH | 7.0-7.5 |
|---|---|
| Temperature (C) | 80 |
| Calcium | 620 |
| Magnesium | 110 |
| Sodium | 5,088 |
| Potassium | 95 |
| Strontium | 15 |
| Bicarbonate | 561 |
| Carbonate | 0.6 |
| Sulfate | 2,150 |
| Chloride | 7,800 |
| Silica | 100 |
| Boron | 3.5 |
| Total Dissolved Solids (TDS) | 16,000 |
| Total Suspended Solids (TSS) | 55.0 |
| Soluble Organics | 30 |
| Methyl Ethyl Ketone | 1.0 |
| Acetone | 5.0 |
Pretreatment before RO
Extensive pretreatment is required for stable operation of the RO. The following technologies can be employed to reduce or eliminate oil and grease, hardness, metals, temperature, and suspended solids:
* Free Oil. Free Oil concentrations as high as 100 ppm can be reduced using induced gas floatation (IGF) , wallnut shell filters, or American Petroleum Institute (API) separators, to levels less than 1.0 ppm.
* Hardness and heavy metals. Softening and metal removal can be achieved through chemical softening and settling and ion exchange softening. Hardness levels will be reduced below 0.1 ppm as CaCO3. Calcium levels will be as low as 0.08 ppm CaCO3 and magnesium levels will be around 0.02 ppm CaCO3.
* Temperature. Because steam injection is often used as part of the oil extraction process, it may be necessary to reduce temperatures using a heat exchanger. Temperatures as high as 80 C must be reduced below 40 C before sending to the RO.
* Suspended solids. Suspended solid concentration in the raw water to an RO system can exceed 50 ppm. With sufficient pretreatment in the form of multi media filters, the suspended solids concentration can be reduced below 0.5 ppm. The Silt Density Index is less than 4.0 for stable RO performance.
Effect of High pH Operation
The final step before the RO involves operating the RO at elevated pH condition. Feed water to the RO is increased in the pretreatment steps from a neutral pH to a pH of 10 to 11. Increasing the pH of the feed impacts both the water chemistry and characteristics of the RO membrane. Increasing pH can change the water chemistry by affecting charge, size or solubility of specific constituents in the feed. Increasing pH can also influence the charge of an RO membrane and open the highly crosslinked molecules that form the polyamide structure. These changes in water chemistry and membrane characteristics can be used to the advantage of the designer of an RO system by improving rejection, increasing recovery and reducing fouling.
Boron
At a pH of 7, when boron is present in the form of boric acid, B(OH)3, the RO membrane rejects only 50% to 93% of the boron, depending on membrane type. The ionization equilibrium of boric acid, a very weak acid, is represented as:
B(OH)3 (aq) +H2O = H+(aq) +B(OH)4- (aq)
Equation 1
The lack of charge and small size of the boric acid molecule results in this poor rejection. But at higher pH, boron is present as the borate ion, B(OH)4- ,which is well rejected due to its larger radius and negative charge. As Figure 1 indicates, at a pH of 10, the RO membrane can reject as much as 99% of the boron. The removal of boron is especially important for reuse applications involving irrigation of citrus crops or involving certain industrial applications in the microelectronics industry.
Silica
The water chemistry of silica is a complex. Just as TOC reports the total concentration of organics as carbon without detailing the specific organic compounds, silica reports the total concentration of silicon (as silica) without detailing what silicon compounds are present. The "Total Silica" content of water is composed of "Reactive Silica" and "Unreactive Silica". Reactive silica, Si(OH)4, is the form most desirable for stable RO operation. Reactive silica is monomeric and contains a single silicon atom. Also referred to as monsilicic acid, the reactive silica is only slightly ionized at neutral pH. At pH of 8.5, only 10% of the reactive silica is ionized. As pH is increased to 10, as much as 50% of the reactive silica becomes ionized (Sheikholeslami et. all, 2002). This high degree of ionization at the higher pH has the combined benefit of preventing polymerization of the SiO2, and therefore reducing the tendency to scale, while also increasing the rejection of the SiO2 by the negatively charged membrane. (Bremere et all, 2000). Figure 2 below shows this effect of increasing pH on the passage of silica through the membrane.
The test was done on a single RO element treating a concentrated city water of 2,000 mg/L. The element was run at a flux of 13 gfd and a recovery of 10%. The pH was increased using caustic soda. At the city water ambient pH of 8.1, the silica passage is 0.92%. This is twice the passage of a charged chloride ion at that pH. At the higher pH of 11, the passage of the more ionized silica drops to 0.4% - a passage value similar to that of the chloride ion.
The change in SiO2 rejection as a function of pH corresponds to the change in SiO2 solubility vs pH as shown in Figure 3 below.
Figure 2. Effect of pH on silica rejection through a reverse osmosis membrane.
Organics
Typical constituents found in the produced water include not only the dissolved salts such as sodium, calcium, silica, and chloride but also dissolved organic molecules such as natural occurring matter (NOM), and halogenated by-products. The most common soluble organics found in produced waters include low molecular weight carboxylic
acids and volatile hydrocarbons (Bartels and Dyke, 1990). While the RO and NF membranes are designed to remove such dissolved species, certain organic contaminants in a produced water can be damaging to a composite membrane. There are a wide variety of chemicals which swell or dissolve polysulfone material used as a supporting layer. Chemicals in this class which can rapidly damage a membrane include all aprotic solvents such as dimethyl formamide (DMF), dimethyl acedimide (DMAc), n-methyl pyrrolidone (NMP), dimethyl sulfoxide (DMSO), etc. Likewise, polysulfone can be swollen or dissolved by many ketones, aldehydes, esters, and strong ethers. Aromatic hydrocarbons such as benzene, toluene, xylene, and phenol are also damaging to the polysulfone layer. There are also a wide variety of mixed chemicals which are damaging, such as diesel fuel and gasoline. If the membrane is exposed to high concentrations, >50 ppb levels, the membrane can lose its mechanical strength in a relatively short time. Exposure to this type of contaminant will not be seen initially. However, when the strength of the membrane reaches a critical minimum point, the salt passage can go up dramatically.
Like silica, organics tend to increase in solubility at high pH. This increase in solubility serves to limit organic fouling with running at high pH and act as a continual high pH cleaning on the membranes. The change in organic solubility as a function of pH is shown in Figure 4 for a napthenic acid.
Membrane Characteristics
Studies have been done to characterize the passage of salts through nano filtration membranes (Szabolcs et. al, 2002). The effect of passage through these membranes varies at different pH due to the corresponding variation in membrane charge. (Figure 5). Of the three membranes shown, membrane C is characteristic of a typical polyamide RO membrane used for treating the high pH produced waters.
At low pH the hydrogen ion attaches to the membrane's negative carboxyl groups and neutralizes the charge of the membrane. The absence of a negative charge at low pH reduces the membrane's ion rejection. At neutral and high pH, the absence of the hydrogen ion attached to the membrane's carboxyl groups, results in a negatively charged membrane. The presence of a negative charge improves the rejection at neutral pH.
At high pH, the membrane retains its negative charge. However, as pH increases and the hydroxyl ion concentration increases, the carboxyl groups on membranes surface are repelled or opened and the membrane "swells". This "swelling" effect increases the passage of certain ions. Hydroxyl ions (OH-), for example, pass through the membrane more readily than chloride ions (Cl-). This is evidenced by a negligible decrease in pH in the permeate of a produced water RO systems when running at high pH. At one site running at pH greater than 10.5, the pH in the permeate of the RO system actually increased to more than 11.
Along with the high passage of hydroxyl ions, an increase in the passage of sodium is also seen. The sodium acts as the counter ion to the hydroxyl ions in order to maintain charge neutrality in the permeate. Controlled studies were done on single elements running at 15 gfd flux. These studies used both membrane B and membrane C treating a 1000 ppm sodium chloride solution with caustic soda injected to increase pH. Figure 6 shows the significant increase in sodium passage relative to chloride passage as pH is increased above pH=10. In the case of membrane C, the sodium passage was 7.5 times that of the chloride passage.
Membrane Life
The polyamide thin film composite membranes are suitable for purification of feed streams containing a wide variety of dissolved contaminants. A composite membrane, as shown in Figure 7, is a three layer structure that is comprised of a 0.2 micron crosslinked polyamide layer, a 50 micron porous polysulfone layer, and a 150 micron thick polyester fabric support layer. The characteristics of each layer results in certain feedwater limitations. For example, it is well known that the chemical structure of the top polyamide layer is incompatible with oxidants such as chlorine, ozone, bromine and peroxide. These chemicals cause a progressive "opening" of the polyamide which results in higher salt passage and higher water permeability.
Other limitations on useful membrane life are related to the characteristics of the polyester support layer. Exposure to high pH and high temperature over an extended operating period, will lead to the hydrolysis of the polyester chains and a weakening of the fabric. The polyamide layer is actually more durable than the polyester when exposed to a combination of high pH and high temperature.
To demonstrate this effect in a controlled setting, samples of polyamide membrane from two different membrane manufactures were placed in three different solutions. Each of the three solutions was maintained at 35C and contained 1500 ppm NaCl in deionized water. The pH of each of the three solutions was maintained at pH=7, pH=10, and pH=13. After soaking for a designated period of one day and one month, samples of each membrane were extracted from each solution and tested for tensile strength. The results of the strength test for membrane 1 is shown in Figure 8 and the results for membrane 2 is shown in Figure 9. The strength of each test is given relative to the maximum force (kg) before failure at a pH of 7. The reference failure strength for membrane 1 is 26 kg. The reference failure strength for membrane 2 is 18 kg. The polyester support maintained its original strength at pH=11 and 35 C for up to one month. A weakening of the membrane did not occur until one month of exposure at pH=13. After one month of exposure to pH 13 and temperature of 35, membrane 1 failed at 60% of the reference strength. Membrane 2 failed at 67% of the reference strength. This was true regardless of which membrane was tested since all membrane manufactures use a similar polyester support layer.
Figure 9. Effect of pH on Membrane 2 strength after exposure to different pH solutions at 35 C for a period of one day and one month. Results are presented relative to strength test at pH=7.
In addition to the strength tests, additional membrane samples were also cell tested to determine any change in rejection after exposure to high pH and high temperature. Cell testing was performed under standard test conditions of 32,000 ppm NaCl at temperature of 25C and pH= 7. The results of the cell test for membrane 1 are shown in Figure 10 while the results of cell testing for membrane 2 are shown in Figure 11. Membrane 1 demonstrated a very stable and consistent rejection between day 1 and
pH=7 and day 30 and pH=13. Membrane 2 rejection varied widely for each of the different solutions and exposure times. Due to these variations, no pattern could be established to suggest that the longer exposure and higher pH had any adverse effect on rejection of membrane 2.
Figure 11. Effect of pH on Membrane 2 rejection after exposure to different pH solutions at 35 C for a period of one day and one month.
RO System Design
An RO system is designed to accommodate the challenging produced water feed while taking advantaged of the softened water and high pH conditions. Despite the extensive pretreatment, the average system flux is similar to a municipal wastewater RO at 10 gfd to 12 gfd. The more conservative flux will avoid particulate fouling, maintain stable performance, and reduce cleaning frequencies.
System recoveries can range from 75% to 90%. The ability to design for high recoveries is due to the removal of hardness, which reduces the potential for CaCO3 scaling, and the increase in pH, which reduces the potential for SiO2 scaling. Calcium carbonate scaling is measured by the Langlier Saturation Index (LSI). A combination of antiscalant and an LSI below 1.8 is necessary to control calcium carbonate scaling.
Assuming the pretreatment sufficiently reduces hardness to less than 0.1 ppm as CaCO3, then the other limiting factor for recovery may be the SiO2 concentration in the concentrate stream. Based on the SiO2 solubility curve in Figure 3, the SiO2 concentration in the concentrate should be kept below 720 ppm at pH of 11.2 in the concentrate. Because the SiO2 saturation decreases so rapidly with decreasing pH, it is essential that the produced water system be designed with real time monitoring safeguards and alarms on its caustic injection system. If the potential for CaCO3 scaling and SiO2 scaling is controlled, then the limit on recovery will depend primarily on osmotic pressure limitations. The maximum pressure for brackish elements is 600 psi and the maximum pressure for seawater elements is 1200 psi.
In order to maintain sufficient cross flow in the spiral RO elements, the RO design at high recovery may require a two or three stages with six to seven elements per vessel.
The number of stages selected depends on the target recovery. The lower recovery of 75% to 85% may require only two stages. A higher recovery design between 85% and 90% may require a three stage design. Regardless of the number of stages selected, the minimum concentrate flow from each stage should be no less than 12 gpm per vessel.
A comparison of two different RO system design and performance can be seen in Table 2. Both RO systems use similar pretreatments to reduce hardness, suspended solids and oil and grease. Both systems reclaim high pH, high temperature produced water.
Table 2. Two RO systems reclaiming high pH, high temperature water.
| | Site A (USA) | Site B (Mexico) |
|---|---|---|
| Membrane | CPA4 | CPA4 |
| Brine Spacer (mil) | 31 | 31 |
| Flux (gfd) | 10.8 | 10.8 |
| Rec (%) | 80.5 | 80.5 |
| RO Feed | | |
| pH (feed) | 10.7 | 10.7 |
| Temperature (C) | 21 | 27 |
| Sodium (mg/L) | 3110 | 972 |
| Chloride(mg/L) | 2912 | 723 |
| Silica(mg/L) | 92 | 23 |
| Boron(mg/L) | 30 | 0.2 |
| TOC(mg/L) | 84 | 29 |
| Total Dissolved Solids (mg/L) | 7900 | 2500 |
| Perm | | |
| pH (perm) | 11.2 | 9.9 |
| Sodium (mg/L) | 125 | 12.6 |
| Chloride (mg/L) | 102 | 12.4 |
| Silica (mg/L) | 0.53 | 1.4 |
| Boron (mg/L) | 6.6 | ND |
| TOC (mg/L) | 1.97 | 1.8 |
| Use | Environmental | Industrial Reuse |
RO Element Design
Even with extensive pretreatment, there is potential for fouling in the RO from suspended or colloidal material when treating produced water. To address this fouling potential, a spiral wound RO element with a thicker brine spacer can be selected. Typical brine spacer thickness is 26 mil or 28 mil. The design of a an RO element with a 31mil or 34 mil brine spacer will increase the height of the flow channel by as much as 30% - allowing particulates to more easily pass without becoming trapped in the spacer mesh. The use of thicker spacer also leads to more effective cleanings. A field study done using elements of varying thickness illustrates the advantages of the thicker brine spacer. The study was done on high fouling water with average SDI between 4 and 5. Three separate runs were completed. Each of the three runs lasted more than 250 days and used different spiral elements with brine spacer thicknesses of 28 mil, 31mil, and 34 mil. Performance parameters were monitored and a periodic clean in place (CIP) was initiated as necessary. Figure 12 below shows the advantage of more stable differential pressures and fewer CIPs when using the thicker spacer. In the case of the 34 mil spacer, no cleanings were required during the 250 day test period.
In the past, the increase in brine spacer thickness was accompanied by a decrease in membrane area. RO elements with a standard 8 inch diameter and a 26 mil spacer would contain approximately 400 square feet of membrane area. If a thicker, 34 mil spacer was used, the membrane area would be reduced to 365 sq ft. But the move by most membrane manufactures to automated manufacturing means that an element can be designed with 34 mil spacer while still maintaining 400 sq ft. This is achieved in part by the more accurate placement of glue lines on the membrane sheets.
Conclusion
The renewed interest in the reclamation of produced water at high pH affords an opportunity to understand the behavior of RO membranes operating at extreme conditions. This improved understanding can be applied to new, challenging reclamation applications that may benefit from RO operation at high pH. Based on laboratory testing and field performance, the increase in pH has been shown to benefit RO performance by:
* Improving boron rejection. Produced waters containing boron can be treated with an RO at pH greater than 10 and increase boron rejection from 93% to greater than 99%.
* Improving silica rejection. By increasing pH from neutral to pH 11, silica rejection has been shown to increase from 99.1% to 99.6% - a rejection similar to the chloride ion.
* Operating at higher recoveries. Operation at high pH allows the system to run at high recoveries without silica scaling. At pH of 11.4, RO systems in the field have run with silica levels as high as 720 ppm in the concentrate without scaling.
* Avoiding organic fouling. At high pH, organics become more soluble. Laboratory testing has shown organic solubility to increase by more than seven times at pH greater than 10. Systems with feed TOC greater than 80 ppm have been shown to perform stably with no sign of organic fouling.
Though there are many benefits to operating the RO at high pH, there are also challenges to be considered:
* Membrane life. In a 30 day laboratory test, high pH combined with high temperature has been shown to impact the strength of the membrane's polyester backing before impacting the integrity of the membrane's polyamide rejection layer. This weakening of the backing would eventually affect membrane performance. However, a system running for more than one year at a pH of 10.7 and a temperature of 35 C has shown very stable performance.
* Increase in ion passage. The increase in pH will increase the passage of some ions. Both in the field and in laboratory testing, the passage of the sodium ion increases by seven to ten times its passage at neutral pH.
Regardless of challenges associated with using an RO to reclaim water at high pH conditions, the need to reclaim more challenging waste streams is leading to an increasing number of these applications. As more water, including produced water, is reclaimed at high pH, an improved understanding of the membrane's behavior will allow for those challenges to be addressed.
Acknowledgments
The authors would like to acknowledge J. Rockoff and R. Guial for their help in carrying out the experimental work.
References
Bartels, C. and Dyke C., (1990), "Removal of Organics from Offshore Produced Water Using Nanofiltration Membrane Technology", Environmental Progress (Vol 9, No. 3).
Bremere, I., Kennedy, M., Mhyio, S., Jaljuli, A., Witkamp, G., Schippers, J., (2000), "Prevention of Silica Scale in Membrane Systems : Removal of Monomer and Polymer Silica", Desalination 132, pp 89-100.
Nagghappan, LNSP, (2006), "Desalination of Produced Water Using OPUS Technology", International Water Conference, Pittsburg, PA.
Sheikholeslami, R., Al-Mutaz, I.S., Tan, S., Tan, S.D., (2002), "Some Aspects of Silica Polymerization and Fouling and its Pretreatment by Sodium Alumina, Lime, and Soda Ash", Desalination 150, pp 85-92.
Szabolcs, S., Gyorgy, P., Laszlo, W., (2002), "Characteristics of Thin-film Nanofiltration Membranes at Various pH-values", Desalination 151, pp 123-129.
Tao, F.T., Curtice, S., Hobbs, R., Sides, J., Wieser, J., Dyke, C., Touhey, D., Pilger, P., (1993), "Conversion of Oilfield Produced Water Into an Irrigation/Drinking Quality Water", Society of Petroleum Engineers Exploration and Production Environmental Conference, San Antonio, TX.
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PARENT HANDBOOK 2018 - 2019
A BEACON OF LITERACY
RED HOUSE RUN ELEMENTARY SCHOOL
1717 Weyburn Road Baltimore, Maryland 21237
Phone: 410-887-0506
Fax: 410-887-0507
Fax: 410-887-0507
Health Suite: 410-866-9315
Principal: Drue K. Whitney (firstname.lastname@example.org)
Assistant Principal: Christina J. Davis
(email@example.com)
Administrative Secretary: Diane Karpus
(firstname.lastname@example.org)
Clerical Secretary: Lynnette S. Wilson (email@example.com)
PTA President: Amanda McKinney (firstname.lastname@example.org)
School Hours
Pre-Kindergarten – Grade 5
8:45 a.m. – 3:20 p.m.
Arrival
The entrance bell rings at 8:30 a.m. Students should not arrive before 8:20 a.m., as there is no supervision available until the bell rings. Breakfast for all students will now be served in classrooms free of charge. All students, including those from the Pavilion and modular buildings, must enter the building by the front door of the main school building. In order to ensure effectual instruction, students should be in their classrooms and ready to begin their school day by 8:45 a.m. Parents who drop their children off in the morning are requested to remain outside the building or in the lobby during morning arrival; children need to begin establishing independence and responsibility for themselves. An important step in this process, especially for young children, is allowing them to enter the school building on their own and handling the morning routine in a timely fashion. Most of our kindergarten students are capable of finding their way to the classroom and putting things in their lockers; other students should be more than capable of handling these tasks. During the first few days of school extra staff will be available to guide youngsters to their classrooms.
Late Arrival
Students arriving after 8:45 a.m. will be considered tardy and must report to the office to obtain a late slip before going to their classroom. Parents are expected to come to the office with their child to sign him/her in. Please do not just drop your child off after 8:45.
Dismissal
Afternoon announcements begin at 3:15 p.m. Walkers and car riders will be dismissed immediately thereafter, followed by bus riders. All students, including those from the Pavilion and modular buildings, will exit the building by the front door of the main school building. During afternoon dismissal, we ask that parents who pick up their children make arrangements to meet them outside. Parents will not be allowed in the hallways or classrooms. The last five minutes of the day are extremely important, as it is the time when students are receiving last minute instructions about many things, such as homework assignments for the following day. When parents wait for their children in the halls students may become distracted by their appearance or conversations that can ensue. Teachers are off duty by 3:35 p.m. All students, not traveling by bus, must be picked up by that time.
Emergency Contact Information
It is extremely important that you report any changes regarding your contact information to the school office in writing as soon as possible.
Attendance
For academic achievement to occur it is vital that children consistently attend school. If your child is not ill, please make every effort to send him/her to school. If you have a question regarding the attendance of your child, please call the school nurse. Attendance is monitored.
Early Dismissal
Students being dismissed early (before 3:20 p.m.) must be signed out in the main office by a parent or legal guardian only. Please do not go directly to your child's classroom. Please come to the office, sign your child out; we will call for your child to meet you in the office. **For the safety of all children, students may not be taken from the school facility or grounds without first coming to the office.
If it is known in advance that your child will be leaving early, please send a note to his/her teacher that morning stating the time and who will pick up your child. The child will be sent to the office when the parent or guardian arrives. If the child will be returning, he/she is to come back to the office to be signed in.
BCPS One-card Identification system
All students are expected to wear their identification badges on a daily basis. If a student loses his/her identification card and lanyard, it must be replaced with a charge of $5.00 per incident.
School Etiquette
For a positive learning environment in our school building, we ask that you please adhere to these courtesy and safety reminders:
- Refrain from all cell phone use in the schoolhouse. Cell phone usage is not allowed outside of the lobby and office area.
- Due to privacy issues, please do not take any pictures/videos without consent of your child's teacher.
- When visiting your child's classroom, please do not interrupt instruction. You are welcome to sit in the back of the room, and observe quietly.
- Teachers are not permitted to have conversations with families during instruction/class time. Conferences can be set up for a mutually agreeable time.
- Official school time is 8:30 a.m. - 3:35 p.m. Faculty and staff are on duty, and engaged, during these hours. Please do not drop off your child or allow your child to leave your vehicle unattended. This is for your child's safety.
Classroom Visitations for Parents
As always, we WELCOME parents to come observe instruction, but we also want to keep our children safe. As you know more and more, precautions are being put into effect every day for this purpose.
Rule 1240 from Baltimore County Public Schools states that: "An authorized school visitor is a person (not a student of the school or an identified employee or volunteer or Baltimore County Public Schools (BCPS) on official business) who has legitimate school business, to include, but not limited to parent-teacher conferences, pre-arranged classroom visits, attendance at other school events, or appointments with school employees."
In order to follow the policy (and keep children safe), we are asking you to set up an appointment with the teacher to observe or volunteer in the classroom. The easiest way to do this is through email with the teacher. Please allow the teacher 24 hours to respond to your request. Further, if you would like to observe your child for a prolonged period of time, please contact the office at least 24 hours before the desired visit.
When you do visit, it is important to observe instruction without interrupting the class. Parent conferences need to be set up at another time. Teachers cannot stop to talk. This takes their eyes, ears, and focus off the children. Again, we have to keep the children safe and learning.
Thanks to all for your help in the matter.
Parking Lot and Driveway
Our parking lot can become very congested at arrival and dismissal times. In the interest of the safety of our children, we request that you adhere to the following:
- Traffic must flow in one direction only, following the arrows.
- Students who are being dropped off or picked up must get in or out of their cars at the curb at the entrance to the parking lot. Parking is not allowed along this curb.
- Parking is available in the spaces marked and along the outer curb only. If you are not parked in a pre-determined spot, you may not leave your car unattended. Additional parking is available on Weyburn Road. Parents are asked to observe the "No Parking" signs which are posted in front of the Pavilion.
- The lane nearest to the school is reserved for buses only.
- Students may only cross the bus lane at the crosswalk, where a teacher will be on duty at arrival and dismissal times. Students may not cross the parking lot without a parent.
- While we realize that the parking lot situation may be frustrating at times, remember…adults are role models for all of our children. Please conduct yourself with the utmost decorum at all times.
Your cooperation is greatly appreciated, and will help us maintain the safe arrival and dismissal of our students.
The School Building and Grounds
Office Hours
The school office is open from 8:00 a.m. – 4:00 p.m. on weekdays only. It is closed during school-year vacations.
If you find that you will be late picking-up your child from school, please be so kind to notify the office as soon as you are aware of your transportation situation.
Parent or Visitor Check-In
For the safety of our children, it is important for someone in the front office to know when visitors are in the building. You must check-in before traveling anywhere in the building and obtain a Visitor's Pass from the office.
If you need to deliver anything to your child during the school day, such as a forgotten lunch or book, please leave it with a secretary in the office, and she will see that your child gets it.
VSoft by RAPTOR Sign-In-System for Parents
The safety of all students and staff in Baltimore County Public Schools is of utmost importance to all of us. Our school is utilizing a system for checking in all visitors. The system is called V-soft by Raptor Ware or Raptor. When you visit our school for the first time, you will be asked to present a government-issued photo ID, or a driver's license to a staff member in the school office. The ID will be scanned and the following information will be collected: your photo, your name and your date of birth. This information will be utilized to check you in, create an ID badge, and compare your information against sexual offender databases throughout the country. If your name appears on any lists, or you refuse to allow the school to scan your ID, you will not be allowed to access the school.
Smoking
Baltimore County Public Schools is committed to providing a healthy, comfortable, and productive work environment for its students and employees. Due to the evidence concerning the health effects of tobacco use, smoking, and passive smoke, the use of tobacco in any form in school buildings, on school property (including the parking lot) and at school-sponsored functions (including field trips) is prohibited at all times.
Bicycles
A bicycle rack is available for students who wish to ride their bikes to school. Please discuss with your children the importance of securing their bicycles with a heavy duty lock, chain and/or security device in order to ensure their safe-keeping, as the school cannot be held responsible for damage or loss. Permission slips for bike riders are available in the office. Maryland law requires that children wear a helmet every time they ride a bike.
Transportation
Parent's Role in Pupil Transportation
Parents are responsible for the safety of their children from the time the students leave home in the morning until they board the school bus; and, at the end of the school day, from the time the school bus departs the unloading area at the bus stop until the students reach home. Once the student boards the school bus, the responsibility lies with the bus driver and school administration.
Riding the school bus is a privilege.
This privilege may be revoked if the misconduct of the student jeopardizes the safe operation of the school bus or the safety of the other students riding the bus. Please review the following rules with your child before school begins:
1. Follow directions from the driver the first time they are given.
2. Stay in your seat at all times while the bus is in motion.
3. Keep all parts of your body inside the bus.
4. Keep hands, feet, legs, arms, personal property and your voice to yourself.
5. Eating, smoking, drinking, and vulgar language are not allowed at any time.
Parents should be aware of their liability for damage caused by their children to the property of others, including the school bus. Further, parents cannot take discipline issues, occurring on the bus, into their own hands. If there is a concern, speak to Mrs. Davis, the assistant principal, not the bus driver.
When students walk to and from school or the bus stop, they must show consideration for the property of those citizens whose homes or places of business are located along their routes.
Children are to ride their assigned buses each day. When requesting a permanent change in bus transportation, parents must send a written request to the office at least three days in advance. It is not possible for students to change their bus stop on a day to day basis.
Communication
BCPSOne
Parents may review their child's grades, attendance, and report cards via BCPSOne. All parents/guardians must have a log in identification number.
Parent Newsletter
The Parent Newsletter will be sent home bi-monthly. It is imperative that you peruse the Newsletter each month as important and timely information is included.
Work Samples
In order to keep you informed as to your child's progress in school, teachers will frequently send home your child's classroom work samples. After reviewing the work samples with your child, please sign and return them to your child's teacher.
Assignment Book
An assignment book and RHR Folders, will come home with your child each night. Please review assignments and any notes written in this book with your child and then sign, which is an indication to your child's teacher that you have seen the assignments and are aware of all notes written to you.
Parent/Teacher Conferences and Visitations
Conferences may be scheduled during the year for all students at the parents' or teacher's request. Please schedule conferences in advance, as teachers use the time before and after school to prepare for the day, help their students get organized, check work, and participate in grade level meetings or professional development.
We welcome your presence in the schoolhouse and in the classroom. If you would like to observe your child, please be so kind as to make an appointment to do so. This is to ensure the consistency of the school program as well as the safety of all children. In addition, parents are encouraged to visit during American Education Week in November.
Expressing Concerns
We hope you and your child will have a happy, rewarding year. We can help make that happen if you share with us small issues before they grow into larger concerns. Please contact the person most directly involved with your concern, beginning with your child's teacher. We need your feedback to help us do our job well, and we rely upon your candor and good suggestions.
Phone Calls
In order to set up a conference with a faculty member, parents are encouraged to call during school hours and leave a message. Faculty members will return your call as soon as possible.
Cell Phone Policy
While children are allowed to bring cell phones to school for emergency situations, these phones must be dropped off at the school office prior to students traveling to their classrooms. We wish to limit access to inappropriate websites, camera usage, and an abundance of general phone usage.
Emergency Contact Information - It is extremely important that you report any changes regarding your contact information to the school office in writing as soon as possible.
Academic Guidelines
Classwork Expectations
It is expected that students will come to class prepared to learn. To this end, it is important that they have the necessary materials, supplies, and completed homework. Classwork activities in which students will be expected to participate include reading, participating in discussions, completing independent work, and completing group projects.
It is virtually impossible for a child to "catch up" on missed classwork because of the interactive nature of the classroom. When possible, written assignments will be sent home in the case of illness.
Homework Expectations
Homework is important. It reinforces skills, builds study habits, and encourages independent thinking. We also believe students should have time for sports, hobbies, and personal interests (preferably other than TV). We think our homework expectations are full but fair. Some children will consistently need more time, others less. Some days will be busier than others, too. If you think your child is assigned too much homework or is struggling, please discuss it with the teachers. The County recommendations are as follows:
- Grades 1 – 3: Maximum of 30 minutes a day
- Grades 4 – 5 : Maximum of 60 minutes a day
- Weekend homework is permitted in grades 4 & 5.
- Homework is not assigned over holidays; there may be a long term project that could possibly include the holiday period.
- Long term projects may be completed in addition to nightly assignments, but over a span of time.
We do not require homework assistance by parents, but encourage your interest. You can help by seeing that all work is done, and by withdrawing when you sense you are doing the work. Mistakes can help the teacher know where the child needs extra help. The goal is for each child to become independent and competent. Unless a teacher specifies a collaborative assignment, we expect all work turned in by each student to be his or her own. You can help by setting up a time schedule and providing a good place to study, free of distractions such as TV or social media. Please alert your child's teacher if homework is a nightly struggle, or if difficulty is noted.
Reading
Research has shown that the most successful students are those that read well. Many classes will be involved in our at home reading program, which requires students to read at home on a nightly basis. We encourage students to read for 15 uninterrupted minutes. This can be in the form of silent reading, parent-child read aloud, or a combination of the two. Requirements regarding reading assignments will be communicated to you by individual teachers.
Math
Research also shows that students who are able to recall basic math facts are more successful with all other math processes. Please assist your children with memorizing their addition, subtraction, multiplication, and division facts as is grade appropriate and directed by their teacher.
Assessments
Generally, no more than two tests will be scheduled on the same day. Quizzes need less preparation than tests, so they may be given in addition to tests.
Special Area Classes
Art
Students will have art at least once a week. They are encouraged to keep a smock in their locker to protect their clothing.
Computer
Students will use individual devices as a part of their regular academic program. They will have access to their devices in their classrooms. All students must be respectful of their laptops. If the devices are mistreated in any way they will be taken away.
Guidance
The developmental guidance program at Red House Run has been designed to assist each child in developing his/her unique potential as an individual. The counselor will work toward helping each child become more responsible for him/herself by gaining a better understanding of the factors which motivate behavior. The counselor works in classrooms as well as with individual and small groups of children to achieve these goals.
Instrumental Music
Instrumental music is provided for all fourth grade students and is an elective subject for fifth graders. For those fifth grade students who are interested, instrumental music lessons are offered as a regular part of the school day. The Instrumental Music teacher will suggest an appropriate instrument for your child and will send home information regarding rental/purchase payment plans. These students will also be in the Band.
Library/Media
Students will visit the library/media center at least once a week. They may borrow up to two books at a time. All students are on their honor to return books when they are due. Students will be expected to pay for books they lose or damage.
Physical Education
Students will have physical education at least once a week. Students must dress appropriately for physical education, for their safety and comfort, by wearing tennis shoes and removing jewelry. You may want to consider having your child remove his/her glasses or providing safety glasses as well.
Vocal Music
Students will have vocal music at least once a week. Students in grades 4 and 5 will have the opportunity to engage in chorus.
Student Behavior
Expectations
A belief that is integral to the Red House Run school community is respect – for ourselves, other students, adults, and property. This concept is the basis for our Wolf Pack Pledge and Super Citizen program. During the year students can be nominated as a Super Citizen by their teachers for displaying certain characteristics. Our quarterly themes are:
- Respect
- Responsibility
- Cooperation
- Perseverance
Wolf Pack Pledge
To be a good citizen of the Red House Run community, I will…
- be respectful to myself and others,
- be responsible for my behaviors and
- be safe.
Discipline
All students have the right to attend a school, exemplifying a positive learning environment. In our efforts to support children's organization, behavior, and learning, it is expected that children will behave in ways that will not interfere with their learning or the learning of others. School, classroom, and transportation rules are shared with and explained to each student at the beginning of the year. Students are expected to make appropriate decisions and be willing to accept the consequences if wrong decisions are made. The consequences may include lunch detention, loss of play, and temporary removal from the class, or referral to the office or the care room. More stringent consequences for severe behavior are outlined in the Baltimore County Public Schools Student Handbook, which each student will receive at the beginning of the year.
In appropriate behavior is a frequent challenge, teachers and administrators will meet with parents to discuss the problem. Under no circumstances will a student be allowed to continually disrupt a class or interfere with the learning of others.
Restorative Practices
This school year, Red House Run is excited to continue with Restorative Practices & Virtues Language. To reinforce positive interactions and forethought, we are eager to implement strategies inherent in this distinguished program.
Special Occasions
Field Trips
Field trips are important educational experiences, and are viewed as part of the curricula. They broaden the child's experiences, interests, and understandings, and are a part of the instructional program. As such, all students are expected to participate in these valuable experiences and take part in the pre-planning and follow-up activities in the classroom. Teachers send notes home to announce trips and reminders appear in the Newsletter calendar. A permission form will be sent home for each field trip. We must have written permission anytime we take students off school property. We cannot accept verbal permission over the telephone. The cost of each field trip will be communicated by the teacher. Children should dress appropriately for field trips.
Chaperoning Field Trips
If you would like to help chaperone a field trip, please tell your child's teacher. Spaces are limited on most trips, so please understand if the teacher asks you to wait until another time. Older siblings cannot serve as chaperones.
We appreciate chaperones complying with four important policies:
1. In order to chaperone you must attend a yearly volunteer training course and have an up-to-date approved volunteer application on file.
2. Unfortunately, siblings cannot attend. Young children can distract our groups and may need more attention than a chaperone can give.
3. The teacher is the trip leader, is responsible for decisions, and is in charge of students and chaperones.
4. When you chaperone, we need your supervisory help. Please be firm with any child whose behavior is inappropriate, and get the teacher's help, if necessary.
5. Parents may not take their children home from field trip locations, without prior authorization from the principal, five days in advance of the trip. The request must be in writing.
6. Please remember that you serve as a model for our students. We ask that you dress appropriately for your own comfort and safety, and remember that smoking by
chaperones is strictly prohibited, as the location of the field trip is an extension of the school boundary and school day.
Class Parties
During the last period of the day, teachers may choose to have occasional class parties in conjunction with holidays. The room mother helps organize parties and will probably call you to ask for help at some time during the year. Snacks must comply with strict BCPS nutritional guidelines. You must check with your child's teacher, before bringing in any food items. Cupcakes and baked goods are no longer permitted for birthday parties.
In fact, due to significant food allergies, we are requesting that birthdays be celebrated at home with families. Additionally, please be so kind to limit balloons and flowers to home celebrations; allergies pertain to these items as well. If you would like to send a treat that is non-food related, that will be fine.
It is school policy that unless otherwise directed by the teacher, or grade levels, schoolaged siblings may not attend class events or parties.
Volunteer Training
Every year, all parents/guardians must partake in volunteer training in order to be engaged in activities involving children.
Student Records
Reporting System
Parent conferences will be held twice a year for students in kindergarten. Report cards will be sent home with each student in grades two through five quarterly. Students in grade one will receive a report card for terms two through four; progress will be communicated via a conference for the first term. Parents are asked to sign the report card envelope and return it to school.
Testing
Countywide and State Assessments will be given to students in grades one through five. The results of these tests are used for diagnostic purposes, as well as a tool to measure growth. You may wish to call for an appointment with your child's teacher or an administrator, who will review results with you. Testing dates will be noted in the Parent Newsletter.
Official Files and Transcripts
Files may be read by authorized personnel only and may not leave the office. If you wish to see your child's file, you may do so in the presence of an administrator. Please make an appointment to do so.
Without your written permission, no person or other school will have access to or release of information from your child's official file. It is understood that faculty, staff, and appropriate Red House Run personnel are exempt from this requirement. Access to or release of records with parental permission will be recorded in a log which includes the student's name, date, and the name of the reviewer or person given access.
Files and records will only be released after all financial obligations have been met.
The parent/student address list and directory is also confidential. School policy prohibits its use or the use of the school name for solicitation or commercial purposes.
Student Health
Absences
If a child is to learn and progress, regular attendance is most important. You do not need to call the school office when your child is absent. However, your child's absence must be explained to the teacher in a note stating the specific illness upon your child's return to school. Absences will be coded as "unexcused" for those students returning to school without a note.
Homework for the day of your child's absence may be requested by calling the school office before 10:00 a.m. It can be picked up in the office after 2:00 p.m. or sent home with another student designated by the parent.
Health Suite
The health suite will be staffed by our school nurse, Ms. Kosiorek. She can be reached at 410-866-9315. The nurse will provide first aid, supervise the administration of all prescribed medications, and provide assessment of medical and health-related situations which may require referral to appropriate community resources. (Including screening for vision, hearing, and scoliosis). Although the nurse is on staff to care for unexpected illnesses, Red House Run does not have the facilities to function as an infirmary. Therefore, if your child becomes sick at school and needs to go home, we will call you. We understand the inconvenience to working parents, but we have no facility or personnel to care for sick children. Please prepare a contingency plan well in advance, and let us know how we can help.
In case of a bathroom emergency, staff may not change student's clothing, parents will be called to assist.
Immunization and Physical Examinations
The American Academy of Pediatrics recommends yearly physical examinations for all children. Red House Run Elementary requires a complete physical examination for all children entering prekindergarten or kindergarten, as well as all new students entering school. We hope to be kept abreast of any changes in the health needs of your child, and to promote the safety of all our children. Red House Run also follows the State of Maryland's minimum requirements and recommendations for immunization. Any child not in compliance with the required immunizations will be withdrawn from school until the necessary immunization documentation is provided.
It is essential that you inform the nurse and homeroom teacher if your child has a serious medical condition or health problem.
Medications Policy
When a student is taking prescribed medication, the parents should make every effort to arrange for the medication to be taken outside of the school day. However, when a physician determines that a child must receive a medication during the school day, either on a regular schedule, or as needed, the following policy will be enforced: Before supervising the administration of prescription medication in any form, the school nurse must have complete written instructions from the physician including the name of the prescribing physician, date of order, name of medication, dose, time, circumstances of administration, length of time the medication is to be continued and any possible side effects. Without this information, no medication will be given.
Medication must be in the original container (a second container should be obtained for the medication to be taken at home) and labeled with the following: child's name, physician, date, medication, dosage, and directions for administration. Parents must deliver the medication personally to the health suite or school office in its original container, and wait for the school nurse to document the number of pills received. Students may NOT carry medications to school. Every effort will be made to notify you as the need to refill ongoing medications becomes apparent, but parents will ultimately be responsible for refilling prescriptions in a timely fashion.
There will be a limited number of over the counter medications (such as Tylenol, Benadryl, Advil, etc.) which, with parental permission, will be offered, as deemed necessary by the school nurse, in accordance with established protocols endorsed by a physician. If you wish for your child to receive any non-prescription medications, you will need to provide the medication in its original container, and sign an authorization form (available from the school nurse).
No student will be permitted to self-medicate during the school day. All medications will be kept in a locked cabinet at all times. Teachers are not authorized to store or supervise the taking of any medication.
Circumstances warranting special consideration should be discussed with the school nurse.
All medications and medical equipment must be picked up by a parent or an adult parent designee by the end of the school year. Any medication not picked up by the end of the school year will be discarded.
Medical Emergencies
In the case of a medical emergency, we will first call 911 and then the parent or legal guardian. The ambulance takes children to the most convenient hospital. If you are unreachable, we will call the person named on your emergency form. Please be sure to name someone who can be reached easily.
Suspected Child Abuse or Neglect
Teachers, staff members, and parent volunteers are legally responsible for reporting suspected child abuse or neglect to Social Services, and they are legally protected from lawsuits for false reports as long as evidence indicates that suspicion of child abuse or neglect was reasonable.
Guidelines for Appropriate Dress
Our Goal
Our school's major goal is the education of your child. In order to accomplish this goal we must provide an atmosphere which is conducive to learning. It is in this spirit that we have developed the following guidelines for appropriate dress:
Students should wear:
- Clean clothing
- Jeans, slacks, dresses, and shorts of appropriate length
- Shirts, sweaters, and blouses which cover the upper part of the body
- Safe shoes, tennis shoes.
Students may not wear:
- Floor-length dresses
- Shower sandals, i.e., flip-flops without backs, platform heels
- Short shorts, bathing suits, halter tops or other suggestive type clothing
- Hats or gloves in school
- Clothing with abusive and/or suggestive language and/or slogans
- Hair dye that is any other color than natural hair color
- Facial make-up and/or tattoos
- Excessive jewelry
- Pants or shorts that fall below the hip.
Students in Pre-K through Grade 2 should store an extra pair of clothes at school. The clothes should be changed seasonally.
Recess
All children have outdoor recess, weather permitting. Please have your child dress appropriately. Children will not be allowed to remain indoors during this time. If a child needs to remain indoors to recover from an illness, that child should be kept at home.
Cafeteria Service
Pin Numbers
All students will receive a pin number to be used with the computerized system in the cafeteria. We encourage parents to prepay at least 5 meals in their child's account. The computerized system allows for prepayment into an account that can only be accessed by the student's ID number. Any questions can be directed to the cafeteria manager, Mrs. Burcham, by calling the main office at 410-887-0506 or 410-887-0507.
Breakfast in the Classroom for All Red House Run Students!
We are excited to announce that beginning September 4, 2018, all students will have the opportunity to eat breakfast in their classrooms, at school each morning, at no charge. Breakfast will include milk, juice and/or fruit, and an entrée, such as a whole grain muffin, oatmeal chip bar, or reduced-sugar cereals.
This program, which is called Breakfast in the Classroom (BIC), is funded by the Maryland Meals for Achievement (MMFA) with money from the federal National School Breakfast
Program and with state funds awarded to our school by the Maryland State Department of Education.
We will continue to offer school lunch in the cafeteria under the traditional payment system.
Lunch
Proper nutrition makes a big difference in a child's performance in school. Students may pack a lunch or purchase one from the cafeteria. When packing a lunch, please keep in mind that we cannot refrigerate or heat children's meals at school. Please supply forks, spoons, napkins, etc. as needed. Please avoid junk foods and sugar whenever possible. Parents are discouraged from bringing their children fast food lunches.
On occasion, you may need to deliver a forgotten lunch to school. If so, please leave it with a school secretary. The secretary will see that the child gets it.
A lunch menu will be sent home at the beginning of each month. Students will be offered three choices daily, one of which is a salad box. Students must sign up for lunch during homeroom.
Free and Reduced Lunch
At the beginning of the school year, you will receive an application form for free and reduced lunch. If you feel your child is eligible for free or reduced lunch, please complete the application and return it to school as soon as possible. As in previous years, students who were eligible for a free or reduced price lunch at the end of the previous school year are eligible to receive a free or reduced price lunch until October 1 of the current year. However, even if your child was eligible last year, you must reapply for the current school year by October 1.
Expectations
We expect our students to be well-mannered, polite, and orderly in the cafeteria. Students may talk quietly with their immediate neighbors while they eat. Cafeteria assistants are available to help students needing assistance. Unacceptable behavior will result in revoking the privilege of eating in the cafeteria. Parents will be informed when this occurs.
Students may not bring glass containers to school, including a glass thermos. There have been cases in which the thermos has exploded, causing a safety hazard to many children. In addition, children may not purchase sodas at school; please do not send carbonated beverages to school.
For the safety and well-being of our children, please make
certain that we have at least two up to date emergency phone numbers on file.
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